Filing Details

Accession Number:
0001144204-12-041662
Form Type:
4
Zero Holdings:
No
Publication Time:
2012-07-30 17:02:13
Reporting Period:
2012-07-26
Filing Date:
2012-07-30
Accepted Time:
2012-07-30 16:02:13
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1314772 Summer Infant Inc. SUMR Miscellaneous Manufacturing Industries (3990) 201994619
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
899083 Wynnefield Partners Small Cap Value Lp 450 Seventh Avenue
Suite 509
New York NY 10123
No No Yes No
1017043 Nelson Obus No No Yes No
1030806 Ltd Fund Offshore Value Cap Small Wynnefield 450 Seventh Ave
Ste 509
New York NY 10123
No No Yes No
1056835 Wynnefield Capital Management Llc 450 Seventh Ave
Ste 509
New York NY 10123
No No Yes No
1251565 Wynnefield Partners Small Cap Value Lp I 450 Seventh Avenue
Suite 509
New York NY 10123
No No Yes No
1251567 Wynnefield Capital Inc No No Yes No
1251568 Joshua Landes No No Yes No
1289453 Wynnefield Capital, Inc. Profit Sharing Plan 450 Seventh Avenue
Suite 509
New York NY 10123
No No Yes No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2012-07-26 35,776 $3.00 864,506 No 4 P Direct
Common Stock Acquisiton 2012-07-26 52,551 $3.00 1,283,344 No 4 P Indirect See also footnote
Common Stock Acquisiton 2012-07-26 28,973 $3.00 683,959 No 4 P Indirect See also footnote
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Direct
No 4 P Indirect See also footnote
No 4 P Indirect See also footnote
Footnotes
  1. On the date hereof, Wynnefield Partners Small Cap Value L.P. ("Partners") directly beneficially owns 864,506 shares of common stock of Summer Infant, Inc. (SUMR). Wynnefield Capital Management, LLC ("WCM"), as the sole general partner of Partners, has an indirect beneficial ownership interest in the shares of common stock that Partners directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of WCM, have an indirect beneficial ownership interest in the shares of common stock that Partners directly beneficially owns.
  2. On the date hereof, Partners has an indirect beneficial ownership interest in 1,283,344 shares of common stock, which are directly beneficially owned by Wynnefield Partners Small Cap Value L.P.I ("Partners I"). WCM, as the sole general partner of Partners I, has indirect beneficial ownership interest in the shares of common stock that Partners I directly beneficially owns. Mr. Obus and Mr. Landes, as co-managing members of WCM, have an indirect beneficial ownership interest in the shares of common stock that Partners I directly beneficially owns.
  3. On the date hereof, Partners has an indirect beneficial ownership interest in 683,959 shares of common stock which are directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd ("Offshore"). Wynnefield Capital, Inc. ("WCI"), as the sole investment manager of Offshore, has an indirect beneficial ownership interest in the shares of common stock that Offshore directly beneficially owns. Mr. Obus and Mr. Landes, as principal executive officers of WCI have an indirect beneficial ownership interest in the shares of common stock that Offshore directly beneficially owns.
  4. On the date hereof, Partners has an indirect beneficial ownership interest in 85,000 shares of common stock, which are directly beneficially owned by the Plan. Mr. Obus has the power to vote and dispose of the Plan's investments in securities and has an indirect beneficial ownership interest in the shares of common stock that the Plan directly beneficially owns.