- Initial Statement of Beneficial Ownership (3)
July 29 2010 - 4:46PM
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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February 28, 2011
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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
*
RILEY BRYANT R
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2. Date of Event Requiring Statement (MM/DD/YYYY)
7/22/2010
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3. Issuer Name
and
Ticker or Trading Symbol
Strasbaugh [STRB]
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(Last)
(First)
(Middle)
11100 SANTA MONICA BLVD., SUITE 800
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
__
X
__ Director
_____ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
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(Street)
LOS ANGELES, CA US 90025
(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)
_
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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Common Stock
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132664
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D
(1)
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Common Stock
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2041
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I
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Footnote 2
(2)
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Common Stock
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20365
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I
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Footnote 3
(3)
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Common Stock
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112
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I
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Footnote 4
(4)
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Common Stock
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322
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I
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Footnote 5
(5)
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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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Series A Cumulative Redeemable Convertible Preferred Stock
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5/24/2007
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(6)
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Common Stock
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772727
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$2.2
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D
(1)
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Series A Cumulative Redeemable Convertible Preferred Stock
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5/24/2007
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(6)
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Common Stock
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28409
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$2.2
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I
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Footnote 2
(2)
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Warrant (right to buy)
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10/31/2007
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5/24/2012
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Common Stock
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115909
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$2.42
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D
(1)
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Placement Agent Warrant (right to buy)
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5/24/2007
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5/24/2012
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Common Stock
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18345
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$2.42
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D
(1)
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Placement Agent Warrant (right to buy)
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5/24/2007
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5/24/2012
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Common Stock
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138756
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$2.42
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I
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Footnote 2
(2)
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Explanation of Responses:
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(
1)
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Shares held jointly by Bryant and Carleen Riley JTWROS.
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(
2)
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Shares held by B. Riley and Co., LLC. Mr. Riley is the sole indirect equity owner.
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(
3)
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Shares held by Riley Investment Partners, LP. Mr. Riley is the sole equity owner of Riley Investment Mangement LLC, General Partner of Riley Investment Partners, L.P.
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(
4)
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Shares held by the B. Riley and Co. Retirement Trust, Mr. Riley is the trustee.
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(
5)
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Shares held by BR Investco, LLC, an entity controlled by Mr. Riley.
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(
6)
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Not Applicable.
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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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RILEY BRYANT R
11100 SANTA MONICA BLVD., SUITE 800
LOS ANGELES, CA US 90025
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X
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Signatures
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Bryant R. Riley
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7/29/2010
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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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