-----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, MerBTtMpXhMTZ1JcdZaTTagdRuyU83jbqq/9m2nC9spBrqMf5G0s/Rah8sRAajIX BDTm8NmmYVwrC+LcdAjJoQ== 0001026121-98-000013.txt : 19980406 0001026121-98-000013.hdr.sgml : 19980406 ACCESSION NUMBER: 0001026121-98-000013 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980403 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: R F INDUSTRIES LTD CENTRAL INDEX KEY: 0000740664 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRONIC CONNECTORS [3678] IRS NUMBER: 880168936 STATE OF INCORPORATION: NV FISCAL YEAR END: 1031 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: SEC FILE NUMBER: 005-36926 FILM NUMBER: 98587455 BUSINESS ADDRESS: STREET 1: 7610 MIRAMAR RD STREET 2: BLDG 6000 CITY: SAN DIEGO STATE: CA ZIP: 92126 BUSINESS PHONE: 6195496340 MAIL ADDRESS: STREET 1: 7620 MIRAMAR RD #4100 STREET 2: 7620 MIRAMAR RD #4100 CITY: SAN DIEGO STATE: CA ZIP: 92126-4202 FORMER COMPANY: FORMER CONFORMED NAME: CELLTRONICS INC DATE OF NAME CHANGE: 19910204 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: WACHTEL & MASYR LLP /FA CENTRAL INDEX KEY: 0001026121 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 110 EAST 59TH STREET SUITE 2700 CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2129099500 MAIL ADDRESS: STREET 1: 110 EAST 59TH STREET STREET 2: SUITE 2700 CITY: NEW YORK STATE: NY ZIP: 10022 FORMER COMPANY: FORMER CONFORMED NAME: GOLD & WACHTEL LLP DATE OF NAME CHANGE: 19961030 SC 13D/A 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1)* RF INDUSTRIES, LTD. - ---------------------------------------------------------------------------- (Name of Issuer) COMMON STOCK, $.01 PAR VALUE - ---------------------------------------------------------------------------- (Title of Class of Securities) - ---------------------------------------------------------------------------- (CUSIP Number) I.F. SHOTKIN, ESQ., WACHTEL & MASYR, LLP. 110 EAST 59TH STREET, NY, NY 10022 (212) 909-9500 - ---------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notice and Communication) MARCH 3, 1998 - ---------------------------------------------------------------------------- (Date of Event which Requires Filing of this Statement) If the filing person has previously filed a statement on Schedule 13G to report the acquisition which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(b)(3) or (4), check the following box. [] Note: Six copies of this statement, including all exhibits, should be filed with the Commission. See Rule 13d-1(a) for other parties to whom copies are to be sent. *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 disclosures provided in a prior cover page. The information required on 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 other provisions of the Act (however, see the Notes). CUSIP NO. 1. Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only). Joan Shapiro 2. Check the Appropriate Box if a Member of a Group (See Instructions) (a) [X] (b) [ ] 3. SEC Use Only 4. Source of Funds (See Instructions) PF 5. Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(c). [ ] 6. Citizenship or Place of Organization UNITED STATES Number of Shares Beneficially Owned by Each Reporting Person With: 7. Sole Voting Power 70,900 8. Shared Voting Power -0- 9. Sole Dispositive Power 70,900 10. Shared Dispositive Power -0- 11. Aggregate Amount Beneficially Owned by Each Reporting Person 70,900 12. Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [ ] 13. Percent of Class Represented by Amount in Row (11) 2.3% 14. Type of Reporting Person (See Instructions) IN CUSIP NO. 1. Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only). STUART SCHAPIRO 2. Check the Appropriate Box if a Member of a Group (See Instructions) (a) [X] (b) [ ] 3. SEC Use Only 4. Source of Funds (See Instructions) PF 5. Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(c). [ ] 6. Citizenship or Place of Organization UNITED STATES Number of Shares Beneficially Owned by Each Reporting Person With 7. Sole Voting Power 18,000 8. Shared Voting Power -0- 9. Sole Dispositive Power 18,000 10. Shared Dispositive Power -0- 11. Aggregate Amount Beneficially Owned by Each Reporting Person 18,000 12. Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [ ] 13. Percent of Class Represented by Amount in Row (11) .6 14. Type of Reporting Person (See Instructions) IN CUSIP NO. 1. Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only). ROCK ASSOCIATES 2. Check the Appropriate Box if a Member of a Group (See Instructions) (a) [X] (b) [ ] 3. SEC Use Only 4. Source of Funds (See Instructions) WC 5. Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(c). [ ] 6. Citizenship or Place of Organization NEW YORK Number of Shares Beneficially Owned by Each Reporting Person With 7. Sole Voting Power 61,000 8. Shared Voting Power -0- 9. Sole Dispositive Power 61,000 10. Shared Dispositive Power -0- 11. Aggregate Amount Beneficially Owned by Each Reporting Person 61,000 12. Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [ ] 13. Percent of Class Represented by Amount in Row (11) 2% 14. Type of Reporting Person (See Instructions) PN RIDER Item 1. Security and Issuer. This statement relates to the Common Stock, $.01 par value (the "Common Stock"), of RF Industries, Ltd. (the "Company"). The Company's principal executive officers are located at 7610 Miramar Road, Bldg. 6000, San Diego, California 92126-4202. Item 5. Interest in Securities of the Issuer. (a) The reporting persons beneficially own an aggregate of 149,900 shares of the Common Stock, which shares, based on the 3,064,598 shares of the Common Stock reported as outstanding as of January 31, 1998 in the Company's Quarterly Report on Form 10-QSB for the quarter ended January 31, 1998, would constitute 4.9% of the outstanding shares. All of these 149,900 are outstanding and the reporting persons own no options or warrants to purchase shares of the Common Stock. The limited partners of Rock Associates own no shares of the Common Stock except through the partnership. (c) The reporting persons engaged in the following sales of shares of the Common Stock during the past 60 days, all of which sales were made in open market sales. There were no purchases during such 60-day period. (i) Joan Schapiro Date Number of Shares Sales Price Per Share - ---- ---------------- --------------------- 3/3/98 5000 1.875 3/9/98 3000 1.625 3/10/98 4300 1.75 3/11/98 2400 1.75 3/17/98 2000 1.875 3/30/98 600 2.03125 SIGNATURE After reasonable inquiry and to the best of my knowledge and behalf, I certify that the information set forth in this statement is true, complete and correct. April 1, 1998 /s/ Joan Schapiro - ------------------ (Signature) Joan Schapiro - ------------------- (Name and Title) /s/ Stuart Schapiro - ------------------- (Signature) Stuart Schapiro - --------------------- (Name and Title) ROCK ASSOCIATES By: /s/ Stuart Schapiro -------------------- (Signature) Stuart Schapiro, General Partner -------------------------------- (Name and Title) -----END PRIVACY-ENHANCED MESSAGE-----