SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
SCHEDULE 13D
(RULE 13D-101)
INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT
TO RULE 13D-1(A) AND AMENDMENTS THERETO FILED PURSUANT TO
RULE 13D-2(A)
AMENDMENT NO. 5
MICROWAVE FILTER CO INC /NY/
(Name of Issuer)
Common stock, par value $.10 per share
(Title of Class of Securities)
595176108
(CUSIP Number)
Paul D. Sonkin
Hummingbird Management, LLC
145 East 57th Street - 8th Floor
New York, New York 10022
212-750-7117
psonkin@hummingbirdvalue.com
(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)
December 16, 2009
(Date of Event Which Requires Filing of This Statement)
If the filing person has previously filed a statement on Schedule 13G to
report the acquisition that is the subject of this Schedule 13D, and is filing
this schedule because of Rule 13d-1(e), 13d-1(f) or 13d-1(g), check the
following box /_/.
Note. Schedules filed in paper format shall include a signed original and
five copies of the schedule, including all exhibits. See Rule 13d-7(b) for other
parties to whom copies are to be sent.
1 The remainder of this cover page shall be filled out for a reporting
person's initial filing on this form with respect to the subject class of
securities, and for any subsequent amendment containing information which would
alter disclosures provided in a prior cover page.
The information required on the remainder of this cover page shall not be
deemed to be "filed" for the purpose of Section 18 of the Securities Exchange
Act of 1934 or otherwise subject to the liabilities of that section of the Act
but shall be subject to all other provisions of the Act (however, see the
Notes).
================================================================================
1 NAME OF REPORTING PERSONS S.S. OR
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Hummingbird Management, LLC
IRS No. 13-4082842
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) / /
(b) /X/
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS
OO
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEM 2(d) OR 2(e) / /
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
DELAWARE
--------------------------------------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER
SHARES
BENEFICIALLY 417,578
OWNED BY
EACH
REPORTING
|
PERSON WITH -----------------------------------------------------------------
8 SHARED VOTING POWER
-0-
9 SOLE DISPOSITIVE POWER
417,578
10 SHARED DISPOSITIVE POWER
-0-
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING
PERSON
417,578
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES / /
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
16.10%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
OO
================================================================================
================================================================================
1 NAME OF REPORTING PERSONS S.S. OR
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Paul D. Sonkin
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) / /
(b) /X/
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS
OO
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEM 2(d) OR 2(e) / /
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
UNITED STATES
--------------------------------------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER
SHARES
BENEFICIALLY 417,578
OWNED BY
EACH
REPORTING
|
PERSON WITH -----------------------------------------------------------------
8 SHARED VOTING POWER
-0-
9 SOLE DISPOSITIVE POWER
417,578
10 SHARED DISPOSITIVE POWER
-0-
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING
PERSON
417,578
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES* / /
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
16.10%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
OO
================================================================================
================================================================================
1 NAME OF REPORTING PERSONS S.S. OR
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
|
Hummingbird Capital, LLC
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) / /
(b) /X/
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS
OO
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEM 2(d) OR 2(e) / /
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
DELAWARE
--------------------------------------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER
SHARES
BENEFICIALLY 417,578
OWNED BY
EACH
REPORTING
|
PERSON WITH -----------------------------------------------------------------
8 SHARED VOTING POWER
-0-
9 SOLE DISPOSITIVE POWER
417,578
10 SHARED DISPOSITIVE POWER
-0-
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING
PERSON
417,578
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES / /
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
16.10%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
OO
================================================================================
================================================================================
1 NAME OF REPORTING PERSONS S.S. OR
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Hummingbird Value Fund, L.P.
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) / /
(b) /X/
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS
WC
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEM 2(d) OR 2(e) / /
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
DELAWARE
--------------------------------------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER
SHARES
BENEFICIALLY 151,224
OWNED BY
EACH
REPORTING
|
PERSON WITH -----------------------------------------------------------------
8 SHARED VOTING POWER
-0-
9 SOLE DISPOSITIVE POWER
151,224
10 SHARED DISPOSITIVE POWER
-0-
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING
PERSON
151,224
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES / /
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
5.83%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
LP
================================================================================
================================================================================
1 NAME OF REPORTING PERSONS S.S. OR
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
The Tarsier Nanocap Value Fund, L.P.
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) / /
(b) /X/
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS
WC
--------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEM 2(d) OR 2(e) / /
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
DELAWARE
--------------------------------------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER
SHARES
BENEFICIALLY 266,354
OWNED BY
EACH
REPORTING
|
PERSON WITH -----------------------------------------------------------------
8 SHARED VOTING POWER
-0-
9 SOLE DISPOSITIVE POWER
266,354
10 SHARED DISPOSITIVE POWER
-0-
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING
PERSON
266,354
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES* / /
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
10.27%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
LP
================================================================================
The following constitutes the Schedule 13D filed by the undersigned
|
(the "Schedule 13D").
ITEM 1 SECURITY AND ISSUER
Title of Class of Securities
Common Stock (the "Shares")
Name and Address of Issuer
MICROWAVE FILTER CO INC /NY/ (the "Company"or the "Issuer")
6743 KINNE ST
E SYRACUSE NY, 13057
ITEM 2 IDENTITY AND BACKGROUND
This statement is being filed by Hummingbird Management, LLC ,
a Delaware limited liability company ("Hummingbird"), whose principal
business and principal office address is 145 E 57th Street - 8th Fl, New
York, New York 10022.Hummingbird acts asinvestment manager to The
Hummingbird Value Fund, L.P. ("HVF") and to The Tarsier
Nanocap Value Fund, L.P. ("Tarsier"), and has the sole
investment discretion and voting authority with respect to the investments
owned of record by each of HVF, and Tarsier.
Accordingly, Hummingbird may be deemed for purposes of Rule 13d-3 of the
Securities and Exchange Act of 1934, as amended ("Rule 13d-3"), to be
the beneficial owner of the Shares owned by HVF,
Tarsier. The managing member of Hummingbird is Paul Sonkin. Mr.
Sonkin is also the managing member of Hummingbird Capital, LLC,
a Delaware limited liability company ("HC", and
together with Hummingbird, HVF and Tarsier, and Mr.
Sonkin, the "Reporting Persons"), the general partner of each of HVF,
and Tarsier.
Each of HVF and Tarsier is a Delaware
limited partnership whose principal business and principal office address is
145 East 57th St - 8th Fl, New York, New York, 10022 and whose principal
business is investing in securities in order to achieve its investment
objectives.
Mr. Sonkin is a citizen of the United States and HC is a
Delaware limited liability company. The principal business of Mr. Sonkin
is acting as managing member of each of Hummingbird and HC. The principal
business of HC is acting as general partner of each of HVF and Tarsier.
The principal office address of each of Mr. Sonkin and HC
is 145 East 57th St - 8th Fl, New York, New York 10022.
During the past five years none of Hummingbird, HVF, Tarsier,
Mr. Sonkin or HC has been convicted in a criminal
proceeding (excluding traffic violations or similar misdemeanors) or has
been a party to a civil proceeding of a judicial or administrative body of
competent jurisdiction and as a result of which any of the foregoing was or
is subject to a judgment, decree or final order enjoining future violations
of, or prohibiting or mandatingactivities subject to, Federal or State
securities laws, or finding any violation with respect to such laws.
ITEM 3 SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION
As of December 16, 2009, Hummingbird has caused HVF and Tarsier
to invest approximately $118,871 and $209,408, respectively, in the
Shares of the Issuer using their working capital.
ITEM 4 PURPOSE OF TRANSACTION
The Shares were acquired for investment purposes. However, Hummingbird
may hold discussions with various parties, including, but not limited to, the
Issuer's management, its board of directors and other shareholders on a variety
of possible subjects regarding ways to increase shareholder value. Some of the
suggestions Hummingbird might make could affect control of the Issuer and/or may
relate to the following: the merger, acquisition or liquidation of the Issuer to
third parties, the sale or transfer of assets of the Issuer to third parties,
operational matters, a change in the board of directors or the management of the
Issuer, a change in the present capitalization or dividend policy of the Issuer
or a change in the Issuer's charter or by-laws. Hummingbird intends to pay close
attention to developments at and pertaining to the Issuer, and, subject to
market conditions and other factors deemed relevant by Hummingbird, Hummingbird
may, directly or indirectly, purchase additional Shares of the Issuer or dispose
of some or such Shares in open-market transaction or privately negotiated
transactions. The Reporting Persons have no present plan or proposal which would
relate to or result in any of the matters set forth in subparagraphs (a) - (j)
of Item 4 of Schedule 13D except as set forth herein or such as would occur upon
completion of any of the actions discussed above.
ITEM 5 INTEREST IN SECURITIES OF THE ISSUER
(a) As investment manager of HVF and Tarsier,
Hummingbird may be deemed to have the sole voting and investment
authority over the Shares owned by HVF and Tarsier,
for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as
amended ("Rule 13d-3"), may be deemed to be the beneficial owner of
417,578 Shares representing approximately 16.10% of the outstanding shares
of the Issuer (based upon 2,593,427 shares of Common Stock outstanding as of
August 12, 2009, as reported on Form 10-QSB for the period ended
June 30,
2009.) Hummingbird disclaims any beneficial ownership of the Shares covered by
this Statement.
HC, as the general partner of each of HVF and
Tarsier, Hummingbird may be deemed to have the sole voting and
investment authority over the Shares owned by HVF, Microcap Fund, and
Concentrated Fund, for purposes of Rule 13d-3 under the Securities Exchange
Act of 1934, as amended ("Rule 13d-3"), may be deemed to be the
beneficial owner of
417,578 Shares representing approximately 16.10% of the outstanding shares
of the Issuer (based upon 2,593,427 shares of Common Stock outstanding as of
August 12, 2009, as reported on Form 10-QSB for the period ended
June 30,
2009.) HC disclaims any beneficial ownership of the Shares
covered by this Statement.
HVF is the beneficial owner of 151,224 Shares or 5.83% of the
outstanding shares of the Issuer.
Tarsier is the beneficial owner of 266,354 Shares or 10.27%
of the outstanding shares of the Issuer.
(c) Hummingbird caused HVF to effect transactions in the Shares during
the past 60 days as set forth below:
NUMBER OF
DATE TYPE SHARES PRICE/SHARE
---- ---- ------ -----------
11/16/2009 open market purchase 1,000 0.85
11/16/2009 open market purchase 3,000 0.833333
11/30/2009 open market purchase 6,500 0.830769
11/25/2009 open market purchase 500 0.9
10/23/2009 open market purchase 3,000 0.8
10/21/2009 open market purchase 1,039 0.8
11/13/2009 open market purchase 2,000 0.89
11/9/2009 open market purchase 2,488 0.840193
|
Hummingbird caused Tarsier to effect no transactions in the
Shares during the past 60 days.
NUMBER OF
DATE TYPE SHARES PRICE/SHARE
---- ---- ------ -----------
11/2/2009 open market purchase 5,500 0.809091
11/10/2009 open market purchase 2,300 0.843478
10/27/2009 open market purchase 4,157 0.8
10/28/2009 open market purchase 6,000 0.816567
|
(d) Inapplicable.
(e) Inapplicable.
ITEM 6 Inapplicable
ITEM 7 MATERIAL TO BE FILED AS EXHIBITS
Exhibit Exhibit
No. Description
--- ---------------------------------------------------------------
1 Joint Filing Agreement dated December 16, 2009 by and among
Hummingbird Management, LLC, Hummingbird Value Fund, L.P.,
The Tarsier Nanocap Value Fund LP, Hummingbird Capital, LLC,
and Paul Sonkin.
|
SIGNATURES
After reasonable inquiry and to the best of our knowledge and belief,
we certify that the information set forth in this statement is true, complete
and correct.
Dated: December 16, 2009 HUMMINGBIRD MANAGEMENT, LLC
By: /s/ Paul D. Sonkin
---------------------------------
Name: Paul D. Sonkin
Title: Managing Member
/s/ Paul D. Sonkin
-------------------------------------
PAUL D. SONKIN
HUMMINGBIRD VALUE FUND, L.P.
By: Hummingbird Capital, LLC
By: /s/ Paul D. Sonkin
---------------------------------
Name: Paul D. Sonkin
Title: Managing Member
The Tarsier Nanocap Value Fund, L.P.
By: Hummingbird Capital, LLC
By: /s/ Paul D. Sonkin
---------------------------------
Name: Paul D. Sonkin
Title: Managing Member
|
HUMMINGBIRD CAPITAL, LLC
By: /s/ Paul D. Sonkin
---------------------------------
Name: Paul D. Sonkin
Title: Managing Member
By: /s/ Paul D. Sonkin
---------------------------------
Name: Paul D. Sonkin
|
JOINT FILING AGREEMENT
In accordance with Rule 13d-1(k)(1)(iii) under the Securities Exchange
Act of 1934, as amended, the persons named below agree to the joint filing on
behalf of each of them of a Statement on Schedule 13D dated
December 16, 2009,
(including amendments thereto) with respect to the Common Stock of
MICROWAVE FILTER CO INC /NY/ This Joint Filing Agreement
shall be filed as an Exhibit
to such Statement.
Dated: December 16, 2009 HUMMINGBIRD MANAGEMENT, LLC
By: /s/ Paul D. Sonkin
---------------------------------
Name: Paul D. Sonkin
Title: Managing Member
/s/ Paul D. Sonkin
-------------------------------------
PAUL D. SONKIN
HUMMINGBIRD VALUE FUND, L.P.
By: Hummingbird Capital, LLC
By: /s/ Paul D. Sonkin
---------------------------------
Name: Paul D. Sonkin
Title: Managing Member
The Tarsier Nanocap Value Fund, L.P.
By: Hummingbird Capital, LLC
By: /s/ Paul D. Sonkin
---------------------------------
Name: Paul D. Sonkin
Title: Managing Member
By: Hummingbird Capital, LLC
By: /s/ Paul D. Sonkin
---------------------------------
Name: Paul D. Sonkin
Title: Managing Member
|
HUMMINGBIRD CAPITAL, LLC
By: /s/ Paul D. Sonkin
---------------------------------
Name: Paul D. Sonkin
Title: Managing Member
By: /s/ Paul D. Sonkin
---------------------------------
Name: Paul D. Sonkin
|
Microwave Filter (PK) (USOTC:MFCO)
過去 株価チャート
から 6 2024 まで 7 2024
Microwave Filter (PK) (USOTC:MFCO)
過去 株価チャート
から 7 2023 まで 7 2024
