-----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, G0E34WAbO0ONNaIfo977iOUVMQ2uMjpYtPqwZ9UUlY+q7sG+c43APbKXUqXCFtx3 9qLlJReMFTHj8oShPoBPmw== 0001009448-07-000027.txt : 20070207 0001009448-07-000027.hdr.sgml : 20070207 20070207125221 ACCESSION NUMBER: 0001009448-07-000027 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20070207 DATE AS OF CHANGE: 20070207 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: 07587094 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: Alagna Joseph A Jr CENTRAL INDEX KEY: 0001389205 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: BUSINESS PHONE: 212-440-9600 MAIL ADDRESS: STREET 1: 30 BROAD STREET STREET 2: 11TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10004 SC 13G 1 alagnasch13g.txt JOSEPH ALAGNA JR SCH 13G 0MB APPROVAL 0MB Number: 3235-0145 UNITED STATES Expires: February 28, 2009 SECURITIES AND EXCHANGE COMMISSION Estimated average burden Washington, D.C. 20549 hours per response 10.4 --------------------------- 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) December 7, 2006 ---------------- (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) [X] Rule 13d-l(c) [ ] 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. Joseph A. Alagna, Jr. I.R.S. Identification Nos. of above persons (entities only). - ------------------------------------------------------------------------------- 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 271,005 Shares Bene- _____________________________________________________________ ficially by 6. Shared Voting Power 0 Owned by Each _____________________________________________________________ Reporting 7. Sole Dispositive Power 271,005 Person With: _____________________________________________________________ 8. Shared Dispositive Power 0 - ------------------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 271,005* 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) N/A 11. Percent of Class Represented by Amount in Row (9) 5.1% - ------------------------------------------------------------------------------- 12. Type of Reporting Person (See Instructions) IN * Includes warrants to purchase 271,005 shares. 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 Joseph A. Alagna, Jr (b) Address of Principal Business Office or, if none, Residence 30 Broad Street New York, New York 10004 (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 Section 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.C 80a-8). (e) [ ] An investment adviser in accordance with Section 240.13d-1(b)(1)(ii)(E); (f) [ ] An employee benefit plan or endowment fund in accordance with Section 240.13d-1(b)(1)(ii)(F); (g) [ ] A parent holding company or control person in accordance with Section 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 Section 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: 271,005 (b) Percent of class: 5.1% (c) Number of shares as to which the person has: (i) Sole power to vote or to direct the vote 271,005 (ii) Shared power to vote or to direct the vote 0 (iii) Sole power to dispose or to direct the disposition of 271,005 (iv) Shared power to dispose or to direct the disposition of 0 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 By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. 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 7, 2007 --------------------- Date /s/ Joseph A. Alagna, Jr. ------------------------ Joseph A. Alagna, Jr -----END PRIVACY-ENHANCED MESSAGE-----