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BK Technologies Corp — Director's Dealing 2004
Feb 9, 2004
33295_dirs_2004-02-09_724e7f22-7692-4788-9560-e8d8e44d7fc3.zip
Director's Dealing
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SEC Form 4/A — Form 4/A
Issuer: RELM WIRELESS CORP (RELM)
CIK: 0000002186
Period of Report: 2003-09-04
Reporting Person: CORPORATE OPPORTUNITIES FUND INSTITUTIONAL LP (10% Owner)
Reporting Person: CORPORATE OPPORTUNITIES FUND LP (10% Owner)
Reporting Person: GALE JAMES C (10% Owner)
Reporting Person: SANDERS MORRIS HARRIS INC/FA (10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2003-09-03 | Common Stock | X | 280000 | $0.60 | Acquired | 2288138 | Direct |
| 2003-09-03 | Common Stock | X | 53333 | $0.60 | Acquired | 425925 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2003-09-03 | Subscription Rights (right to buy) | $0.60 | X | 280000 | Disposed | 2003-09-15 | Common Stock (280000) | Direct |
| 2003-09-03 | Subscription Rights (right to buy) | $0.60 | X | 53333 | Disposed | 2003-09-15 | Common Stock (53333) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 20000 | Direct |
Footnotes
F1: These securities are owned directly by Corporate Opportunities Fund (Institutional), L.P. and indirectly by SMM Corporate Management, LLC, the general partner of Corporate Opportunities Fund (Institutional), L.P., James C. Gale, the chief investment officer and manager of SMM Corporate Management, LLC, and Sanders Morris Harris Inc., the controlling member of SMM Corporate Management, LLC.
F2: These securities are owned directly by Corporate Opportunities Fund, L.P. and indirectly by SMM Corporate Management, LLC, the general partner of Corporate Opportunities Fund, L.P., James C. Gale, the chief investment officer and manager of SMM Corporate Management, LLC, and Sanders Morris Harris Inc., the controlling member of SMM Corporate Management, LLC.
F3: These shares are owned directly by James C. Gale