0001325533-13-000009.txt : 20130305 0001325533-13-000009.hdr.sgml : 20130305 20130305180200 ACCESSION NUMBER: 0001325533-13-000009 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130301 FILED AS OF DATE: 20130305 DATE AS OF CHANGE: 20130305 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Sandberg David CENTRAL INDEX KEY: 0001423093 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-13301 FILM NUMBER: 13667418 MAIL ADDRESS: STREET 1: 304 PARK AVE SOUTH STREET 2: 11TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10010 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: R F INDUSTRIES LTD CENTRAL INDEX KEY: 0000740664 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRONIC CONNECTORS [3678] IRS NUMBER: 880168936 STATE OF INCORPORATION: NV FISCAL YEAR END: 1031 BUSINESS ADDRESS: STREET 1: 7610 MIRAMAR RD STREET 2: BLDG 6000 CITY: SAN DIEGO STATE: CA ZIP: 92126-2313 BUSINESS PHONE: 8585496340 MAIL ADDRESS: STREET 1: 7620 MIRAMAR RD #4100 STREET 2: 7620 MIRAMAR RD #4100 CITY: SAN DIEGO STATE: CA ZIP: 92126-4202 FORMER COMPANY: FORMER CONFORMED NAME: CELLTRONICS INC DATE OF NAME CHANGE: 19910204 4 1 primary_doc.xml PRIMARY DOCUMENT X0306 4 2013-03-01 0 0000740664 R F INDUSTRIES LTD RFIL 0001423093 Sandberg David 304 PARK AVE SOUTH 11TH FLOOR NEW YORK NY 10010 1 0 0 0 Common Stock 2013-03-01 4 S 0 2935 5.845 D 280128 I By The Red Oak Fund, L.P. Common Stock 2013-03-01 4 S 0 1965 5.845 D 187674 I By Pinnacle Fund, LLLP Common Stock 2013-03-04 4 S 0 839 5.821 D 279289 I By The Red Oak Fund, L.P. Common Stock 2013-03-04 4 S 0 561 5.821 D 187113 I By Pinnacle Fund, LLLP Common Stock 4.12 2012-08-30 2017-08-30 Common Stock 1911 1911 D Red Oak Partners, LLC ("ROP") serves as the general partner of The Red Oak Fund, LP, a Delaware limited partnership (the "Fund"), the direct owner of the subject securities. David Sandberg is the managing member of ROP and the Fund's portfolio manager. ROP serves as a managing member of Pinnacle Partners, LLC, a Colorado limited liability limited company ("Pinnacle Partners"). Pinnacle Partners is the general partner of Pinnacle Fund, LLLP, a Colorado limited liability limited partnership ("Pinnacle Fund"), the direct owner of the subject securities. Each Reporting Person disclaims beneficial ownership of all securities reported herein, except to the extent of their pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of the shares for purposes of Section 16 of the Securities and Exchange Act of 1934 or for any other purpose. This transaction was executed in multiple trades at prices ranging from $5.83 to $5.858. The price reported in Column 4 of Table I reflects the weighted average sales price. The reporting persons hereby undertake to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which each of the individual transactions was effected. This transaction was executed in multiple trades at prices ranging from $5.81 to $5.85. The price reported in Column 4 of Table I reflects the weighted average sales price. The reporting persons hereby undertake to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which each of the individual transactions was effected. Open market transactions pursuant to a 10b5-1 trading plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Stock option granted to Mr. Sandberg in his capacity as a non-employee director (i.e. a director who is not employed by the Issuer as an officer or employee). David Sandberg 2013-03-05