-----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, QGaoF5USIGm2m4tPZvG7R2J/S33YYdOwRy1iaEFkU6IScVfcbgIm3gBSqAGkUmbR LggZrvmaRzpYSyGxs2l30Q== 0000935836-01-500244.txt : 20010416 0000935836-01-500244.hdr.sgml : 20010416 ACCESSION NUMBER: 0000935836-01-500244 CONFORMED SUBMISSION TYPE: 5/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19991231 FILED AS OF DATE: 20010412 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: 5/A SEC ACT: SEC FILE NUMBER: 001-11777 FILM NUMBER: 1601204 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 COMPANY DATA: COMPANY CONFORMED NAME: GRUBER & MCBAINE CAPITAL MANAGEMENT LLC CENTRAL INDEX KEY: 0000909450 STANDARD INDUSTRIAL CLASSIFICATION: [] OWNER IRS NUMBER: 770210467 FILING VALUES: FORM TYPE: 5/A 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 FORMER COMPANY: FORMER CONFORMED NAME: GRUBER & MCBAINE CAPITAL MANAGEMENT/GRUBER JON D ET AL DATE OF NAME CHANGE: 19930720 5/A 1 ebs5a99.txt OMB Number 3235-0362 Expires: September 30, 1998 Estimated average burden hours per response 1.0 FORM 5 / / Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). /X/ Form 3 Holdings Reported /X/ Form 4 Holdings Reported U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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 (Print or Type Responses) 1. Name and Address of Reporting Person* Swergold, Eric B., 50 Osgood Place, San Francisco, CA 94133 (Last) (First) (Middle), (Street), (City) (State) (Zip) 2. Issuer Name and Ticker or Trading Symbol Monterey Pasta (PSTA) 3. IRS or Social Security Number of Reporting Person (Voluntary) ______ 4. Statement for Month/Year December 31, 1999 5. If Amendment, Date of Original (Month/Year) 02/10/01 6. Relationship of reporting person to issuer (Check all applicable) ____ Director __X__ 10% Owner ____ Officer (give ____ Other (specify title below) below) ______________________ 7. Individual or Joint/Group Filing (Check Applicable line) __X__ Form filed by one Reporting Person ____ Form filed by More than One Reporting Person SEC 2270 (9-96) FORM 5 (continued) Page _2_ of _20_ Pages Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned 1. Title of Security (Instr. 3) ____Common Stock_______ 2. Transaction Date (Month/Day/Year) __________ 3. Transaction Code (Instr. 8) ______3______ 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) Amount __ (A) or (D) ____ Price ______ 5. Amount of Securities Beneficially Owned at End of Issuer's Fiscal Year (Inst. 3 and 4) ___1,078,800 (3)___ 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) ______I_______ 7. Nature of Indirect Beneficial Ownership (Inst. 4) (1)(2) 1. Title of Security (Instr. 3) ____Common Stock_______ 2. Transaction Date (Month/Day/Year) __3/31/99___ 3. Transaction Code (Instr. 8) ______P4______ 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) Amount _6000_ (A) or (D) ___A___ Price ___2.31___ 5. Amount of Securities Beneficially Owned at End of Issuer's Fiscal Year (Inst. 3 and 4) ___1,359,400___ 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) ______I_______ 7. Nature of Indirect Beneficial Ownership (Inst. 4) (1)(2) 1. Title of Security (Instr. 3) ____Common Stock_______ 2. Transaction Date (Month/Day/Year) __3/31/99____ 3. Transaction Code (Instr. 8) ______P4______ FORM 5 (continued) Page _3_ of _20_ Pages 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) Amount _7500__ (A) or (D) ___A___ Price ___2.25_____ 5. Amount of Securities Beneficially Owned at End of Issuer's Fiscal Year (Inst. 3 and 4) ___1,359,400___ 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) ______I_______ 7. Nature of Indirect Beneficial Ownership (Inst. 4) (1)(2) 1. Title of Security (Instr. 3) ____Common Stock_______ 2. Transaction Date (Month/Day/Year) __4/1/99____ 3. Transaction Code (Instr. 8) ______P4______ 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) Amount __6500__ (A) or (D) ___A___ Price ___2.34_____ 5. Amount of Securities Beneficially Owned at End of Issuer's Fiscal Year (Inst. 3 and 4) ___1,359,400___ 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) ______I_______ 7. Nature of Indirect Beneficial Ownership (Inst. 4) (1)(2) 1. Title of Security (Instr. 3) ____Common Stock_______ 2. Transaction Date (Month/Day/Year) __4/8/99____ 3. Transaction Code (Instr. 8) ______P4______ 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) Amount __1000___ (A) or (D) ___A___ Price __2.34____ 5. Amount of Securities Beneficially Owned at End of Issuer's Fiscal Year (Inst. 3 and 4) ___1,359,400___ 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) ______I_______ FORM 5 (continued) Page _4_ of _20_ Pages 5. Amount of Securities Beneficially Owned at End of Issuer's Fiscal Year (Inst. 3 and 4) ___1,359,400___ 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) ______I_______ 7. Nature of Indirect Beneficial Ownership (Inst. 4) (1)(2) 1. Title of Security (Instr. 3) ____Common Stock_______ 2. Transaction Date (Month/Day/Year) __4/9/99____ 3. Transaction Code (Instr. 8) ______P4______ 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) Amount ___11,000_ (A) or (D) ___A___ Price __2.49____ 5. Amount of Securities Beneficially Owned at End of Issuer's Fiscal Year (Inst. 3 and 4) ___1,359,400___ 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) ______I_______ 7. Nature of Indirect Beneficial Ownership (Inst. 4) (1)(2) 1. Title of Security (Instr. 3) ____Common Stock_______ 2. Transaction Date (Month/Day/Year) ___4/12/99___ 3. Transaction Code (Instr. 8) ______P4______ 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) Amount _16,000__ (A) or (D) ___A___ Price __2.50____ 5. Amount of Securities Beneficially Owned at End of Issuer's Fiscal Year (Inst. 3 and 4) ___1,359,400___ 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) ______I_______ 7. Nature of Indirect Beneficial Ownership (Inst. 4) (1)(2) FORM 5 (continued) Page _5_ of _20_ Pages 1. Title of Security (Instr. 3) ____Common Stock_______ 2. Transaction Date (Month/Day/Year) ___4/9/99____ 3. Transaction Code (Instr. 8) ______P4______ 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) Amount __5700__ (A) or (D) ___A___ Price __2.38_____ 7. Nature of Indirect Beneficial Ownership (Inst. 4) (1)(2) 1. Title of Security (Instr. 3) ____Common Stock_______ 2. Transaction Date (Month/Day/Year) __4/15/99____ 3. Transaction Code (Instr. 8) ______P4______ 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) Amount __5000__ (A) or (D) ___A___ Price __2.44___ 5. Amount of Securities Beneficially Owned at End of Issuer's Fiscal Year (Inst. 3 and 4) ___1,359,400___ 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) ______I_______ 7. Nature of Indirect Beneficial Ownership (Inst. 4) (1)(2) 1. Title of Security (Instr. 3) ____Common Stock_______ 2. Transaction Date (Month/Day/Year) ___4/16/99___ 3. Transaction Code (Instr. 8) ______P4______ 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) Amount _13,000___ (A) or (D) ___A___ Price _2.48_____ 5. Amount of Securities Beneficially Owned at End of Issuer's Fiscal Year (Inst. 3 and 4) ___1,359,400___ 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) ______I_______ 7. Nature of Indirect Beneficial Ownership (Inst. 4) (1)(2) FORM 5 (continued) Page _6_ of _20_ Pages 1. Title of Security (Instr. 3) ____Common Stock_______ 2. Transaction Date (Month/Day/Year) __4/20/99___ 3. Transaction Code (Instr. 8) ______P4______ 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) Amount _5500__ (A) or (D) ___A___ Price __2.43____ 5. Amount of Securities Beneficially Owned at End of Issuer's Fiscal Year (Inst. 3 and 4) ___1,359,400___ 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) ______I_______ 7. Nature of Indirect Beneficial Ownership (Inst. 4) (1)(2) 1. Title of Security (Instr. 3) ____Common Stock_______ 2. Transaction Date (Month/Day/Year) __4/21/99_____ 3. Transaction Code (Instr. 8) ______P4______ 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) Amount _6000__ (A) or (D) ___A___ Price ___2.54____ 5. Amount of Securities Beneficially Owned at End of Issuer's Fiscal Year (Inst. 3 and 4) ___1,359,400___ 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) ______I_______ 7. Nature of Indirect Beneficial Ownership (Inst. 4) (1)(2) 1. Title of Security (Instr. 3) ____Common Stock_______ 2. Transaction Date (Month/Day/Year) ___4/21/99___ 3. Transaction Code (Instr. 8) ______P4______ 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) Amount _4000___ (A) or (D) ___A___ Price ___2.50____ FORM 5 (continued) Page _7_ of _20_ Pages 5. Amount of Securities Beneficially Owned at End of Issuer's Fiscal Year (Inst. 3 and 4) ___1,359,400___ 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) ______I_______ 7. Nature of Indirect Beneficial Ownership (Inst. 4) (1)(2) 1. Title of Security (Instr. 3) ____Common Stock_______ 2. Transaction Date (Month/Day/Year) ___4/22/99____ 3. Transaction Code (Instr. 8) ______P4______ 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) Amount _20,000 (A) or (D) ___A___ Price ___2.75____ 5. Amount of Securities Beneficially Owned at End of Issuer's Fiscal Year (Inst. 3 and 4) ___1,359,400___ 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) ______I_______ 7. Nature of Indirect Beneficial Ownership (Inst. 4) (1)(2) 1. Title of Security (Instr. 3) ____Common Stock_______ 2. Transaction Date (Month/Day/Year) __4/22/99____ 3. Transaction Code (Instr. 8) ______P4______ 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) Amount _12,000__ (A) or (D) ___A___ Price __2.84_____ 5. Amount of Securities Beneficially Owned at End of Issuer's Fiscal Year (Inst. 3 and 4) ___1,359,400___ 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) ______I_______ FORM 5 (continued) Page _8_ of _20_ Pages 7. Nature of Indirect Beneficial Ownership (Inst. 4) (1)(2) 1. Title of Security (Instr. 3) ____Common Stock_______ 2. Transaction Date (Month/Day/Year) ___4/26/99____ 3. Transaction Code (Instr. 8) ______P4______ 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) Amount _4500___ (A) or (D) ___A___ Price ___2.69____ 5. Amount of Securities Beneficially Owned at End of Issuer's Fiscal Year (Inst. 3 and 4) ___1,359,400___ 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) ______I_______ 7. Nature of Indirect Beneficial Ownership (Inst. 4) (1)(2) 1. Title of Security (Instr. 3) ____Common Stock_______ 2. Transaction Date (Month/Day/Year) __4/28/99____ 3. Transaction Code (Instr. 8) ______P4______ 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) Amount __9500__ (A) or (D) ___A___ Price ___2.72__ FORM 5 (continued) Page _9_ of _20_ Pages 5. Amount of Securities Beneficially Owned at End of Issuer's Fiscal Year (Inst. 3 and 4) ___1,359,400___ 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) ______I_______ 7. Nature of Indirect Beneficial Ownership (Inst. 4) (1)(2) 1. Title of Security (Instr. 3) ____Common Stock_______ 2. Transaction Date (Month/Day/Year) ___4/28/99____ 3. Transaction Code (Instr. 8) ______P4______ 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) Amount __1500__ (A) or (D) ___A___ Price ___2.74____ 5. Amount of Securities Beneficially Owned at End of Issuer's Fiscal Year (Inst. 3 and 4) ___1,359,400___ 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) ______I_______ 7. Nature of Indirect Beneficial Ownership (Inst. 4) (1)(2) 1. Title of Security (Instr. 3) ____Common Stock_______ 2. Transaction Date (Month/Day/Year) ___5/7/99____ 3. Transaction Code (Instr. 8) ______P4______ 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) Amount __2700__ (A) or (D) ___A___ Price ___2.74____ FORM 5 (continued) Page _10_ of _20_ Pages 5. Amount of Securities Beneficially Owned at End of Issuer's Fiscal Year (Inst. 3 and 4) ___1,359,400___ 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) ______I_______ 7. Nature of Indirect Beneficial Ownership (Inst. 4) (1)(2) 1. Title of Security (Instr. 3) ____Common Stock_______ 2. Transaction Date (Month/Day/Year) __5/11/99___ 3. Transaction Code (Instr. 8) ______P4______ 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) Amount __7000__ (A) or (D) ___A___ Price ___2.75___ 5. Amount of Securities Beneficially Owned at End of Issuer's Fiscal Year (Inst. 3 and 4) ___1,359,400___ 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) ______I_______ 7. Nature of Indirect Beneficial Ownership (Inst. 4) (1)(2) 1. Title of Security (Instr. 3) ____Common Stock_______ 2. Transaction Date (Month/Day/Year) ___5/13/99___ 3. Transaction Code (Instr. 8) ______P4______ 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) Amount __8500__ (A) or (D) ___A___ Price __2.72___ 5. Amount of Securities Beneficially Owned at End of Issuer's Fiscal Year (Inst. 3 and 4) ___1,359,400___ 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) ______I_______ FORM 5 (continued) Page _11_ of _20_ Pages 7. Nature of Indirect Beneficial Ownership (Inst. 4) (1)(2) 1. Title of Security (Instr. 3) ____Common Stock_______ 2. Transaction Date (Month/Day/Year) __6/3/99____ 3. Transaction Code (Instr. 8) ______P4______ 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) Amount _7000___ (A) or (D) ___A___ Price ___2.55___ 5. Amount of Securities Beneficially Owned at End of Issuer's Fiscal Year (Inst. 3 and 4) ___1,359,400___ 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) ______I_______ 7. Nature of Indirect Beneficial Ownership (Inst. 4) (1)(2) 1. Title of Security (Instr. 3) ____Common Stock_______ 2. Transaction Date (Month/Day/Year) ___7/9/99____ 3. Transaction Code (Instr. 8) ______P4______ 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) Amount __1200__ (A) or (D) ___A___ Price __2.68___ 5. Amount of Securities Beneficially Owned at End of Issuer's Fiscal Year (Inst. 3 and 4) ___1,359,400___ 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) ______I_______ 7. Nature of Indirect Beneficial Ownership (Inst. 4) (1)(2) 1. Title of Security (Instr. 3) ____Common Stock_______ 2. Transaction Date (Month/Day/Year) __7/15/99_____ FORM 5 (continued) Page _12_ of _20_ Pages 3. Transaction Code (Instr. 8) ______P4______ 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) Amount __7500__ (A) or (D) ___A___ Price __2.88____ 5. Amount of Securities Beneficially Owned at End of Issuer's Fiscal Year (Inst. 3 and 4) ___1,359,400___ 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) ______I_______ 7. Nature of Indirect Beneficial Ownership (Inst. 4) (1)(2) 1. Title of Security (Instr. 3) ____Common Stock_______ 2. Transaction Date (Month/Day/Year) __7/22/99____ 3. Transaction Code (Instr. 8) ______P4______ 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) Amount __6000__ (A) or (D) ___A___ Price __3.01____ 5. Amount of Securities Beneficially Owned at End of Issuer's Fiscal Year (Inst. 3 and 4) ___1,359,400___ 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) ______I_______ 7. Nature of Indirect Beneficial Ownership (Inst. 4) (1)(2) 1. Title of Security (Instr. 3) ____Common Stock_______ 2. Transaction Date (Month/Day/Year) __7/23/99___ 3. Transaction Code (Instr. 8) ______P4______ 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) Amount _4500___ (A) or (D) ___A___ Price __2.95_____ FORM 5 (continued) Page _13_ of _20_ Pages 5. Amount of Securities Beneficially Owned at End of Issuer's Fiscal Year (Inst. 3 and 4) ___1,359,400___ 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) ______I_______ 7. Nature of Indirect Beneficial Ownership (Inst. 4) (1)(2) 1. Title of Security (Instr. 3) ____Common Stock_______ 2. Transaction Date (Month/Day/Year) __8/10/99_____ 3. Transaction Code (Instr. 8) ______P4______ 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) Amount __3000__ (A) or (D) ___A___ Price __2.91____ 5. Amount of Securities Beneficially Owned at End of Issuer's Fiscal Year (Inst. 3 and 4) ___1,359,400___ 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) ______I_______ 7. Nature of Indirect Beneficial Ownership (Inst. 4) (1)(2) 1. Title of Security (Instr. 3) ____Common Stock_______ 2. Transaction Date (Month/Day/Year) ___8/12/99____ 3. Transaction Code (Instr. 8) ______P4______ 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) Amount _8500__ (A) or (D) ___A___ Price __2.94____ 5. Amount of Securities Beneficially Owned at End of Issuer's Fiscal Year (Inst. 3 and 4) ___1,359,400___ 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) ______I_______ FORM 5 (continued) Page _14_ of _20_ Pages 7. Nature of Indirect Beneficial Ownership (Inst. 4) (1)(2) 1. Title of Security (Instr. 3) ____Common Stock_______ 2. Transaction Date (Month/Day/Year) __8/12/99____ 3. Transaction Code (Instr. 8) ______P4______ 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) Amount _1500__ (A) or (D) ___A___ Price ____3.00___ 5. Amount of Securities Beneficially Owned at End of Issuer's Fiscal Year (Inst. 3 and 4) ___1,359,400___ 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) ______I_______ 7. Nature of Indirect Beneficial Ownership (Inst. 4) (1)(2) 1. Title of Security (Instr. 3) ____Common Stock_______ 2. Transaction Date (Month/Day/Year) __8/18/99___ 3. Transaction Code (Instr. 8) ______P4______ 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) Amount _27000__ (A) or (D) ___A___ Price __3.31____ 5. Amount of Securities Beneficially Owned at End of Issuer's Fiscal Year (Inst. 3 and 4) ___1,359,400___ 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) ______I_______ 7. Nature of Indirect Beneficial Ownership (Inst. 4) (1)(2) 1. Title of Security (Instr. 3) ____Common Stock_______ 2. Transaction Date (Month/Day/Year) __8/18/99___ 3. Transaction Code (Instr. 8) ______P4______ FORM 5 (continued) Page _15_ of _20_ Pages 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) Amount __8500__ (A) or (D) ___A___ Price __3.41___ 5. Amount of Securities Beneficially Owned at End of Issuer's Fiscal Year (Inst. 3 and 4) ___1,359,400___ 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) ______I_______ 7. Nature of Indirect Beneficial Ownership (Inst. 4) (1)(2) 1. Title of Security (Instr. 3) ____Common Stock_______ 2. Transaction Date (Month/Day/Year) ___8/23/99___ 3. Transaction Code (Instr. 8) ______P4______ 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) Amount _4000__ (A) or (D) ___A___ Price __3.36____ 5. Amount of Securities Beneficially Owned at End of Issuer's Fiscal Year (Inst. 3 and 4) ___1,359,400___ 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) ______I_______ 7. Nature of Indirect Beneficial Ownership (Inst. 4) (1)(2) 1. Title of Security (Instr. 3) ____Common Stock_______ 2. Transaction Date (Month/Day/Year) __10/13/99____ 3. Transaction Code (Instr. 8) ______P4______ 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) Amount __3500_ (A) or (D) ___A___ Price __3.00__ 5. Amount of Securities Beneficially Owned at End of Issuer's Fiscal Year (Inst. 3 and 4) ___1,359,400___ FORM 5 (continued) Page _16_ of _20_ Pages 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) ______I_______ 7. Nature of Indirect Beneficial Ownership (Inst. 4) (1)(2) 1. Title of Security (Instr. 3) ____Common Stock_______ 2. Transaction Date (Month/Day/Year) __10/14/99___ 3. Transaction Code (Instr. 8) ______P4______ 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) Amount __3500_ (A) or (D) ___A___ Price _3.06____ 5. Amount of Securities Beneficially Owned at End of Issuer's Fiscal Year (Inst. 3 and 4) ___1,359,400___ 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) ______I_______ 7. Nature of Indirect Beneficial Ownership (Inst. 4) (1)(2) 1. Title of Security (Instr. 3) ____Common Stock_______ 2. Transaction Date (Month/Day/Year) __10/20/99___ 3. Transaction Code (Instr. 8) ______P4______ 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) Amount _6500___ (A) or (D) ___A___ Price __3.06____ 5. Amount of Securities Beneficially Owned at End of Issuer's Fiscal Year (Inst. 3 and 4) ___1,359,400___ 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) ______I_______ 7. Nature of Indirect Beneficial Ownership (Inst. 4) (1)(2) 1. Title of Security (Instr. 3) ____Common Stock_______ FORM 5 (continued) Page _17_ of _20_ Pages 2. Transaction Date (Month/Day/Year) ___11/18/99___ 3. Transaction Code (Instr. 8) ______P4______ 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) Amount _14,000__ (A) or (D) ___A___ Price __2.98_____ 5. Amount of Securities Beneficially Owned at End of Issuer's Fiscal Year (Inst. 3 and 4) ___1,359,400___ 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) ______I_______ 7. Nature of Indirect Beneficial Ownership (Inst. 4) (1)(2) 1. Title of Security (Instr. 3) ____Common Stock_______ 2. Transaction Date (Month/Day/Year) _11/18/99___ 3. Transaction Code (Instr. 8) ______P4______ 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) Amount _4500_ (A) or (D) ___A___ Price __2.91___ 5. Amount of Securities Beneficially Owned at End of Issuer's Fiscal Year (Inst. 3 and 4) ___1,359,400___ 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) ______I_______ 7. Nature of Indirect Beneficial Ownership (Inst. 4) (1)(2) 1. Title of Security (Instr. 3) ____Common Stock_______ 2. Transaction Date (Month/Day/Year) __11/19/99____ 3. Transaction Code (Instr. 8) ______P4______ 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) Amount _13000__ (A) or (D) ___A___ Price __3.04____ FORM 5 (continued) Page _18_ of _20_ Pages 5. Amount of Securities Beneficially Owned at End of Issuer's Fiscal Year (Inst. 3 and 4) ___1,359,400___ 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) ______I_______ 7. Nature of Indirect Beneficial Ownership (Inst. 4) (1)(2) 1. Title of Security (Instr. 3) ____Common Stock_______ 2. Transaction Date (Month/Day/Year) __11/19/99____ 3. Transaction Code (Instr. 8) ______P4______ 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) Amount _4000___ (A) or (D) ___A___ Price __2.97_____ 5. Amount of Securities Beneficially Owned at End of Issuer's Fiscal Year (Inst. 3 and 4) ___1,359,400___ 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) ______I_______ 7. Nature of Indirect Beneficial Ownership (Inst. 4) (1)(2) * If the form is filed by more than one reporting person, see Instruction 4(b)(v). SEC 1474 (7- 96) FORM 5 (continued) Page _19_ of _20_ Pages 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. Conversion or Exercise Price of Derivative Security _______________ 3. Transaction Date (Month/Day/Year) ______________ 4. Transaction Code (Instr. 8) __________________ 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) (A) _____________ (D) ______________ 6. Date Exercisable and Expiration Date (Month/Day/Year) Date Exercisable Expiration Date ____________________ ________________________ 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) Title ______________________ Amount or Number of Shares ________ 8. Price of Derivative Security (Instr. 5) _______________ 9. Number of Derivative Securities Beneficially Owned at End of Year (Instr. 4) _______________ 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) __________________ 11. Nature of Indirect Beneficial Ownership (Inst. 4) _____________________________________________________________________ __________________________________________________________________________ FORM 5 (continued) Page _20_ of _20_ Pages Explanation of Responses: (1) As member and portfolio manager of Gruber & McBaine Capital Management, LLC, a limited liability company that is a general partner of investment partnerships and investment adviser to client accounts. The securities reported are owned directly by the partnerships and client accounts. (2) The reporting person disclaims beneficial ownership of the securities with respect to which indirect beneficial ownership is reported, except to the extent of the reporting person's pro rata pecuniary interest therein. (3) The reporting person indirectly owned 1,078,800 shares on January 1, 1999, the date he became the beneficial owner of more than 10 percent of the outstanding stock. /s/ Eric B. Swergold 04/12/01 **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 is insufficient, See Instruction 6 for procedure. Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. SEC 2270 (9-96) CSR\2217\006\1134128.01 -----END PRIVACY-ENHANCED MESSAGE-----