-----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, NrzegvFWhPi35BEaydSYQCgjbOj0zEwU/IPkczTjESKoM54xdcOjHkTNMQLFQSGt mkDnO0v5hGx/AdOYqkgI+Q== 0000909450-02-000150.txt : 20020924 0000909450-02-000150.hdr.sgml : 20020924 20020923212610 ACCESSION NUMBER: 0000909450-02-000150 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20020923 FILED AS OF DATE: 20020924 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: MONTEREY PASTA CO CENTRAL INDEX KEY: 0000913032 STANDARD INDUSTRIAL CLASSIFICATION: MISCELLANEOUS FOOD PREPARATIONS & KINDRED PRODUCTS [2090] IRS NUMBER: 770227341 STATE OF INCORPORATION: DE FISCAL YEAR END: 1227 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-11777 FILM NUMBER: 02770500 BUSINESS ADDRESS: STREET 1: 1528 MOFFETT ST STREET 2: STE 500 CITY: SALINAS STATE: CA ZIP: 93905 BUSINESS PHONE: 4087536262 MAIL ADDRESS: STREET 1: 1528 MOFFETT ST STREET 2: SUITE 500 CITY: SALINAS STATE: CA ZIP: 93905 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: GRUBER & MCBAINE CAPITAL MANAGEMENT LLC CENTRAL INDEX KEY: 0000909450 RELATIONSHIP: OWNER IRS NUMBER: 770210467 FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 50 OSGOOD PLACE PENTHOUSE CITY: SAN FRANCISCO STATE: CA ZIP: 94133 BUSINESS PHONE: 4159811039 MAIL ADDRESS: STREET 1: 50 OSGOOD PLACE CITY: SAN FRANCISCO STATE: CA ZIP: 94133 FORMER COMPANY: FORMER CONFORMED NAME: GRUBER & MCBAINE CAPITAL MANAGEMENT/GRUBER JON D ET AL DATE OF NAME CHANGE: 19951108 4 1 pstaf4es3.txt FORM 4 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 OMB APPROVAL OMB Number: 3235-0287 Expires: January 31, 2005 Estimated average burden hours per response. . . . 0.5 Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). (Print or Type Responses) 1.Name and Address of Reporting Person* Eric Swergold, 50 Osgood Place, San Francisco, CA 94133 2.Issuer Name and Ticker or Trading Symbol Monterey Pasta (PSTA) 3.I.R.S. Identification Number of Reporting Person, if an entity (Voluntary) 4.Statement for Month/Year 09/02 5.If Amendment, Date of Original (Month/Year) 6.Relationship of Reporting Person(s) to Issuer (Check all applicable) ___Director__X_10% Owner ___Officer(give title below)___Other(specify below) 7.Individual or Joint/Group Reporting (check applicable line) __X_Form Filed by One Reporting Person ___Form Filed by More than One Reporting Person Table I-Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned 1. Title of Security(Instr. 3) 2. Trans-action Date (Month/ Day/ Year) 3. Trans-action Code(Instr. 8) 4. Securities Acquired (A) or Disposed of (D) - Amount, A or D, Price 5. Amount of Securities Beneficially Owned at the end of Issuer's Fiscal Year 6. Owner-ship Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4) 1. 2. 3. 4. 4. 4. 5. 6. 7 Title Date Code Amount A/D Price Owned Ownership Nature - ----------------------------------------------------------------------------- Common 9/23/2002 P 3000 A 4.45 1,870,800 I By LP and IAA* Common 9/23/2002 P 7000 A 4.45 1,870,800 I By LP and IAA* *By LP and IAA= By Limited Partnerships and Investment Advisory Accounts Table II-Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts calls warrants options, convertible securities) 1.Title of Derivative Security (Instr. 3) 2.Conver- sion or Exercise Price of Derivative Security 3.Trans- action Date (Month/ Day/ Year) 4.Trans- action Code (Instr. 8) 5.Number of Derivative Securities Acquired (A) or Disposed of (D) 6.Date Exercisable and Expiration Date (Month/Day/Year) 7.Title and Amount of Underlying Securities (Instr. 3 and 4) 8.Price of Derivative Security (Instr. 5) 9.Number of Derivative Securities Beneficially Owned at End of Year 10.Ownership of Derivative Security: Direct (D) or Indirect (I) 11.Nature of Indirect Beneficial Ownership Exercise Transaction Number Date Title Number Ownership Nature Title Price Date Code A or D Exercise Owned D/I - ----------------------------------------------------------------------------- Explanation of Responses: ____________________________________ **Signature of Reporting Person ____________________________________ Date **Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note:File three copies of this Form, one of which must be manually signed. If space provided is insufficient, see Instruction 6 for procedure. -----END PRIVACY-ENHANCED MESSAGE-----