0001140361-14-000626.txt : 20140103
0001140361-14-000626.hdr.sgml : 20140103
20140103171742
ACCESSION NUMBER: 0001140361-14-000626
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20140101
FILED AS OF DATE: 20140103
DATE AS OF CHANGE: 20140103
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: RADISYS CORP
CENTRAL INDEX KEY: 0000873044
STANDARD INDUSTRIAL CLASSIFICATION: COMPUTER PERIPHERAL EQUIPMENT, NEC [3577]
IRS NUMBER: 930945232
STATE OF INCORPORATION: OR
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 5435 NE DAWSON CREEK DR
CITY: HILLSBORO
STATE: OR
ZIP: 97124
BUSINESS PHONE: 5036151100
MAIL ADDRESS:
STREET 1: 5435 NE DAWSON CREEK DRIVE
CITY: HILLSBORO
STATE: OR
ZIP: 97124
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Nierenberg David
CENTRAL INDEX KEY: 0001040899
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-26844
FILM NUMBER: 14506900
MAIL ADDRESS:
STREET 1: 19605 NE 8TH STREET
CITY: CAMAS
STATE: WA
ZIP: 98607
FORMER NAME:
FORMER CONFORMED NAME: NIERENBERG DAVID
DATE OF NAME CHANGE: 19970611
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Nierenberg Investment Management Company, Inc.
CENTRAL INDEX KEY: 0001282683
STATE OF INCORPORATION: WA
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-26844
FILM NUMBER: 14506897
BUSINESS ADDRESS:
STREET 1: 19605 NE 8TH ST
CITY: CAMAS
STATE: WA
ZIP: 98607
BUSINESS PHONE: 360-604-8600
MAIL ADDRESS:
STREET 1: 19605 NE 8TH ST
CITY: CAMAS
STATE: WA
ZIP: 98607
FORMER NAME:
FORMER CONFORMED NAME: NIERENBERG INVESTMENT MANAGEMENT CO
DATE OF NAME CHANGE: 20040304
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: D3 Family Fund, LP
CENTRAL INDEX KEY: 0001282685
STATE OF INCORPORATION: WA
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-26844
FILM NUMBER: 14506899
BUSINESS ADDRESS:
STREET 1: 19605 NE 8TH STREET
CITY: CAMAS
STATE: WA
ZIP: 98607
BUSINESS PHONE: 360-604-8600
MAIL ADDRESS:
STREET 1: 19605 NE 8TH STREET
CITY: CAMAS
STATE: WA
ZIP: 98607
FORMER NAME:
FORMER CONFORMED NAME: D3 FAMILY FUND LP
DATE OF NAME CHANGE: 20040304
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: D3 Family Bulldog Fund, LP
CENTRAL INDEX KEY: 0001365745
STATE OF INCORPORATION: WA
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-26844
FILM NUMBER: 14506898
BUSINESS ADDRESS:
STREET 1: 19605 NE 8TH STREET
CITY: CAMAS
STATE: WA
ZIP: 98607
BUSINESS PHONE: 360-604-8600
MAIL ADDRESS:
STREET 1: 19605 NE 8TH STREET
CITY: CAMAS
STATE: WA
ZIP: 98607
FORMER NAME:
FORMER CONFORMED NAME: D3 Family Bulldog Fund LP
DATE OF NAME CHANGE: 20060612
4
1
doc1.xml
FORM 4
X0306
4
2014-01-01
0
0000873044
RADISYS CORP
RSYS
0001282683
Nierenberg Investment Management Company, Inc.
19605 NE 8TH STREET
CAMAS
WA
98607
1
0
1
0
0001040899
Nierenberg David
19605 NE 8TH STREET
CAMAS
WA
98607
0
0
1
0
0001282685
D3 Family Fund, LP
19605 NE 8TH STREET
CAMAS
WA
98607
0
0
1
0
0001365745
D3 Family Bulldog Fund, LP
19605 NE 8TH STREET
CAMAS
WA
98607
0
0
1
0
Common Stock
2014-01-01
4
M
0
465
A
731135
I
By The D3 Family Fund, LP
Common Stock
2014-01-01
4
M
0
1410
A
2753920
I
By The D3 Family Bulldog Fund, LP
Common Stock
256398
I
By The D3 Family Canadian Fund, LP
Common Stock
801176
I
By The DIII Offshore Fund, LP
Restricted Stock Units
2014-01-01
4
M
0
465
D
Common Stock
465
1945
I
The D3 Family Fund, LP
Restricted Stock Units
2014-01-01
4
M
0
1410
D
Common Stock
1410
8152
I
The D3 Family Bulldog Fund, LP
David Nierenberg is a member of the Board of Directors of the issuer. As a director, Mr. Nierenberg was granted 7,500 restricted stock units on September 4, 2013 which vest 25% on each of the following dates: October 1, 2013, January 1, 2014, April 1, 2014 and July 1, 2014. These restricted stock units are held for the benefit of the reporting persons identified above in Table II of this Form 4. Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. One share of common stock will be automatically delivered to the reporting person for each restricted stock unit that vests. On January 1, 2014, 25% of the Restricted Stock Units vested and were delivered to the reporting persons as described in Table I of this Form 4.
Each of the reporting persons disclaims beneficial ownership of these securities except to the extent of the reporting person's pecuniary interest therein.
Additionally: (a) The D3 Family L.P. owns 1,300 stock options, (b) The D3 Family Bulldog Fund, L.P. owns 5,100 stock options, (c) The D3 Family Canadian Fund, L.P. owns 600 stock options and 1,237 restricted stock units.
David Nierenberg, President, Nierenberg Investment Management Company, Inc. (NIMCO)
2014-01-03
David Nierenberg, President, NIMCO, General Partner of The D3 Family Bulldog Fund, LP
2014-01-03
David Nierenberg
2014-01-03
David Nierenberg, President, NIMCO, General Partner of The D3 Family Fund, LP
2014-01-03