3 1 palo3.htm

SEC 1473

(7-97)

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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,

Section 17(a) of the Public Utility Holding Company Act of 1935 or

Section 30(f) of the Investment Company Act of 1940

Form 3

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1 .Name and Address of Reporting Person*

Micro Cap Partners, L.P.

2. Date of Event

Requiring Statement

(Month/Day/Year)

December 27, 2002

_________________________

3. IRS Identification Number of Reporting Person, if an entity
(voluntary)

4. Issuer Name and Ticker or Trading Symbol

Geerlings & Wade, Inc. (GEER)

(Last) (First) (Middle)

470 University Avenue

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

______Director __XX__10% Owner

______Officer (give ______Other (specify

title below) below)

____________________________

6. If Amendment, Date of
Original (month/Day/Year)

(Street)

Palo Alto, CA 94301

7. Individual or Joint/Group
Filing (Check Applicable Line)

_X Form filed by One Reporting Person
___Form filed by More than One Reporting Person

(City) (State) (Zip)

 

 

 

Table I Non-Derivative Securities Beneficially Owned

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

471,100

D

 

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)

1. Title of
Derivative Security
(Instr. 4)

2. Date Exer-
cisable and
Expiration
Date
(Month/Day/Year)

3. Title and Amount of Securities
Underlying
Derivative Security
(Inst. 4)

4. Conver-
sion or
Exercise
Price of
Deri-
vative
Security

5. Owner-
ship
Form of
Deriv-
ative
Securities:
Direct
(D) or
Indirect
(I)
(Inst. 5)

6. Nature of Indirect
Beneficial Ownership
(Instr.5)

Date
Exer-
cisable

Expira-
tion
Date

Title

Amount
or
Number
of
Shares

Explanation of Responses:

 

 

 

Dated: December 30, 2002

MICRO CAP PARTNERS, L.P.

By: Palo Alto Investors, LLC, a California limited liability company,
General Partner

By: Palo Alto Investors, a California corporation, Manager

By: William L. Edwards, President

 

 

** Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See 18 U.S.C. 1001 and 15 U.S.C. 78ff