-----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, WET2k3MDrir3gf+wFqLJKHvN7uy8OB2SKU5jy/k3q08whVCSOWqUQKVEYT6AsevX ydyrbaRBP0BmJRM2kWMcKQ== 0001260568-09-000010.txt : 20090622 0001260568-09-000010.hdr.sgml : 20090622 20090622135101 ACCESSION NUMBER: 0001260568-09-000010 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20090622 DATE AS OF CHANGE: 20090622 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Goldstein Lawrence J CENTRAL INDEX KEY: 0001260568 FILING VALUES: FORM TYPE: SC 13G/A MAIL ADDRESS: STREET 1: 1865 PALMER AVE 108 CITY: LARCHMONT STATE: NY ZIP: 10538 FORMER COMPANY: FORMER CONFORMED NAME: GOLDSTEIN LAWRENCE J DATE OF NAME CHANGE: 20030820 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: FRMO CORP CENTRAL INDEX KEY: 0001042017 STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282] IRS NUMBER: 133754422 STATE OF INCORPORATION: DE FISCAL YEAR END: 0228 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-54983 FILM NUMBER: 09902981 BUSINESS ADDRESS: STREET 1: 320 MANVILLE ROAD CITY: PLEASANTVILLE STATE: NY ZIP: 10570 BUSINESS PHONE: 914-636-3430 MAIL ADDRESS: STREET 1: 320 MANVILLE ROAD CITY: PLEASANTVILLE STATE: NY ZIP: 10570 FORMER COMPANY: FORMER CONFORMED NAME: FRM NEXUS INC DATE OF NAME CHANGE: 19970708 SC 13G/A 1 frmo13gamendment1.txt SC 13G 1 frmo13g #1.txt SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 - ---------------- SCHEDULE 13G Amendment No. 1 (Rule 13d-101) Under the Securities Exchange Act of 1934 FRMO CORP - ----------------------------------------------------------- (Name of Issuer) COMMON STOCK, PAR VALUE $0.01 PER SHARE - ----------------------------------------------------------- (Title of Class of Securities) 0001042017 - ----------------------------------------------------------- (CUSIP Number) June 22,2009 - ----------------------------------------------------------- (Date of Event that 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. 0001042017 1 NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) LAWRENCE J. GOLDSTEIN ___________________________________________________________ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [X] ___________________________________________________________ 3 SEC USE ONLY ___________________________________________________________ 4 CITIZENSHIP OR PLACE OF ORGANIZATION NEW YORK ___________________________________________________________ 7 SOLE VOTING POWER NUMBER OF 2,698,484 SHARES -------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY 0 EACH REPORTING -------------------------------------- PERSON WITH 9 SOLE DISPOSITIVE POWER 2,790,111 -------------------------------------- 10 SHARED DISPOSITIVE POWER 0 _____________________________________________________________ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,993,775 ______________________________________________________________ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [X] ___________________________________________________________ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 7.73% ___________________________________________________________ 14 TYPE OF REPORTING PERSON IN __________________________________________________________ Filing by Lawrence J. Goldstein of this statement shall not be construed as an admission that such person is, for purposes of Section 13(d) of the Securities Exchange Act of 1934, the beneficial owner of any securities covered by this statement. CUSIP No. 0001042017 1 NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Barbara J. & Lawrence J. Goldstein Do Good Foundation 13-3915414 ___________________________________________________________ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [X] ___________________________________________________________ 3 SEC USE ONLY ___________________________________________________________ 4 CITIZENSHIP OR PLACE OF ORGANIZATION NEW YORK ___________________________________________________________ 7 SOLE VOTING POWER NUMBER OF 3,000 SHARES -------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY 0 EACH REPORTING -------------------------------------- PERSON WITH 9 SOLE DISPOSITIVE POWER 3,000 -------------------------------------- 10 SHARED DISPOSITIVE POWER 0 _____________________________________________________________ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 3,000 ______________________________________________________________ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [X] ___________________________________________________________ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.008% ___________________________________________________________ 14 TYPE OF REPORTING PERSON OO________________________________________ Filing by the Barbara J. & Lawrence J. Goldstein Do Good Foundation of this statement shall not be construed as an admission that such person is, for purposes of Section 13(d) of the Securities Exchange Act of 1934, the beneficial owner of any securities covered by this statement. CUSIP No. 0001042017 ___________________________________________________________ 1 NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) SANTA MONICA PARTNERS, L.P. 13-3100474 _______________________________________________________ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [X] ___________________________________________________________ 3 SEC USE ONLY ___________________________________________________________ 4 CITIZENSHIP OR PLACE OF ORGANIZATION NEW YORK ___________________________________________________________ 7 SOLE VOTING POWER NUMBER OF 673,000 SHARES -------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY 0 EACH REPORTING -------------------------------------- PERSON WITH 9 SOLE DISPOSITIVE POWER 673,000 -------------------------------------- 10 SHARED DISPOSITIVE POWER 0 _____________________________________________________________ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 673,000 ______________________________________________________________ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [X] ___________________________________________________________ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 1.86% ___________________________________________________________ 14 TYPE OF REPORTING PERSON PN Filing by Santa Monica Partners, L.P. of this statement shall not be construed as an admission that such entity is, for purposes of Section 13(G) of the Securities Exchange Act of 1934, the beneficial owner of any other securities covered by this statement. CUSIP No. 0001042017 1 NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) SMP ASSET MANAGEMENT LLC 42-1582561 ___________________________________________________________ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [X] ___________________________________________________________ 3 SEC USE ONLY ___________________________________________________________ 4 CITIZENSHIP OR PLACE OF ORGANIZATION DELAWARE ___________________________________________________________ 7 SOLE VOTING POWER NUMBER OF 673,000 SHARES -------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY 0 EACH REPORTING -------------------------------------- PERSON WITH 9 SOLE DISPOSITIVE POWER 673,000 -------------------------------------- 10 SHARED DISPOSITIVE POWER 0 _____________________________________________________________ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 673,000 ______________________________________________________________ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [X] ___________________________________________________________ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 1.86% ___________________________________________________________ 14 TYPE OF REPORTING PERSON OO (LLC) ___________________________________________________________ Filing by SMP Asset Management, LLC of this statement shall not be construed as an admission that such entity is, for purposes of Section 13(d) of the Securities Exchange Act of 1934, the beneficial owner of any other securities covered by this statement. CUSIP No. 0001042017 ___________________________________________________________ 1 NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) SANTA MONICA PARTNERS II, L.P. 48-1289758 _______________________________________________________ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [X] ___________________________________________________________ 3 SEC USE ONLY ___________________________________________________________ 4 CITIZENSHIP OR PLACE OF ORGANIZATION NEW YORK ___________________________________________________________ 7 SOLE VOTING POWER NUMBER OF 28,709 SHARES -------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY 0 EACH REPORTING -------------------------------------- PERSON WITH 9 SOLE DISPOSITIVE POWER 28,709 -------------------------------------- 10 SHARED DISPOSITIVE POWER 0 _____________________________________________________________ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 28,709 ______________________________________________________________ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [X] ___________________________________________________________ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.08% ___________________________________________________________ 14 TYPE OF REPORTING PERSON PN Filing by Santa Monica Partners II, L.P. of this statement shall not be construed as an admission that such entity is, for purposes of Section 13(G) of the Securities Exchange Act of 1934, the beneficial owner of any other securities covered by this statement. CUSIP No. 0001042017 ___________________________________________________________ 1 NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) SANTA MONICA PARTNERS ASSET MANAGEMENT, L.P. 42-1582565 _______________________________________________________ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [X] ___________________________________________________________ 3 SEC USE ONLY ___________________________________________________________ 4 CITIZENSHIP OR PLACE OF ORGANIZATION NEW YORK ___________________________________________________________ 7 SOLE VOTING POWER NUMBER OF 28,709 SHARES -------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY 0 EACH REPORTING -------------------------------------- PERSON WITH 9 SOLE DISPOSITIVE POWER 28,709 -------------------------------------- 10 SHARED DISPOSITIVE POWER 0 _____________________________________________________________ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 28,709 ______________________________________________________________ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [X] ___________________________________________________________ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.08% ___________________________________________________________ 14 TYPE OF REPORTING PERSON PN Filing by Santa Monica Partners Asset Management, LLC of this statement shall not be construed as an admission that such entity is, for purposes of Section 13(G) of the Securities Exchange Act of 1934, the beneficial owner of any other securities covered by this statement. CUSIP No. 0001042017 FRMO CORP. SCHEDULE 13G Item 1. (a) FRMO CORP. (b) 320 Manville Road, Pleasantville, New York 10570 Item 2. Identity and Background. (a) This Statement is being filed by Lawrence J. Goldstein, an individual investor and the president and sole owner of SMP Asset Management, a Delaware limited liability company that acts as the general partner of Santa Monica Partners ("SMP Asset Management"). He is also president of Santa Monica Partners, L.P., a New York limited partnership ("Santa Monica Partners"). In addition, Mr. Goldstein is the president and sole owner Santa Monica Partners Asset Management, a Delaware limited liability company that acts as the general partner of Santa Monica Partners II, L.P.("Santa Monica Partners Asset Management"). He is also president of Santa Monica Partners II, L.P., a Delaware limited partnership ("Santa Monica Partners II"). Lastly, Mr. Goldstein is Chairman of the Barbara J. and Lawrence J. Goldstein Do Good Foundation. (b) The principal business address of Mr. Goldstein, Santa Monica Partners, SMP Asset Management, Santa Monica Partners II, Santa Monica Partners Asset Management and the Barbara J. and Lawrence J. Goldstein Do Good Foundation (collectively, the "Reporting Persons") is 1865 Palmer Avenue, Larchmont, New York 10538. (c) Lawrence J. Goldstein, New York USA, Santa Monica Partners, a New York limited partnership, SMP Asset Management LLC, a Delaware limited liability company, Santa Monica Partners II, a Delaware limited partnership and Santa Monica Partners Asset Management LLC, a Delaware limited liability company. (d) Common Stock (e) 0001042017 Item 3. WC Item 4. Lawrence J. Goldstein (a) Amount beneficially owned: 1,993,775 (b) Percent of class: 5.52% (c) Number of shares as to which the person has: (i) Sole power to vote or to direct the vote: 2,698,484 (ii) Shared power to vote or to direct the vote: 0 (iii) Sole power to dispose or to direct the disposition of: 2,790,111 (iv) Shared power to dispose or to direct the disposition of: 0 Barbara J. & Lawrence J. Goldstein Do Good Foundation (a) Amount beneficially owned: 3,000 (b) Percent of class: 0.008% (c) Number of shares as to which the person has: (i) Sole power to vote or to direct the vote: 3,000 (ii) Shared power to vote or to direct the vote: 0 (iii) Sole power to dispose or to direct the disposition of: 3,000 (iv) Shared power to dispose or to direct the disposition of: 0 Santa Monica Partners, L.P. (a) Amount beneficially owned: 673,000 (b) Percent of class: 1.86% (c) Number of shares as to which the person has: (i) Sole power to vote or to direct the vote: 673,000 (ii) Shared power to vote or to direct the vote: 0 (iii) Sole power to dispose or to direct the disposition of: 673,000 (iv) Shared power to dispose or to direct the disposition of: 0 SMP Asset Management, LLC (a) Amount beneficially owned: 673,000 (b) Percent of class: 1.86% (c) Number of shares as to which the person has: (i) Sole power to vote or to direct the vote: 673,000 (ii) Shared power to vote or to direct the vote: 0 (iii) Sole power to dispose or to direct the disposition of: 673,000 (iv) Shared power to dispose or to direct the disposition of: 0 Santa Monica Partners II, L.P. (a) Amount beneficially owned: 28,709 (b) Percent of class: 0.08% (c) Number of shares as to which the person has: (i) Sole power to vote or to direct the vote: 28,709 (ii) Shared power to vote or to direct the vote: 0 (iii) Sole power to dispose or to direct the disposition of: 28,709 (iv) Shared power to dispose or to direct the disposition of: 0 Santa Monica Partners Asset Management, LLC (a) Amount beneficially owned: 28,709 (b) Percent of class: 0.08% (c) Number of shares as to which the person has: (i) Sole power to vote or to direct the vote: 28,709 (ii) Shared power to vote or to direct the vote: 0 (iii) Sole power to dispose or to direct the disposition of: 28,709 (iv) Shared power to dispose or to direct the disposition of: 0 Item 5. 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 5 percent of the class of securities, check the following |_| Item 6. Not applicable Item 7. Not applicable Item 8. Not applicable Item 9. Not applicable Item 10. By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. CUSIP No. 0001042017 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. June 22, 2009 /s/LAWRENCE J. GOLDSTEIN - -------------------------------------- Lawrence J. Goldstein June 22, 2009 BARBARA J. & LAWRENCE J. GOLDSTEIN DO GOOD FOUNDATION /s/LAWRENCE J. GOLDSTEIN - -------------------------------------- Lawrence J. Goldstein June 22, 2009 SANTA MONICA PARTNERS, L.P. By: SMP ASSET MANAGEMENT LLC By: /s/LAWRENCE J.GOLDSTEIN - ---------------------------------------- Lawrence J. Goldstein, President June 22, 2009 SMP ASSET MANAGEMENT, LLC By: /s/LAWRENCE J. GOLDSTEIN - ---------------------------------------- Lawrence J. Goldstein, President June 22, 2009 SANTA MONICA PARTNERS II, L.P. By: SMP ASSET MANAGEMENT LLC By: /s/LAWRENCE J.GOLDSTEIN - ---------------------------------------- Lawrence J. Goldstein, President June 22, 2009 SANTA MONICA PARTNERS ASSET MANAGEMENT, LLC By: /s/LAWRENCE J. GOLDSTEIN - ---------------------------------------- Lawrence J. Goldstein, President -----END PRIVACY-ENHANCED MESSAGE-----