-----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, Nl/Zmk6TOJE3vwzl5MHUCOsg6GsZ2a65gSVjgSJW1pRsFkEa9z7jZstdHskrHMBY ArC8yv71BAH0kfnhD/Hkng== 0001009448-06-000017.txt : 20060214 0001009448-06-000017.hdr.sgml : 20060214 20060214164213 ACCESSION NUMBER: 0001009448-06-000017 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20060214 DATE AS OF CHANGE: 20060214 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: Tarpon Industries, Inc. CENTRAL INDEX KEY: 0001303565 STANDARD INDUSTRIAL CLASSIFICATION: STEEL PIPE & TUBES [3317] IRS NUMBER: 300030900 STATE OF INCORPORATION: MI FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-81583 FILM NUMBER: 06616131 BUSINESS ADDRESS: STREET 1: 2420 WILLS STREET CITY: MARYSVILLE STATE: MI ZIP: 48040 BUSINESS PHONE: 810-364-7421 MAIL ADDRESS: STREET 1: 2420 WILLS STREET CITY: MARYSVILLE STATE: MI ZIP: 48040 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Tarpon Industries, Inc. CENTRAL INDEX KEY: 0001303565 STANDARD INDUSTRIAL CLASSIFICATION: STEEL PIPE & TUBES [3317] IRS NUMBER: 300030900 STATE OF INCORPORATION: MI FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 2420 WILLS STREET CITY: MARYSVILLE STATE: MI ZIP: 48040 BUSINESS PHONE: 810-364-7421 MAIL ADDRESS: STREET 1: 2420 WILLS STREET CITY: MARYSVILLE STATE: MI ZIP: 48040 SC 13G 1 tarpon13g.txt TARPON 13G 0MB APPROVAL 0MB Number: 3235-0145 Expires: February 28, 2006 Estimated average burden hours per response 11 ---------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. _________)* Tarpon Industries, Inc. ----------------------- (Name of Issuer) Common Stock, No Par Value -------------------------- (Title of Class of Securities) 876223108 ------------- (CUSIP Number) (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [ ] Rule 13d-l(b) [ ] Rule 13d-l(c) [X] Rule 13d-l(d) *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). CUSIP No. 876223108 - ------------------------------------------------------------------------------ 1. Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only). Gary D. Lewis - ------------------------------------------------------------------------------ 2. Check the Appropriate Box if a Member of a Group (See Instructions) (a) (b) - ------------------------------------------------------------------------------ 3. SEC Use Only - ------------------------------------------------------------------------------ 4. Citizenship or Place of Organization United States - ------------------------------------------------------------------------------ Number of 5. Sole Voting Power 80,000 Shares Bene- ____________________________________________________________ ficially by 6. Shared Voting Power 309,751 Owned by Each ____________________________________________________________ Reporting 7. Sole Dispositive Power 80,000 Person With: ____________________________________________________________ 8. Shared Dispositive Power 309,751 ____________________________________________________________ 9. Aggregate Amount Beneficially Owned by Each Reporting Person 389,751 10.Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) * 11.Percent of Class Represented by Amount in Row (9) 8.3% - ------------------------------------------------------------------------------ 12.Type of Reporting Person (See Instructions) IN Includes (a) 309,751 common shares owned jointly by the Reporting Person and his wife, with whom he shares voting and investment power and (b) 80,000 common shares that the Reporting Person has the right to acquire within 60 days of December 31, 2005. Does not include (a) 41,858 common shares owned by his adult son, who does not live with him, (b) 8,371 common shares owned by his other adult son, who does not live with him, (c) 8,371 common shares owned by his adult daughter, who does not live with him and (d) 30,000 common shares that Mr. Lewis's adult son, Gary N. Lewis, has the right to acquire within 60 days of December 31, 2005. Mr. Lewis disclaims beneficial ownership of the common shares held by his adult children or which they have a right to acquire. CUSIP No. 876223108 - ------------------------------------------------------------------------------ 1. Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only). Catherine Lewis - ------------------------------------------------------------------------------ 2. Check the Appropriate Box if a Member of a Group (See Instructions) (a) (b) - ------------------------------------------------------------------------------ 3. SEC Use Only - ------------------------------------------------------------------------------ 4. Citizenship or Place of Organization United States - ------------------------------------------------------------------------------ Number of 5. Sole Voting Power 0 Shares Bene- ____________________________________________________________ ficially by 6. Shared Voting Power 309,751 Owned by Each ____________________________________________________________ Reporting 7. Sole Dispositive Power 0 Person With: ____________________________________________________________ 8. Shared Dispositive Powe 309,751 - ------------------------------------------------------------------------------ 9. Aggregate Amount Beneficially Owned by Each Reporting Person 309,751 10.Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)* 11.Percent of Class Represented by Amount in Row (9) 6.7% - ------------------------------------------------------------------------------ 12.Type of Reporting Person (See Instructions) IN Includes 309,751 common shares owned jointly by the Reporting Person and her husband, with whom she shares voting and investment power. Does not include (a) 41,858 common shares owned by her adult son, who does not live with her, (b) 8,371 common shares owned by her other adult son, who does not live with her, (c) 8,371 common shares owned by her adult daughter, who does not live with her and (d) 30,000 common shares that Mrs. Lewis's adult son, Gary N. Lewis, has the right to acquire within 60 days of December 31, 2005. Mrs. Lewis disclaims beneficial ownership of the common shares held by her adult children or which they have a right to acquire. Item 1. (a)Name of Issuer Tarpon Industries, Inc. (b)Address of Issuer's Principal Executive Offices 2420 Wills Street, Marysville, Michigan 48040 Item 2. (a)Name of Person Filing Gary D. Lewis Catherine Lewis Except as described herein, the Securities are beneficially owned by Gary D. Lewis together with his wife, Catherine Lewis, as stated on Exhibit A hereto. (b) Address of Principal Business Office or, if none, Residence c/o Bainbridge Advisors, Inc. P.O. Box 36940 Grosse Pointe, MI 48236 (c)Citizenship United States (d)Title of Class of Securities Common Stock, no par value (e)CUSIP Number 876223108 Item 3. If this statement is filed pursuant to ss.~240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a: (a) [ ] Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o). (b) [ ] Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c). (c) [ ] Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c). (d) [ ] Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C80a-8). (e) [ ] An investment adviser in accordance with ss.240.13d-1(b)(1)(ii)E); (f) [ ] An employee benefit plan or endowment fund in accordance with ss.240.13d-1(b)(1)(ii)(F); (g) [ ] A parent holding company or control person in accordance with ss. 240.13d-1(b)(l)(ii)(G); (h) [ ] A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); (i) [ ] A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3); (j) [ ] Group, in accordance with ss.240.13d-1(b)(1)(ii)(J). Item 4. Ownership. Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1. (a) Amount beneficially owned: Gary D. Lewis: 389,751 Catherine Lewis: 309,751 (b) Percent of class: Gary D. Lewis 8.3% Catherine Lewis 6.7% (c) Number of shares as to which the person has: (i) Sole power to vote or to direct the vote 80,000(1) (ii) Shared power to vote or to direct the vote 309,751 (iii) Sole power to dispose or to direct the disposition of 80,000(1) (iv) Shared power to dispose or to direct the disposition of 309,751 (1) Owned by Gary D. Lewis Item 5. Ownership of Five Percent or Less of a Class If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following [ ]. Item 6. Ownership of More than Five Percent on Behalf of Another Person. Not applicable Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company Not applicable. Item 8. Identification and Classification of Members of the Group Not applicable. Item 9. Notice of Dissolution of Group Not applicable. Item 10. Certification Not applicable. Reporting person is filing pursuant to Rule 13d-1(d). SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. February 14, 2006 - ----------------------- Date /s/ Gary D . Lewis - ----------------------- Gary D. Lewis Exhibit A We, Gary D. Lewis and Catherine Lewis, hereby affirm that this Schedule 13G is being filed by both of us as beneficial owners of the aggregate number of shares of Tarpon Industries, Inc. listed therein. Dated: February 14, 2006 /s/Gary D. Lewis - ----------------------------- Gary D. Lewis /s/Catherine Lewis - ----------------------------- Catherine Lewis -----END PRIVACY-ENHANCED MESSAGE-----