-----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, FFkdpwTHNspY1A0tlgcN4MW3oLZEuMOpAn1mOWRXyIkOPC0RD9vi5zJOtundZlNf kR0eeFOhlZvKcv2G5Hw8+g== 0000891020-00-000316.txt : 20000216 0000891020-00-000316.hdr.sgml : 20000216 ACCESSION NUMBER: 0000891020-00-000316 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20000215 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: REDHOOK ALE BREWERY INC CENTRAL INDEX KEY: 0000892222 STANDARD INDUSTRIAL CLASSIFICATION: MALT BEVERAGES [2082] IRS NUMBER: 911141254 STATE OF INCORPORATION: WA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-49527 FILM NUMBER: 546440 BUSINESS ADDRESS: STREET 1: 3400 PHINNEY AVE N CITY: SEATTLE STATE: WA ZIP: 98103 BUSINESS PHONE: 2065488000 MAIL ADDRESS: STREET 1: 3400 PHINNEY AVE N CITY: SEATTLE STATE: WA ZIP: 98103 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: SHIPMAN PAUL S CENTRAL INDEX KEY: 0001008383 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 3400 PHINNEY AVE NORTH CITY: SEATTLE STATE: WA ZIP: 98103 BUSINESS PHONE: 2065488000 MAIL ADDRESS: STREET 1: 3400 PHINNEY AVENUE CITY: SEATTLE STATE: WA ZIP: 98103 SC 13G/A 1 STATEMENT OF BENEFICIAL OWNERSHIP 1 SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G (RULE 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b)(c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (AMENDMENT NO. 3) Redhook Ale Brewery, Incorporated - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock - -------------------------------------------------------------------------------- (Title of Class of Securities) 757473 10 3 -------------------------------------------------------- (CUSIP Number) Page 1 of 4 Pages 2 - ----------------------------------------- ----------------------------------------- CUSIP NO. 757473103 13G PAGE 2 OF 4 PAGES - ----------------------------------------- ----------------------------------------- - ------------------------ ----------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Paul S. Shipman - ------------------------ ----------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMEBER OF A GROUP (a) [ ] Not Applicable (b) [ ] - ------------------------ ----------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------------------ ----------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United State of America - ------------------------ ----------------------------------------------------------------------------------------------------- 5 SOLE VOTING POWER 538,350 shares NUMBER OF ----------------------------------------------------------------------------------------------------- SHARES 6 SHARED VOTING POWER BENEFICIALLY 13,300 shares OWNED BY ----------------------------------------------------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING 538,350 shares PERSON ----------------------------------------------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 13,300 shares - ------------------------ ----------------------------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALY OWNED BY EACH REPORTING PERSON 551,650 shares - ------------------------ ----------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] Not Applicable - ------------------------ ----------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 7.18% - ------------------------ ----------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - ------------------------ -----------------------------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILING OUT Page 2 of 4 Pages 3 SCHEDULE 13G Item 1(a) Name of Issuer: Redhook Ale Brewery, Incorporated 1(b) Address of Issuer's Principal Executive Offices: 3400 Phinney Avenue North Seattle, Washington 98103 Item 2(a) Name of Person Filing: Paul S. Shipman 2(b) Address of Principal Business Office or, if none, Residence: 3400 Phinney Avenue North Seattle, Washington 98103 2(c) Citizenship: United States of America 2(d) Title of Class of Securities: Common Stock 2(e) CUSIP Number: 757473 10 3 Item 3 If this statement is filed pursuant to Rules 13d-1(b), or 13d-2(b) or (c), Check Whether the Person Filing is a: Not Applicable. Item 4 Ownership 4(a) Amount beneficially owned: 551,650 shares* 4(b) Percent of Class: 7.18% 4(c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: 538,350 shares* (ii) shared power to vote or to direct the vote: 13,300 shares *Includes 254,250 shares subject to options of which not all are fully vested as of December 31, 1999. Page 3 of 4 Pages 4 (iii) sole power to dispose or to direct the disposition of: 538,350 shares* (iv) shared power to dispose or to direct the disposition of: 13,300 shares 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 [ ]. Not Applicable. 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 Certifications: Not Applicable. 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, 2000 -------------------------------------- (Date) /s/ Paul S. Shipman -------------------------------------- (Signature) Paul S. Shipman/President/CEO/Chairman -------------------------------------- (Name/Title) Page 4 of 4 Pages -----END PRIVACY-ENHANCED MESSAGE-----