-----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, DoiAmEEMJ4GF3XpsqnZ2MZwhWZfLgSTfRZmkiTgaKt9bXPrT77o7h+c95wZzXYiq cr8er4DtMyZUwopA0rnNvA== 0001144204-08-067320.txt : 20081201 0001144204-08-067320.hdr.sgml : 20081201 20081201195001 ACCESSION NUMBER: 0001144204-08-067320 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20081128 FILED AS OF DATE: 20081201 DATE AS OF CHANGE: 20081201 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ELLIN ROBERT S CENTRAL INDEX KEY: 0001071292 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-06669 FILM NUMBER: 081223652 BUSINESS ADDRESS: BUSINESS PHONE: 310-601-2502 MAIL ADDRESS: STREET 1: C/O TRINAD MANAGEMENT LLC STREET 2: 2121 AVENUE OF THE STARS, SUITE 1650 CITY: LOS ANGELES STATE: CA ZIP: 90067 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Wolf Jay CENTRAL INDEX KEY: 0001289633 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-06669 FILM NUMBER: 081223651 BUSINESS ADDRESS: BUSINESS PHONE: 212-521-5180 MAIL ADDRESS: STREET 1: C/O TRINAD CAPITAL L.P. STREET 2: 153 E. 53RD STREET, 48TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: FORWARD INDUSTRIES INC CENTRAL INDEX KEY: 0000038264 STANDARD INDUSTRIAL CLASSIFICATION: PLASTICS PRODUCTS, NEC [3089] IRS NUMBER: 131950672 STATE OF INCORPORATION: NY FISCAL YEAR END: 0908 BUSINESS ADDRESS: STREET 1: 1801 GREEN ROAD STREET 2: SUITE E CITY: POMPANO BEACH STATE: FL ZIP: 33064 BUSINESS PHONE: 9544199544 MAIL ADDRESS: STREET 1: 1801 GREEN RD STREET 2: SUITE E CITY: POMPANO BEACH STATE: FL ZIP: 33064 FORMER COMPANY: FORMER CONFORMED NAME: PROGRESS HEAT SEALING CO INC DATE OF NAME CHANGE: 19721111 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Trinad Capital L.P. CENTRAL INDEX KEY: 0001289378 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-06669 FILM NUMBER: 081223654 BUSINESS ADDRESS: STREET 1: 153 EAST 53RD ST. STREET 2: 48TH FLOOR CITY: NEW YORK STATE: X1 ZIP: 10022 BUSINESS PHONE: 212 521 5180 MAIL ADDRESS: STREET 1: 153 EAST 53RD ST. STREET 2: 48TH FLOOR CITY: NEW YORK STATE: X1 ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Trinad Management, LLC CENTRAL INDEX KEY: 0001346061 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-06669 FILM NUMBER: 081223653 BUSINESS ADDRESS: STREET 1: 2121 AVENUE OF THE STARS, SUITE 1650 CITY: LOS ANGELES STATE: CA ZIP: 90049 BUSINESS PHONE: 310-601-2500 MAIL ADDRESS: STREET 1: 2121 AVENUE OF THE STARS, SUITE 1650 CITY: LOS ANGELES STATE: CA ZIP: 90049 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Trinad Capital Master Fund Ltd. CENTRAL INDEX KEY: 0001346370 STATE OF INCORPORATION: E9 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-06669 FILM NUMBER: 081223656 BUSINESS ADDRESS: STREET 1: 2121 AVENUE OF THE STARS, SUITE 1650 CITY: LOS ANGELES STATE: CA ZIP: 90049 BUSINESS PHONE: 310-601-2500 MAIL ADDRESS: STREET 1: 2121 AVENUE OF THE STARS, SUITE 1650 CITY: LOS ANGELES STATE: CA ZIP: 90049 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Trinad Advisors II, LLC CENTRAL INDEX KEY: 0001384858 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-06669 FILM NUMBER: 081223655 BUSINESS ADDRESS: STREET 1: 2121 AVENUE OF THE STARS STREET 2: SUITE 1650 CITY: LOS ANGELES STATE: CA ZIP: 90067 BUSINESS PHONE: (310)6102500 MAIL ADDRESS: STREET 1: 2121 AVENUE OF THE STARS STREET 2: SUITE 1650 CITY: LOS ANGELES STATE: CA ZIP: 90067 4 1 v133901_ex.xml X0303 4 2008-11-28 1 0000038264 FORWARD INDUSTRIES INC FORD 0001346370 Trinad Capital Master Fund Ltd. 2121 AVENUE OF THE STARS SUITE 2550 LOS ANGELES CA 90067 0 0 1 0 0001384858 Trinad Advisors II, LLC 2121 AVENUE OF THE STARS SUITE 2550 LOS ANGELES CA 90067 0 0 1 0 0001289378 Trinad Capital L.P. 2121 AVENUE OF THE STARS SUITE 2550 LOS ANGELES CA 90067 0 0 1 0 0001346061 Trinad Management, LLC 2121 AVENUE OF THE STARS SUITE 2550 LOS ANGELES CA 90067 0 0 1 0 0001071292 ELLIN ROBERT S 2121 AVENUE OF THE STARS SUITE 2550 LOS ANGELES CA 90067 0 0 1 0 0001289633 Wolf Jay 2121 AVENUE OF THE STARS SUITE 2550 LOS ANGELES CA 90067 0 0 1 0 Common Stock 2008-11-28 4 S 0 35000 2.7388 D 692823 D Common Stock 2008-12-01 4 S 0 35032 3.0365 D 657791 D These securities are owned directly by Trinad Capital Master Fund, Ltd. (the "Master Fund") which is a reporting person. These securities may be deemed to be beneficially owned by Trinad Management, LLC, the investment manager of the Master Fund and Trinad Capital LP; a controlling stockholder of the Master Fund; Trinad Advisors II LLC, the general partner of Trinad Capital LP; Robert S. Ellin, the managing director of and portfolio manager for Trinad Management, LLC and the managing director of Trinad Advisors II LLC and Jay A. Wolf a managing director of and portfolio manager for Trinad Management, LLC and a managing director of Trinad Advisors II LLC. Each such reporting person disclaims beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Trinad Capital Master Fund, Ltd. By: /s/ Jay A. Wolf, Authorized Representative 2008-12-01 Trinad Advisors II LLC By: /s/ Robert S. Ellin, Managing Director 2008-12-01 Trinad Capital LP By: Trinad Advisors II LLC, its general partner By: /s/ Robert S. Ellin, Managing Director 2008-12-01 Trinad Management, LLC By: /s/ Robert S. Ellin, Managing Director 2008-12-01 /s/ Robert S. Ellin 2008-12-01 /s/ Jay A. Wolf 2008-12-01 -----END PRIVACY-ENHANCED MESSAGE-----