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Palo Alto Investors – ‘4’ for 4/1/03 re: Geerlings & Wade Inc.

On:  Thursday, 4/3/03, at 5:33pm ET   ·   As of:  4/4/03   ·   For:  4/1/03   ·   Accession #:  935836-3-164   ·   File #:  0-24048

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  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 4/04/03  Palo Alto Investors               4          10% Owner   1:23K  Geerlings & Wade Inc.             Shartsis Fries… Ginsburg

Statement of Changes in Beneficial Ownership of Securities by an Insider   —   Form 4   —   SEA’34
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 4           Statement of Changes in Beneficial Ownership of     HTML     26K 
                Securities by an Insider

This is an HTML Document rendered as filed.  [ Alternative Formats ]

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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

 

 

 

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

 

 

Form 4

OMB APPROVAL

OMB Number: 3235-0287

Expires: January 31, 2005

Estimated average burden

hours per response 0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

 

 

(Print or Type Responses)

 

 

1 .Name and Address of Reporting Person*

Palo Alto Investors, LLC

(See Note 1)

2. Issuer Name and Ticker or Trading Symbol

Geerlings & Wade, Inc. (GEER)

6. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

______Director _XX_10% Owner

______Officer (give ______Other (specify title below) below)

____________________________

(Last) (First) (Middle)

470 University Avenue

3. IRS Identification Number of Reporting Person, if an entity
(voluntary)

4. Statement for
Month/Day/Year

April 1, 2003

(Street)

Palo Alto, CA 94301

5. If Amendment,
Date of Original
(Month/Day/Year)

7. Individual or Joint/Group Filing (Check Applicable Line)
___Form filed by One Reporting Person
XXForm filed by More than One Reporting Person

(City) (State) (Zip)

Table I Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned

1. Title of Security
(Instr. 4)

2. Trans-
action
Date


(Month/
Day/
Year)

3. Trans-
Action
Code
(Instr. 8)

 

 

4. Securities Acquired (A)
or Disposed of (D)
(Instr. 3, 4 AND 5)

5. Amount of
Securities
Beneficially
Owned Following Reported Transaction(s)

(Instr. 3 and 4)

6. Owner-
ship
Form:
Direct
(D) or
Indirect
(I)

(Instr. 4)

7. Nature of Indirect Beneficial Ownership



(Instr. 4)

Code

V

Amount

(A) or

(D)

Price

Common Stock

04/01/03

J

40,900

D

See Note 2

333,970

I

See Note 3

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.

* If the form is filed by more than one reporting person, see Instruction 4(b)(v).

Persons who respond to the collection of information contained (Over)
in this form are not required to respond unless the form displays SEC 1474 (3-00)

a currently valid OMB control number.

 

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)

1. Title of
Derivative Security
(Instr. 4)

2. Conver-
sion or
Exercise
Price of
Deri-
vative
Security

3. Trans-
action
Date


(Month/
Day/
Year)

4. Trans-
action
Code
(Instr. 8)

 

 

5. Number of Deriv-
ative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4, and 5)

6. Date Exer-
cisable and
Expiration
Date
(Month/Day/
Year).

7. Title and Amount of Securities
Underlying
Derivative Security
(Inst. 4)

8. Price
of
Deriv-
ative
Secur-
ity
(Instr.
5)

9. Number
of deriv-
ative
Secur-
ities
Bene-
ficially
Owned
at End
of
Month
(Instr. 4)

10. Owner-
ship
Form of
Deriv-
ative
Security:
Direct
(D) or
Indirect
(I)
(Instr. 4)

11. Nature of Indirect
Beneficial Ownership
(Instr. 5)

 

Code

 

V

 

(A)

 

(D)

Date
Exer-
cisable

Expira-
tion
Date

Title

Amount or
Number of
Shares

Explanation of Responses:

1. The reporting persons consist of William Leland Edwards, Palo Alto Investors, LLC, a California limited liability company ("PAI LLC") and Palo Alto Investors, a California corporation ("PAI Corp"). The sole manager of PAI LLC is PAI Corp. Mr. Edwards is the President and principal member of PAI LLC and the President and controlling shareholder of PAI Corp. PAI LLC is an investment adviser registered with the Securities and Exchange Commission, and is investment adviser to investment limited partnerships of which it is the general partner and to other clients. Mr. Edwards, PAI LLC and PAI Corp are filing this Form 4 jointly as a group and disclaim membership in a group with any other person.

2. These securities were distributed in kind without consideration to the sole limited partner of an investment limited partnership to which PAI LLC is the investment adviser and general partner.

3. These securities are owned indirectly by Mr. Edwards, PAI LLC and PAI Corp. All of such shares are held in client accounts of PAI LLC, and Mr. Edwards, PAI LLC and PAI Corp disclaim beneficial ownership of such shares except to the extent of their respective pecuniary interests therein.

Dated: April 3, 2003

/s/ William L. Edwards

PALO ALTO INVESTORS, a California corporation

By: /s/ William L. Edwards, President

PALO ALTO INVESTORS, LLC, a California limited liability company

By: Palo Alto Investors, a California corporation, Manager

By: /s/ William L. Edwards, President

 

 

 

Joint Filer Information

Name: Palo Alto Investors, a California corporation

Address: 470 University Avenue, Palo Alto, CA 94301

Designated Filer: Palo Alto Investors, LLC

Issuer and Ticker Symbol: Geerlings & Wade, Inc. (GEER)

Statement for Month/Day/Year: April 1, 2003

Signature: Palo Alto Investors, a California corporation

By: /s/ William L. Edwards, President

Name: William L. Edwards

Address: 470 University Avenue, Palo Alto, CA 94301

Designated Filer: Palo Alto Investors, LLC

Issuer and Ticker Symbol: Geerlings & Wade, Inc. (GEER)

Statement for Month/Day/Year: April 1, 2003

By: /s/ William L. Edwards

** Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See 18 U.S.C. 1001 and 15 U.S.C. 78ff

Dates Referenced Herein

This ‘4’ Filing    Date    Other Filings
1/31/05None on these Dates
Filed as of:4/4/03
Filed on:4/3/03
For Period end:4/1/03
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