- Initial Statement of Beneficial Ownership (3)
22 Juillet 2009 - 11:14PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0104
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January 31, 2005
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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(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Marks Nancy
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2. Date of Event Requiring Statement (MM/DD/YYYY)
4/24/2003
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3. Issuer Name
and
Ticker or Trading Symbol
SENECA FOODS CORP /NY/ [SENEA*]
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(Last)
(First)
(Middle)
C/O CARL MARKS MANAGEMENT COMPANY, L.P., 900 THIRD AVENUE
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
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X
___ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
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(Street)
NEW YORK, NY 10022
(City)
(State)
(Zip)
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5. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
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X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Class A Common Stock
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217892
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D
(1)
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Class B Common Stock
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212642
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D
(1)
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Conv. Participating Pref. Stock, par value $.025 per share
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4/23/2003
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(2)
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Class A Common Stock
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145000
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(3)
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D
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Explanation of Responses:
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(
1)
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Edwin Marks ("Mr. Marks") passed away in April 2003. In connection with the distribution of Mr. Marks estate, on April 24,
2003, (i) 217,892 shares of Class A Common Stock, (ii) 212,642 shares of Class B Common Stock and (iii) 145,000 shares of
Convertible Participating Preferred Stock then held by Mr. Marks' estate were transferred to Ms. Marks, and Mr. Marks'
estate ceased to be the beneficial owner of any of the Issuer's securities. As a result of this transfer, Ms. Marks
beneficially owned and had voting and dispositve power over an aggregate (i) 404,304 shares of Class A Common Stock, (ii)
377,304 shares of Class B Common Stock and (iii) 248,520 shares of Convertible Participating Preferred Stock, as of April
24, 2003.
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(
2)
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Not applicable.
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(
3)
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The Convertible Participating Preferred Stock, par value $.025 per share, is convertible on a share for share basis into
Class A Common Stock, par value $.25.
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Remarks:
Trading symbols are SENEA for the Class A Common Stock and SENEB for the Class B Common Stock.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Marks Nancy
C/O CARL MARKS MANAGEMENT COMPANY, L.P.
900 THIRD AVENUE
NEW YORK, NY 10022
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X
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Signatures
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/s/ Nancy Marks
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7/22/2009
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 5(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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