SEC Info℠ | Home | Search | My Interests | Help | Sign In | Please Sign In | ||||||||||||||||||||
As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 6/10/20 Friends Investment Co Inc. SC 13D/A 1:74K Euroseas Ltd. Seward & Kissel LLP |
Document/Exhibit Description Pages Size 1: SC 13D/A Amendment to Statement of Acquisition of HTML 55K Beneficial Ownership by a Non-Passive Investor
Euroseas Ltd.
|
(Name of Issuer)
|
Common Shares, $0.03 par value
|
(Title of Class of Securities)
|
(CUSIP Number)
|
Friends Investment Company Inc.
4 Messogiou & Evropis St.
151 24 Maroussi Greece |
(Name, Address and Telephone Number of Person Authorized to Receive
Notices and Communications)
|
(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 which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(e), Rule 13d-1(f) or Rule 13d-1(g), check the
following box [X].
|
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 ("Act") 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).
|
*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.
|
CUSIP No.
|
1.
|
NAME OF REPORTING PERSONS
|
|
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
|
||
Friends Investment Company Inc.
|
2.
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
|
||
(a)
|
[_]
|
||
(b)
|
[_]
|
3.
|
SEC USE ONLY
|
|
4.
|
SOURCE OF FUNDS*
|
|
WC
|
5.
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e)
|
[_]
|
|
6.
|
CITIZENSHIP OR PLACE OF ORGANIZATION
|
|
Republic of the Marshall Islands
|
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
||
7.
|
SOLE VOTING POWER
|
|
405,187
|
8.
|
SHARED VOTING POWER
|
|
0
|
9.
|
SOLE DISPOSITIVE POWER
|
|
405,187
|
10.
|
SHARED DISPOSITIVE POWER
|
[_]
|
|
0
|
11.
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING
|
|
PERSON
|
||
405,187
|
12.
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
|
|
CERTAIN SHARES*
|
||
[ ]
|
13.
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
|
|
7.24%
|
14.
|
TYPE OF REPORTING PERSON*
|
|
CO
|
CUSIP No.
|
1.
|
NAME OF REPORTING PERSONS
|
|
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
|
||
Family United Navigation Co.
|
2.
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
|
||
(a)
|
[_]
|
||
(b)
|
[_]
|
3.
|
SEC USE ONLY
|
|
4.
|
SOURCE OF FUNDS*
|
|
WC
|
5.
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e)
|
[_]
|
|
6.
|
CITIZENSHIP OR PLACE OF ORGANIZATION
|
|
Republic of the Marshall Islands
|
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
||
7.
|
SOLE VOTING POWER
|
|
87,853
|
8.
|
SHARED VOTING POWER
|
|
0
|
9.
|
SOLE DISPOSITIVE POWER
|
|
87,853
|
10.
|
SHARED DISPOSITIVE POWER
|
[_]
|
|
0
|
11.
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING
|
|
PERSON
|
||
87,853
|
12.
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
|
|
CERTAIN SHARES*
|
||
[ ]
|
13.
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
|
|
1.57%
|
14.
|
TYPE OF REPORTING PERSON*
|
|
CO
|
(a),(f) |
The persons filing this statement are Friends Investment Company Inc., a Marshall Islands corporation (“Friends Investment Company”) and Family United Navigation Co., a Marshall Islands corporation (“Family United Navigation” and,
together with Friends Investment Company, the "Reporting Persons").
|
|
|
|
|
|
Aristides P. Pittas
|
|
President, Director
|
|
Mr. Pittas is a citizen of Greece. His principal occupation is serving as Vice Chairman of the Issuer.
|
|
|
|
|
|
|
Vice President/Director
|
|
Mr. Pittas is a citizen of Greece. His principal occupation is serving as Chairman, CEO and President of the Issuer and President of Eurobulk Ltd.
|
|
|
|
|
|
|
Nikolaos J. Pittas
|
|
Treasurer/Secretary/Director
|
|
Mr. Pittas is a citizen of Greece. His principal occupation is serving as the financial manager of Eurobulk Ltd.
|
|
|
|
|
|
Emmanuel J. Pittas
|
|
Director
|
|
Mr. Pittas is a citizen of Greece. His principal occupation is serving as vice president of Eurobulk Ltd.
|
President/Director
|
Mr. Pittas is a citizen of Greece. His principal occupation is serving as Chartering Manager of Eurobulk, Ltd.
|
|||
Aristides P Pittas
|
|
Secretary/Director
|
|
Mr. Pittas is a citizen of Greece. His principal occupation is serving as Vice Chairman of the Issuer.
|
|
|
|
||
Eleni Pitta
|
|
Treasurer/Director
|
|
Ms. Pitta is a citizen of Greece. Her principal occupation is serving as an employee in Administration at Eurobulk Ltd.
|
|
|
|
||
Despoina Pitta
|
|
Director
|
|
Ms. Pitta is a citizen of Greece. Her principal occupation is serving on the board of directors of P. Pappas and A. Pittas.
|
|
|
(d),(e) |
None of the Reporting Persons, nor any manager or executive officer of the Reporting Persons, has, during the past five years, (a) been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors), or (b)
been a party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of such proceeding was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting, or
mandating activities subject to, federal or state securities laws or finding any violation with respect to such laws.
|
Vested/Purchased Pursuant to a
Rights Offering
|
Unvested
|
|
Aristides P. Pittas
|
2,598
|
1,439
|
12,504
|
5,241
|
(a)-(d) |
As of the date hereof, Friends Investment Company may be deemed to be the beneficial owner of 405,187 Common Shares, constituting 7.24% of the Common Shares, based upon 5,600,259 Common Shares outstanding. Friends Investment Company
has the sole power to vote or direct the vote of 405,187 Common Shares and the shared power to vote or direct the vote of 0 Common Shares. Friends Investment Company has the sole power to dispose or direct the disposition of 405,187
Common Shares and the shared power to dispose or direct the disposition of 0 Common Shares.
|
(e) |
As of December 18, 2018, Family United Navigation does not own more than 5% of the total outstanding Common Shares of the Issuer.
|
(Date)
|
||
Friends Investment Company Inc.
|
||
By: /s/ Aristides J. Pittas
|
||
Name: Aristides J. Pittas
Title: Vice President
|
(Date)
|
||
Friends Investment Company Inc.
|
||
By: /s/ Aristides J. Pittas
|
||
Name: Aristides J. Pittas
Title: Vice President
|
Date of
Transaction
|
Title of Class
|
Number of
Common Shares
Acquired
|
Number of
Common Shares
Disposed
|
Price Per
Common
Share
|
4/8/20
|
Common Shares, $0.03 par value
|
5,000
|
N/A
|
$2.00
|
5/27/20
|
Common Shares, $0.03 par value
|
N/A
|
14,927
|
$4.31
|
5/27/20
|
Common Shares, $0.03 par value
|
N/A
|
20,000
|
$4.02
|
5/27/20
|
Common Shares, $0.03 par value
|
N/A
|
20,000
|
$4.20
|
5/27/20
|
Common Shares, $0.03 par value
|
N/A
|
51,500
|
$3.32
|
5/27/20
|
Common Shares, $0.03 par value
|
N/A
|
20,000
|
$4.00
|
This ‘SC 13D/A’ Filing | Date | Other Filings | ||
---|---|---|---|---|
Filed on: | 6/10/20 | |||
5/27/20 | 6-K | |||
12/19/19 | 6-K | |||
12/9/19 | SC 13D, SC 13D/A | |||
12/18/18 | ||||
12/4/18 | ||||
List all Filings |