CUSIP No. 777385105
|
|
Page 2 of 9 Pages
|
1
|
NAMES OF REPORTING PERSONS
|
|
|
||
WARBERG ASSET MANAGEMENT LLC
|
|
|
|||
|
|
||||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
||||
(a)☐
|
|||||
(b)☐
|
|
|
|||
3
|
SEC USE ONLY
|
|
|
||
|
|
|
|||
4
|
CITIZENSHIP OR PLACE OF ORGANIZATION
|
|
|
||
Delaware
|
|
|
|||
|
|
||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
5
|
SOLE VOTING POWER
|
|
|
|
0
|
|
|
|||
|
|
||||
6
|
SHARED VOTING POWER
|
|
|
||
671,500 (1)
|
|
|
|||
|
|
||||
7
|
SOLE DISPOSITIVE POWER
|
|
|
||
0
|
|
|
|||
|
|
||||
8
|
SHARED DISPOSITIVE POWER
|
|
|
||
671,500 (1)
|
|
|
|||
|
|
||||
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
||
671,500 (1)
|
|
|
|||
|
|
||||
10
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
|
|
|
||
☐
|
|
|
|||
|
|
||||
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
|
|
|
||
10.29%
|
|
|
|||
|
|
||||
12
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
|
|
|
||
IA
|
|
|
|||
|
|
CUSIP No. 777385105
|
|
Page 3 of 9 Pages
|
1
|
NAMES OF REPORTING PERSONS
|
|
|
||
DANIEL I. WARSH
|
|
|
|||
|
|
||||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
||||
(a)☐
|
|||||
(b)☐
|
|
|
|||
3
|
SEC USE ONLY
|
|
|
||
|
|
|
|||
4
|
CITIZENSHIP OR PLACE OF ORGANIZATION
|
|
|
||
United States of America
|
|
|
|||
|
|
||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
5
|
SOLE VOTING POWER
|
|
|
|
1,000 (1)
|
|
|
|||
|
|
||||
6
|
SHARED VOTING POWER
|
|
|
||
671,500 (1)
|
|
|
|||
|
|
||||
7
|
SOLE DISPOSITIVE POWER
|
|
|
||
1,000 (1)
|
|
|
|||
|
|
||||
8
|
SHARED DISPOSITIVE POWER
|
|
|
||
671,500 (1)
|
|
|
|||
|
|
||||
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
||
672,500 (1)
|
|
|
|||
|
|
||||
10
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
|
|
|
||
☐
|
|
|
|||
|
|
||||
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
|
|
|
||
10.30%
|
|
|
|||
|
|
||||
12
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
|
|
|
||
IN, HC
|
|
|
|||
|
|
|
|
Page 4 of 9 Pages
|
Item 1(a). | Name of Issuer: |
Item 1(b). | Address of Issuer’s Principal Executive Offices: |
Item 2(a). | Name of Persons Filing: |
Item 2(b). | Address of Principal Business Office or, if none, Residence: |
Item 2(c). | Citizenship: |
Item 2(d). | Title of Class of Securities: |
Item 2(e). | CUSIP Number: |
Item 3. |
If This Statement is Filed Pursuant to §§ 240.13d-1(b) or 240.13d-2(b) or (c),
Check Whether the Person Filing is a:
|
|
|
Page 5 of 9 Pages
|
Item 4. Item 4(a) |
Ownership:
Amount Beneficially Owned:
|
Item 4(b) |
Percent of Class:
|
Item 4(c) |
Number of Shares as to which such person has:
|
Warberg
|
|
(i) Sole power to vote or direct the vote:
|
0
|
(ii) Shared power to vote or direct the vote:
|
671,500
|
(iii) Sole power to dispose or direct the disposition of:
|
0
|
(iv) Shared power to dispose or direct the disposition of:
|
671,500
|
Mr. Warsh
|
|
(i) Sole power to vote or direct the vote:
|
1,000
|
(ii) Shared power to vote or direct the vote:
|
671,500
|
(iii) Sole power to dispose or direct the disposition of:
|
1,000
|
(iv) Shared power to dispose or direct the disposition of:
|
671,500
|
Item 5. | Ownership of Five Percent or Less of a Class: |
Item 6. | Ownership of More Than Five Percent on Behalf of Another Person: |
Item 7. | Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company: |
Item 8. | Identification and Classification of Members of the Group: |
Item 9. | Notice of Dissolution of Group: |
|
|
Page 6 of 9 Pages
|
Item 10. | Certification: |
|
|
Page 7 of 9 Pages
|
WARBERG ASSET MANAGEMENT LLC
|
|||
|
By:
|
/s/ Daniel I. Warsh | |
Daniel I. Warsh, Managing Member
|
|||
|
DANIEL I. WARSH
|
||
/s/ Daniel I. Warsh
|
|||
|
|
Page 8 of 9 Pages
|
Ex.
|
|
Page No.
|
A
|
Joint Filing Agreement
|
9
|
|
|
Page 9 of 9 Pages
|
WARBERG ASSET MANAGEMENT LLC
|
|||
|
By:
|
/s/ Daniel I. Warsh | |
Daniel I. Warsh, Managing Member
|
|||
|
DANIEL I. WARSH
|
||
/s/ Daniel I. Warsh
|
|||