FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 11/24/2007 |
3. Issuer Name and Ticker or Trading Symbol
Strasbaugh [ STRB.PK ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 2,045 | D | |
Common Stock | 5,629(1) | I | Held by Milfam II L.P. |
Common Stock | 109(1) | I | Held by Catherine C. Miller - Irrevocable Trust Agreement |
Common Stock | 109(1) | I | Held by Kimberly S. Miller - Irrevocable Trust Agreement |
Common Stock | 48(1) | I | Held by Milfam LLC |
Common Stock | 48(1) | I | Held by Lloyd I. Miller, IV |
Common Stock | 209(1) | I | Held by Alexandra B. Miller |
Common Stock | 622(1) | I | Held by Trust A 4 - Lloyd I. Miller |
Common Stock | 661(1) | I | Held by Trust C - Lloyd I. Miller |
Common Stock | 48(1) | I | Held by Lloyd Crider - Irrevocable Trust Agreement |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Series A Cumulative Redeemable Convertible Preferred Stock | 05/24/2007 | (2) | Common Stock | 1,000,000 | $2.2 | D | |
Series A Cumulative Redeemable Convertible Preferred Stock | 05/24/2007 | (2) | Common Stock | 1,000,000(1) | $2.2 | I | Held by Milfam II L.P. |
Warrant (right to buy) | 10/31/2007 | 05/24/2012 | Common Stock | 150,000 | $2.42 | D | |
Warrant (right to buy) | 10/31/2007 | 05/24/2012 | Common Stock | 150,000(1) | $2.42 | I | Held by Milfam II L.P. |
Explanation of Responses: |
1. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. This filing shall not be deemed an admission that the reporting person is, for purposes of Section 16 of the Act or otherwise, the beneficial owner of any equity securities covered by this filing. |
2. N/A |
Remarks: |
/s/ Lloyd I. Miller | 08/07/2008 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |