Statement of Changes in Beneficial Ownership (4)
10 Septembre 2018 - 8:50PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
EBRAHIMI FARHAD FRED
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2. Issuer Name
and
Ticker or Trading Symbol
ROYAL HAWAIIAN ORCHARDS, L.P.
[
NNUTU
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
__
X
__ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
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(Last)
(First)
(Middle)
191 UNIVERSITY BLVD, #246
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3. Date of Earliest Transaction
(MM/DD/YYYY)
9/7/2018
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(Street)
DENVER, CO 80206
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Class A Units
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9/7/2018
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P
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1
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A
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$4600.00
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5126
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I
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By Shiraz Capital LLC
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Class A Units
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9/7/2018
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P
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1
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A
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$4381.00
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5127
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I
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By Shiraz Capital LLC
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Class A Units
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11
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I
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By The Ebrahimi Family Foundation
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Class A Units
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55
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I
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By FF Ebrahimi IRA
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Class A Units
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467
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I
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By Crescent River Agriculture LLC
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Class A Units
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3034
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I
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By NUT 2013 GRAT
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Class A Units
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5
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D
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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. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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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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Explanation of Responses:
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Remarks:
This statement is occasioned by the purchase of additional shares of the Issuer's Class A Units by Farhad Fred Ebrahimi. Farhad Fred Ebrahimi is the reporting person for the Ebrahimi family
consisting of Farhad Fred Ebrahimi and Mary Wilkie Ebrahimi, husband and wife. The Powers of Attorney granting Brad Nelson authority to act as attorney-in-fact for Farhad Fred Ebrahimi
and Mary Wilkie Ebrahimi were filed as exhibit 24.1 and 24.2, respectively, to a Form 4 filed with the Commission on February 14, 2014.
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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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EBRAHIMI FARHAD FRED
191 UNIVERSITY BLVD, #246
DENVER, CO 80206
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X
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Signatures
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Brad Nelson as Attorney-in-Fact for Farhad Fred Ebrahimi and Mary Wilkie Ebrahimi
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9/10/2018
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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 4(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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