4/A 1 russell-2001rcg4.txt DRIP 2001
---------------- ---------------------------- FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION OMB APPROVAL ---------------- Washington, D.C. 20549 ---------------------------- OMB Number: 3235-0287 / / Check this box if no STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Expires: September 30, 1998 longer subject to Estimated Average burden Section 16, Form 4 or hours per response.......0.5 Form 5 obligations ---------------------------- may continue. See Instruction 1 (b) (Print or Type Responses) 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 ------------------------------------------------------------------------------------------------------------------------------------ 1. Name and Address of Resorting 2. Issuer Name and Ticker Trading Symbol 3. Relationship of Reporting Person(s) Person* to Issuer (Check all applicable) Cleveland, Russell Renaissance Capital Growth & Income Fund _X_ Director ___ 10% Owner III, Inc. (RENN) _X_ Officer ___ Other (Specify (give below) title below ------------------------------------------------------------------------------------------------------------------------------------ (Last) (First) (Middle) 3. IRS or Social 4. Statement for President and Chairman Security Number Month/Year of Reporting Person (Voluntary) ------------------------------------------------------------------------------------------------------------------------------------ 8080 N. Central Expressway Suite 210 LB-59 ------------------------------------------------------------------------------------------------------------------------------------ ###-##-#### August 2002 ------------------------------------------------------------------------------------------------------------------------------------ (Street) 5. If Amendment 7. Individual or Joint/Group Date of Original Filing (check applicable line) (Month/Year) Dallas TX 75206-1857 _X_ Form filed by One Reporting Person ____ Form filed by More than One Reporting Person ------------------------------------------------------------------------------------------------------------------------------------ (City) (State) (Zip) Table I -- Non - Derivative Securities Acquired, Disposed of, or Beneficially Owned ------------------------------------------------------------------------------------------------------------------------------------ 1. Type of Security 2. Trans- 3. Trans- 4. Securities Acquired 5. Amount of 6. Owner- 7. Nature of (Instr. 3) action action (A) or Disposed of (D) Securities ship Indirect Date Code (Instr. 3, 4 and 5) Beneficially Form: Beneficial (Month/ (Instr. 8) Owned at Direct Owner- Date/ End of Month (D) or Ship Year) (Instr. 3 Indirect (I) (Instr. 4) and 4) (Instr.4) ------------------------------------------------------------------------------------------------------------------------------------ (A) Code V Amount or Price (D) ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 20,089.281 I (1) ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 08/16/01 J 1,010.772 A 10.7326 1,010.772 I (1)(3) ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 211,968.931 I (2) ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 08/16/01 J 9,306.526 A 10.7326 9,306.526 I (2)(3) ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ REMARKS: (1) These shares are owned by the Cleveland Family Limited Partnership. Russell Cleveland is a limited partner of the Cleveland Family Limited Partnership. (2) These shares are owned by RENN Investment Limited Partnership, of which CEJ, Inc., is the General Partner. Russell Cleveland is the majority shareholder of CEJ, Inc. (3) These shares were acquired through the Fund's dividend reinvestment program. ------------------------------------------------------------------------------------------------------------------------------------ Reminder: Report on a separate line each class of securities beneficially owned directly or indirectly. (Over) ------------------------------------------------------------------------------------------------------------------------------------ * If the form is filed by more than one reporting person, see Instruction 5(b)(v). SEC 1474 (7-96) ------------------------------------------------------------------------------------------------------------------------------------
------------------------------------------------------------------------------------------------------------------------------------ FORM 4 (continued) Table II --- Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g..puts, calls, warrants, options, convertible securities) ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of Deriva- 2. Conver- 3. Trans- 4. Trans- 5. Number of 6. Date Exer- 7. Title and 8. Price of tive Security sion or action action Derivative cisable Amount of Deriv- (Instr. 3) Exercise Date Code Securities and Underlying ative Price of (Instr. Acquired Expiration Securities Secur- Deri- Month/ 8) (A) or Date (Instr. 3 ity vative Date/ Disposed (Month/Day/ and 4) (Instr. Security Year) of (D) Year) 5) (Instr. 3, 4 and 5) ------------------------------------------------------------------------------------------------------------------------------------ Date Expira- Amount Exer- tion Title or Number cisable Date of Shares ------------------------------------------------------------------------------------------------------------------------------------ Code V (A) (D) ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ 9. Number of 10. Ownership 11. Nature of derivative Form of Indirect Securities Derivative Beneficial Beneficilly Security: Ownership Owned Direct (D) (Instr.4) at End of or Indirect Month (I) (Instr.4) (Instr.4) ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ Explanation of Responses: ------------------------------------------------------------------------------------------------------------------------------------ Russell Cleveland ------------------------------------------------------------------------------------------------------------------------------------ February 13, 2002 ------------------------------------------------------------------------------------------------------------------------------------ ** Intentional misstatements or omissions of facts **Signature of Reporting Person Date 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. Page 2 ------------------------------------------------------------------------------------------------------------------------------------ Potential persons who are to respond to the collection of information contained SEC 1474 (7-96) in this form are not required to respond unless the form displays a currently valid OMB Number. 1997(C) ProFormWare 561-447-6684 ------------------------------------------------------------------------------------------------------------------------------------