-----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, Bf9NVqpp6ceJDxbUTXfiLp4U2/owxTs9YR8C14asICyVCfF1oiHPgcNIhCLw1OyI +LNpu7TUB4l6y0MUSlrEug== 0001095811-01-500056.txt : 20010224 0001095811-01-500056.hdr.sgml : 20010224 ACCESSION NUMBER: 0001095811-01-500056 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20010221 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: 1551150 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 v69839a3sc13ga.txt AMENDMENT NO. 3 TO SCHEDULE 13G 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 NAMES OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Paul S. Shipman - ------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER (a) [ ] OF A GROUP (b) [ ] Not Applicable - ------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States of America - ------------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF 318,350 shares SHARES --------------------------------------------------------- BENEFICIALLY 6 SHARED VOTING POWER OWNED BY 13,300 shares EACH --------------------------------------------------------- REPORTING 7 SOLE DISPOSITIVE POWER PERSON WITH 318,350 shares --------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 13,300 shares - ------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 331,650 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) 4.54% - ------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - ------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING 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: 331,650 shares 4(b) Percent of Class: 4.54% 4(c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: 318,350 shares (ii) shared power to vote or to direct the vote: 13,300 shares *Includes 49,250 shares subject to options of which not all are fully vested as of December 31, 2000. Page 3 of 4 Pages 4 (iii) sole power to dispose or to direct the disposition of: 318,350 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 [X]. 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 21, 2000 -------------------------------------- Date /s/ Paul S. Shipman -------------------------------------- Signature Paul S. Shipman/President/CEO/Chairman -------------------------------------- Name/Title Page 4 of 4 Pages -----END PRIVACY-ENHANCED MESSAGE-----