-----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, Rw3zvKL5OVmSa57SSXV+W5yTPjNIEt6ZR8wQj4vY3QjxA2aONbwnn2lp0VhqmZCy l+6AiAlYRsaf0tWXJ8VhCg== 0001221315-03-000007.txt : 20030319 0001221315-03-000007.hdr.sgml : 20030319 20030319132237 ACCESSION NUMBER: 0001221315-03-000007 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20030319 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: STEINBERG STUART CENTRAL INDEX KEY: 0001221315 FILING VALUES: FORM TYPE: SC 13G MAIL ADDRESS: STREET 1: 120 BROADWAY STREET 2: 21ST FL CITY: NEW YORK STATE: NY ZIP: 10271 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: MITCHAM INDUSTRIES INC CENTRAL INDEX KEY: 0000926423 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-EQUIPMENT RENTAL & LEASING, NEC [7359] IRS NUMBER: 760210849 STATE OF INCORPORATION: TX FISCAL YEAR END: 0131 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-47566 FILM NUMBER: 03608851 BUSINESS ADDRESS: STREET 1: 44000 HIGHWAY 75 SOUTH STREET 2: PO BOX 1175 CITY: HUNTSVILLE STATE: TX ZIP: 77340 BUSINESS PHONE: 4092912277 MAIL ADDRESS: STREET 1: P O BOX 1175 CITY: HUNTSVILLE STATE: TX ZIP: 77342-1175 SC 13G 1 g13.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 Mitcham Industries, Inc. - ------------------------------------------------------------------------------- (Name of Issuer) Common Stock - ------------------------------------------------------------------------------- (Title of Class of Securities) 606501104 - ----------------------------------------------------------------------------- (CUSIP Number) STUART STERNBERG C/O Spear Leeds & Kellogg 120 BROADWAY NEW YORK NY 10271 (212)-433-7711 - ------------------------------------------------ (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) march 14,2003 - ------------------------------------------------------------------------------- (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-1(b) [ X] Rule 13d-1(c) [ ] Rule 13d-1(d) CUSIP NO. 606501104 - ------------------------------------------------------------------- NAMES OF REPORTING PERSONS 1 I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Stuart Sternberg - ------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) 2 (a) [_] (b) [_] - --------------------------------------------------------- SEC USE ONLY 3 - ---------------------------------------------------------------- CITIZENSHIP OR PLACE OF ORGANIZATION 4 New York - ----------------------------------------------------------------- SOLE VOTING POWER 5 NUMBER OF 929,000 SHARES ------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 6 OWNED BY 929,000 ------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7 REPORTING 929,000 PERSON ---------------------------------------- SHARED DISPOSITIVE POWER WITH: 8 929,000 - ---------------------------------------------------------------------- AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 929,000 - --------------------------------------------------------------------- CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN 10 SHARES (SEE INSTRUCTIONS) [_] - --------------------------------------------------------------------------- PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 10.60% - ----------------------------------------------------------------------- TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) 12 IN - -------------------------------------------------------------------------------- Item 1. (a) Name of Issuer Mitcham Industries Inc (b) Address of Issuer's Principal Executive Offices 4400 Highway 75 South, Huntsville, Tx 77340 Item 2. (a) Name of Person Filing Stuart Sternberg (b) Address of Principal Business Office or, if none, Residence Spear Leeds Kellogg 120 Broadway, 8th floor New York, NY 10271 (c) Citizenship U.S.A. (d) Title of Class of Securities Common Stock (e) CUSIP Number 606501104 Item 3. If This Statement is Filed Pursuant to Rule 13d-1(b), or 13d-2(b) or (c), Check Whether the Person Filing is a: (a) [ Broker or dealer registered under Section 15 of the Exchange Act. (b) [ ] Bank as defined in Section 3(a)(6) of the Exchange Act (c) [ ] Insurance company as defined in Section 3(a)(19) of the Exchange Act. (d) [ ] Investment company registered under Section 8 of the Investment Company Act. (e) [ ] An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E); (f) [ ] An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F); (g) [ ] A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G); (h) [ ] A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act; (i) [ ] A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act; (j) [ ] Group, in accordance with Rule 13d-1(b)(1)(ii)(J). Item 4. Ownership. (a) Amount beneficially owned:929,000 (b) Percent of class:10.60% (c) Number of shares as to which the person has: (i) Sole power to vote or to direct the vote 929,000 (ii) Shared power to vote or to direct the vote - 929,000 (iii)Sole power to dispose or to direct the disposition of 929,000 (iv) Shared power to dispose or to direct the disposition of - 929,000 Item 5. Ownership of Five Percent or Less of a Class. N/A Item 6. Ownership of More than Five Percent on Behalf of Another Person. n/a Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company. n/a Item 8. Identification and Classification of Members of the Group. n/a Item 9. Notice of Dissolution of a Group. Not applicable. Item 10. Certification. 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. March 19, 2003 ---------------------------------- Date Stuart Sternberg ---------------------------------- _____________________________________________________ -----END PRIVACY-ENHANCED MESSAGE-----