-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, QzsCvChEOCwKHhM4SLNaSM+EkezWDKXKaA9qo1cwe6bDS0b6zvmimyT4pizg69Ef amKbhcFvd62k6ca/VPjgOw== 0001164073-08-000006.txt : 20080212 0001164073-08-000006.hdr.sgml : 20080212 20080212111902 ACCESSION NUMBER: 0001164073-08-000006 CONFORMED SUBMISSION TYPE: SC 13D PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20080212 DATE AS OF CHANGE: 20080212 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: MICROWAVE FILTER CO INC /NY/ CENTRAL INDEX KEY: 0000716688 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRONIC COMPONENTS, NEC [3679] IRS NUMBER: 160928443 STATE OF INCORPORATION: NY FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: SC 13D SEC ACT: 1934 Act SEC FILE NUMBER: 005-42686 FILM NUMBER: 08596409 BUSINESS ADDRESS: STREET 1: 6743 KINNE ST CITY: E SYRACUSE STATE: NY ZIP: 13057 BUSINESS PHONE: 3154373953 MAIL ADDRESS: STREET 1: 6743 KINNE ST CITY: EAST SYRACUSE STATE: NY ZIP: 13057 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: HUMMINGBIRD MANAGEMENT LLC CENTRAL INDEX KEY: 0001164073 IRS NUMBER: 134082842 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D BUSINESS ADDRESS: STREET 1: 460 PARK AVENUE, 12TH FL CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2125210974 MAIL ADDRESS: STREET 1: 460 PARK AVENUE, 12TH FL CITY: NEW YORK STATE: NY ZIP: 10022 FORMER COMPANY: FORMER CONFORMED NAME: MORNINGSIDE VALUE INVESTORS LLC DATE OF NAME CHANGE: 20011226 SC 13D 1 mfco13d-080212.txt SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D (RULE 13D-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) Microwave Filter Inc. (NAME OF ISSUER) Common Stock $.10 par value (TITLE OF CLASS OF SECURITIES) 595176108 (CUSIP NUMBER) Paul D. Sonkin Hummingbird Management, LLC 460 Park Avenue, 12th Floor New York, New York 10022 212 750-7117 (NAME, ADDRESS AND TELEPHONE NUMBER OF PERSON AUTHORIZED TO RECEIVE NOTICES AND COMMUNICATIONS) January 22, 2008 (DATE OF EVENT WHICH REQUIRES FILING OF THIS STATEMENT) If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(e), 13d-1(f) or 13d-1(g), check the following box. [ ] Note: Schedules filed in paper format shall include a signed original and five copies of the Schedule, including all exhibits. See Rule 13d-7(b) for other parties to whom copies are to be sent. - ------------------- ----------------- CUSIP No. 595176108 13D Page 2 of 9 Pages - ------------------- ----------------- - ---------------------------------------------------------------- 1. NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) Hummingbird Management, LLC IRS No. 13-4082842 - ---------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A GROUP* (a) [ ] (b) [ ] - ---------------------------------------------------------------- 3. SEC USE ONLY - ---------------------------------------------------------------- 4. SOURCES OF FUNDS OO - ---------------------------------------------------------------- 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e) [ ] - ---------------------------------------------------------------- 6. CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - ---------------------------------------------------------------- NUMBER OF 7. SOLE VOTING POWER 162,464 SHARES -------------------------------------------------- BENEFICIALLY 8. SHARED VOTING POWER 0 OWNED BY -------------------------------------------------- EACH 9. SOLE DISPOSITIVE POWER 162,464 REPORTING -------------------------------------------------- PERSON WITH 10. SHARED DISPOSITIVE POWER 0 - ---------------------------------------------------------------- 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 162,464 - ---------------------------------------------------------------- 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES * [ ] - ---------------------------------------------------------------- 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11 5.6% - ---------------------------------------------------------------- 14. TYPE OF REPORTING PERSON* OO - ---------------------------------------------------------------- - ------------------- ----------------- CUSIP No. 595176108 13D Page 3 of 9 Pages - ------------------- ----------------- - ---------------------------------------------------------------- 1. NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) Paul D. Sonkin - ---------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A GROUP* (a) [ ] (b) [ ] - ---------------------------------------------------------------- 3. SEC USE ONLY - ---------------------------------------------------------------- 4. SOURCES OF FUNDS OO - ---------------------------------------------------------------- 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e) [ ] - ---------------------------------------------------------------- 6. CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - ---------------------------------------------------------------- NUMBER OF 7. SOLE VOTING POWER 162,464 SHARES -------------------------------------------------- BENEFICIALLY 8. SHARED VOTING POWER 0 OWNED BY -------------------------------------------------- EACH 9. SOLE DISPOSITIVE POWER 162,464 REPORTING -------------------------------------------------- PERSON WITH 10. SHARED DISPOSITIVE POWER 0 - ---------------------------------------------------------------- 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 162,464 - ---------------------------------------------------------------- 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES * [ ] - ---------------------------------------------------------------- 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11 5.6% - ---------------------------------------------------------------- 14. TYPE OF REPORTING PERSON* OO - ---------------------------------------------------------------- - ------------------- ----------------- CUSIP No. 595176108 13D Page 4 of 9 Pages - ------------------- ----------------- - ---------------------------------------------------------------- 1. NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) Hummingbird Capital, LLC - ---------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A GROUP* (a) [ ] (b) [ ] - ---------------------------------------------------------------- 3. SEC USE ONLY - ---------------------------------------------------------------- 4. SOURCES OF FUNDS OO - ---------------------------------------------------------------- 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e) [ ] - ---------------------------------------------------------------- 6. CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - ---------------------------------------------------------------- NUMBER OF 7. SOLE VOTING POWER 162,464 SHARES -------------------------------------------------- BENEFICIALLY 8. SHARED VOTING POWER 0 OWNED BY -------------------------------------------------- EACH 9. SOLE DISPOSITIVE POWER 162,464 REPORTING -------------------------------------------------- PERSON WITH 10. SHARED DISPOSITIVE POWER 0 - ---------------------------------------------------------------- 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 162,464 - ---------------------------------------------------------------- 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES * [ ] - ---------------------------------------------------------------- 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11 5.6% - ---------------------------------------------------------------- 14. TYPE OF REPORTING PERSON* LP - ---------------------------------------------------------------- - ------------------- ----------------- CUSIP No. 595176108 13D Page 5 of 9 Pages - ------------------- ----------------- - ---------------------------------------------------------------- 1. NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) The Tarsier Nanocap Value Fund, LP - ---------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A GROUP* (a) [ ] (b) [ ] - ---------------------------------------------------------------- 3. SEC USE ONLY - ---------------------------------------------------------------- 4. SOURCES OF FUNDS OO - ---------------------------------------------------------------- 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e) [ ] - ---------------------------------------------------------------- 6. CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - ---------------------------------------------------------------- NUMBER OF 7. SOLE VOTING POWER 162,464 SHARES -------------------------------------------------- BENEFICIALLY 8. SHARED VOTING POWER 0 OWNED BY -------------------------------------------------- EACH 9. SOLE DISPOSITIVE POWER 162,464 REPORTING -------------------------------------------------- PERSON WITH 10. SHARED DISPOSITIVE POWER 0 - ---------------------------------------------------------------- 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 162,464 - ---------------------------------------------------------------- 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES * [ ] - ---------------------------------------------------------------- 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11 5.6% - ---------------------------------------------------------------- 14. TYPE OF REPORTING PERSON* OO - ---------------------------------------------------------------- - ------------------- ----------------- CUSIP No. 595176108 13D Page 6 of 9 Pages - ------------------- ----------------- ITEM 1 SECURITY AND ISSUER Title of Class of Securities Common stock Name and Address of Issuer Microwave Filter Inc (the "Company" or the "Issuer") 6743 Kinne Street East Syracuse, NY 13057 ITEM 2 IDENTITY AND BACKGROUND This statement is being filed by Hummingbird Management, LLC, a Delaware limited liability company ("Hummingbird"), whose principal business and principal office address is 460 Park Avenue, 12th Floor, New York, New York 10022. Hummingbird acts as investment manager to The Tarsier Nanocap Value Fund, L.P. ("Tarsier"), and has the sole investment discretion and voting authority with respect to the investments owned of record by Tarsier. Accordingly, Hummingbird may be deemed for purposes of Rule 13d-3 of the Securities and Exchange Act of 1934, as amended ("Rule 13d-3"), to be the beneficial owner of the Shares owned by Tarsier. The managing member of Hummingbird is Paul Sonkin. Mr. Sonkin is also the managing member of Hummingbird Capital, LLC, a Delaware limited liability company ("HC", and together with Tarsier, and Mr. Sonkin, the "Reporting Persons"), the general partner of Tarsier. Tarsier is a Delaware limited partnership whose principal business and principal office address is 460 Park Avenue, 12th Floor, New York, New York, 10022 and whose principal business is investing in securities in order to achieve its investment objectives. Mr. Sonkin is a citizen of the United States and HC is a Delaware limited liability company. The principal business of Mr. Sonkin is acting as managing member of each of Hummingbird and HC. The principal business of HC is acting as general partner of Tarsier and three other limited investment partnerships. The principal office address of each of Mr. Sonkin and HC is 460 Park Avenue, 12th Floor, New York, New York 10022. Except as specifically described herein, during the past five years none of Hummingbird, HVF, Microcap, Tarsier, Mr. Sonkin, or HC has been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors) or has been a party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of which any of the foregoing was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, Federal or State securitieslaws, or finding any violation with respect to such laws. On November 8, 2007, Tarsier entered into a Consent Agreement with the Bureau of Securities Regulation of the State of New Hampshire as a result of an inadvertent late filing of Form D. Pursuant to the Consent Agreement, Tarsier agreed to comply with all applicable requirements under the New Hampshire Uniform Securities Act and to pay administrative fine and back renewal fees of approximately $2,500. - ------------------- ----------------- CUSIP No. 595176108 13D Page 7 of 9 Pages - ------------------- ----------------- ITEM 3 SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION As of February 12, 2008, Hummingbird has caused Tarsier to invest approximately $136,392 in the Shares of the Issuer using its working capital. ITEM 4 PURPOSE OF TRANSACTION The Shares were acquired for investment purposes. However, Hummingbird may hold talks or discussions with various parties, including, but not limited to, the Issuer's management, its board of directors and other shareholders on a variety of possible subjects regarding ways to increase shareholder value. Some of the suggestions Hummingbird might make may affect control of the Issuer and/or may relate to the following: the merger, acquisition or liquidation of the Issuer, the sale or transfer of the assets of the Issuer, a change in the board of directors or the management of the Issuer, a change in the present capitalization or dividend policy of the Issuer or a change in the Issuer's charter or by-laws. Hummingbird intends to pay close attention to developments at and pertaining to the Issuer, and, subject to market conditions and other factors deemed relevant by Hummingbird, Hummingbird may, directly or indirectly, purchase additional Shares of the Issuer or dispose of some or such Shares in open-market transaction or privately negotiated transactions. ITEM 5 INTEREST IN SECURITIES OF THE ISSUER (a) As investment manager of Tarsier, Hummingbird may be deemed to have the sole voting and investment authority over the Shares owned Tarsier for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended ("Rule 13d-3"), may be deemed to be the beneficial owner of 162,464 Shares representing approximately 5.6% of the outstanding Common Stock, $.10 of the Issuer (based upon 2,894,821 shares of Common Stock outstanding as of December 1, 2007, as reported on Form 10-KSB for the period ended September 30, 2007.) Hummingbird disclaims any beneficial ownership of the Shares covered by this Statement. Mr. Sonkin is the managing member and control person of Hummingbird, and for purposes of Rule 13d-3 may be deemed the beneficial owner of such Shares deemed to be beneficially owned by Hummingbird. Thus, Mr. Sonkin may be deemed, for purposes of Rule 13d-3, to be the beneficial owner of 162,464 shares representing approximately 5.6% of the outstanding Common Stock, $.10 par value, of the Issuer (based upon 2,894,821 shares of Common Stock outstanding as of December 1, 2007, as reported on Form 10-KSB for the period ended September 30, 2007.) Mr. Sonkin disclaims any economic interest or beneficial ownership of the Shares covered by this Statement. - ------------------- ----------------- CUSIP No. 595176108 13D Page 8 of 9 Pages - ------------------- ----------------- (c) Hummingbird caused Tarsier to effect transactions in the Shares during the past 60 days as set forth below:
AMOUNT OF DATE TYPE SHARES PRICE/SHARE ---- ---- ------ ----------- 12/14/2007 open market purchase 5,000 0.700 12/24/2007 open market purchase 10,000 0.600 12/28/2007 open market purchase 5,000 0.700 12/31/2007 open market purchase 9,000 0.700 1/10/2008 open market purchase 1,000 0.700 1/18/2008 open market purchase 2,500 0.800 1/22/2008 open market purchase 4,500 0.700 2/6/2008 open market purchase 12,500 0.850 2/8/2008 open market purchase 3,500 0.890 2/11/2008 open market purchase 1,000 0.930
ITEM 6 CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT TO SECURITIES OF THE ISSUER Not applicable. ITEM 7 MATERIAL TO BE FILED AS EXHIBITS Not applicable. - ------------------- ----------------- CUSIP No. 595176108 13D Page 9 of 9 Pages - ------------------- ----------------- SIGNATURES After reasonable inquiry and to the best of our knowledge and belief, we certify that the information set forth in this statement is true, complete and correct. Dated: February 12, 2007 HUMMINGBIRD MANAGEMENT, LLC By: /s/ Paul D. Sonkin --------------------------------- Name: Paul D. Sonkin Title: Managing Member /s/ Paul D. Sonkin ----------------------------- PAUL D. SONKIN TARSIER NANOCAP VALUE FUND, L.P. By: Hummingbird Capital, LLC By: /s/ Paul D. Sonkin --------------------------------- Name: Paul D. Sonkin Title: Managing Member HUMMINGBIRD CAPITAL, LLC By: /s/ Paul D. Sonkin --------------------------------- Name: Paul D. Sonkin Title: Managing Member By: /s/ Paul D. Sonkin --------------------------------- Name: Paul D. Sonkin -----END PRIVACY-ENHANCED MESSAGE-----