Initial Statement of Beneficial Ownership (3)
July 30 2020 - 5:59PM
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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OMB APPROVAL
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3235-0104
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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
*
Yin Peter |
2. Date of Event Requiring Statement (MM/DD/YYYY)
7/11/2020
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3. Issuer Name and Ticker or Trading Symbol
R F INDUSTRIES LTD [RFIL]
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(Last)
(First)
(Middle)
7610 MIRAMAR ROAD, SUITE 6000 |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) Chief Financial Officer / |
(Street)
SAN DIEGO, CA 92126
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 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 Beneficially Owned
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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 | 61139 | D | |
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) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Stock Option (right to buy) | (1) | 12/13/2027 | Common Stock | 56000 | $2.4 | D | |
Stock Option (right to buy) | (2) | 1/9/2030 | Common Stock | 3750 | $6.4 | D | |
Explanation of Responses: |
(1) | Provided the Reporting Person is still employed with the Issuer on the following dates, 8,000 shares vest and become exercisable on December 13, 2020 and thereafter on each of the next six anniversaries of December 13, 2020. |
(2) | 937 shares vested on the date of grant. Provided the Reporting Person is still employed with the Issuer on the following dates, the remaining options for 2,813 shares vest in twelve equal quarterly installments over the next three years, commencing with the first quarter after January 9, 2021. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Yin Peter 7610 MIRAMAR ROAD SUITE 6000 SAN DIEGO, CA 92126 |
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| Chief Financial Officer |
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Signatures
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/s/ Peter Yin | | 7/30/2020 |
**Signature of Reporting Person | Date |
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