Amended Statement of Ownership (sc 13g/a)
09 Fevereiro 2018 - 6:20PM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
(Rule 13d-102)
INFORMATION TO BE INCLUDED IN
STATEMENTS FILED PURSUANT TO § 240.13d-1(b), (c) AND (d) AND AMENDMENTS THERETO
FILED PURSUANT TO § 240.13d-1
(Amendment
No. Ten)*
First Hartford
Corporation
(Name of Issuer)
Common
(Title of Class of Securities)
320488199
(CUSIP Number)
December
31, 2017
(Date of Event Which Requires Filing of this
Statement)
Check the appropriate box to designate the rule pursuant to which this
Schedule is filed:
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[ ]
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Rule 13d-1(b)
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[
X
]
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Rule 13d-1(c)
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[
X
]
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Rule 13d-1(d)
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*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 the disclosures provided in
a prior cover page.
The information required in 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).
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CUSIP No. 320488199
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13G
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Page
2
of 7 Pages
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1.
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Names of Reporting
Persons:
John Filippelli
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2.
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Check the
Appropriate Box if a Member of a Group
(see instructions)
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(a)
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☐
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(b)
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☐
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3.
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SEC
Use Only
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4.
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Citizenship or
Place of Organization:
USA
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Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With
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5.
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Sole Voting Power:
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225,806
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6.
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Shared Voting Power:
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0
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7.
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Sole Dispositive
Power:
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225,806
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8.
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Shared Dispositive
Power:
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0
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9.
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Aggregate Amount
Beneficially Owned by Each Reporting Person:
225,806
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10.
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Check if the
Aggregate Amount in Row (9) Excludes Certain Shares
(see instructions)
☐
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11.
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Percent of Class
Represented by Amount in Row
(9):
9.7
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12.
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Type of Reporting
Person
(see instructions)
IN
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CUSIP No. 320488199
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13G
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Page
3
of 7 Pages
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1.
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Names of Reporting
Persons:
Barbara K. Filippelli
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2.
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Check the
Appropriate Box if a Member of a Group
(see instructions)
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(a)
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☐
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(b)
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☐
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3.
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SEC Use Only
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4.
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Citizenship or
Place of Organization:
USA
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Number of Shares
Beneficially
Owned by
Each Reporting
Person With
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5.
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Sole Voting Power:
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54,652
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6.
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Shared Voting Power:
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0
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7.
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Sole Dispositive
Power:
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54,
652
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8.
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Shared Dispositive
Power:
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0
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9.
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Aggregate Amount
Beneficially Owned by Each Reporting Person:
54,652
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10.
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Check if the
Aggregate Amount in Row (9) Excludes Certain Shares
(see
instructions)
☐
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11.
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Percent of Class
Represented by Amount in Row
(9):
2.4
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12.
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Type of Reporting
Person
(see instructions):
IN
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CUSIP No. 320488199
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13G
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Page
4
of 7 Pages
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Item
1.
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(a)
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Name of Issuer:
First Hartford Corporation
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(b)
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Address of Issuer's
Principal Executive Offices:
149 Colonial Road, Manchester, CT 06045-1270
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Item 2.
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(a)
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Name of Person Filing:
John Filippelli and Barbara K. Filippelli
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(b)
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Address of Principal
Business Office or, if None, Residence:
23 Lakeview Drive, Pawling, NY 12564
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(c)
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Citizenship:
USA
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(d)
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Title of Class of
Securities:
Common
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(e)
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CUSIP Number:
320488199
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Item 3.
If this statement is filed pursuant to
§§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:
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(a)
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[ ] Broker or dealer registered under section
15 of the Act (15 U.S.C. 78o);
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(b)
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[ ] Bank as defined in section 3(a)(6) of the
Act (15 U.S.C. 78c);
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(c)
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[ ] Insurance company as defined in section
3(a)(19) of the Act (15 U.S.C. 78c);
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(d)
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[ ] Investment company registered under section
8 of the Investment Company Act of 1940 (15 U.S.C 80a-8);
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(e)
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[ ] An investment adviser in
accordance with §240.13d-1(b)(1)(ii)(E);
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(f)
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[ ] An employee benefit plan or endowment fund
in accordance with §240.13d-1(b)(1)(ii)(F);
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(g)
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[ ] A parent holding company or control person
in accordance with § 240.13d-1(b)(1)(ii)(G);
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(h)
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[ ] A savings associations as defined in
Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
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(i)
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[ ] A church plan that is excluded from the
definition of an investment company under section 3(c)(14) of the Investment
Company Act of 1940 (15 U.S.C. 80a-3);
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(j)
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[ ] A non-U.S. institution in
accordance with §240.13d-1(b)(1)(ii)(J);
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(k)
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[ ] Group, in accordance with
§240.13d-1(b)(1)(ii)(K).
If filing as a non-U.S.
institution in accordance with §240.13d-1(b)(1)(ii)(J), please specify the
type of institution:
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Item 4. Ownership.
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Provide the
following information regarding the aggregate number and percentage of the
class of securities of the issuer identified in Item 1.
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If viewed jointly (but
group disavowed)
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(a)
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Amount beneficially owned:
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280,458
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(b)
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Percent of class:
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12.1
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John Filippelli
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(a)
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Amount beneficially owned:
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225,806
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(b)
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Percent of class:
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9.7
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CUSIP No. 320488199
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13G
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Page
5
of 7 Pages
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Barbara K. Filippelli
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(a)
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Amount beneficially owned:
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54,652
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(b)
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Percent of class:
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2.4
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(c)
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Number of shares as to which
the person has:
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(i) Sole power to vote or to
direct the vote
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John Filippelli:
Barbara K. Filippelli:
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225,806
54,652
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(ii) Shared power to vote or to
direct the vote:
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0
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(iii) Sole power to dispose or to
direct the disposition of
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John
Filippelli:
Barbara K. Filippelli:
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225,806
54,652
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(iv) Shared power to dispose or
to direct the disposition of
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0
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Instruction
. For computations regarding securities which
represent a right to acquire an underlying security
see
§240.13d3(d)(1).
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Item 5. Ownership of Five Percent or Less of a Class.
Not
Applicable.
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If this
statement is being filed to report the fact that as of the date hereof the
reporting person has ceased to be the beneficial owner of more than five
percent of the class of securities, check the following [ ].
Instruction:
Dissolution of a group requires a response to this
item.
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Item 6. Ownership of More than Five Percent on Behalf of
Another Person.
Not
Applicable.
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If any other
person is known to have the right to receive or the power to direct the
receipt of dividends from, or the proceeds from the sale of, such securities,
a statement to that effect should be included in response to this item and,
if such interest relates to more than five percent of the class, such person
should be identified. A listing of the shareholders of an investment company
registered under the Investment Company Act of 1940 or the beneficiaries of
employee benefit plan, pension fund or endowment fund is not required.
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Item 7. Identification and Classification of the Subsidiary
Which Acquired the Security Being Reported on by the Parent Holding Company
or Control Person.
Not
Applicable.
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If a parent holding company or control person has filed this
schedule, pursuant to Rule 13d-1(b)(ii)(G), so indicate under Item 3(g) and
attach an exhibit stating the identity and the Item 3 classification of the
relevant subsidiary. If a parent holding company or control person has filed
this schedule pursuant to Rule 13d-1(c) or Rule 13d-1(d), attach an exhibit
stating the identification of the relevant subsidiary.
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CUSIP No. 320488199
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13G
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Page
6
of 7 Pages
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Item 8. Identification and Classification of Members of the
Group.
Not
Applicable.
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If a group has
filed this schedule pursuant to §240.13d-1(b)(1)(ii)(J), so indicate under
Item 3(j) and attach an exhibit stating the identity and Item 3
classification of each member of the group. If a group has filed this
schedule pursuant to §240.13d-1(c) or §240.13d-1(d), attach an exhibit
stating the identity of each member of the group.
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Item 9. Notice of Dissolution of Group.
Not
Applicable.
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Notice of
dissolution of a group may be furnished as an exhibit stating the date of the
dissolution and that all further filings with respect to transactions in the
security reported on will be filed, if required, by members of the group, in
their individual capacity. (See Item 5.)
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Item 10. Certifications.
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(a)
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The following certification shall be
included if the statement is filed pursuant to §240.13d-1(b):
Not Applicable.
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(b)
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The following certification shall be included if
the statement is filed pursuant to §240.13d-1(b)(1)(ii)(J), or if the statement
is filed pursuant to §240.13d-1(b)(1)(ii)(K) and a member of the group is
non-U.S. institution eligible to file pursuant to §240.13d-1(b)(1)(ii)(J):
Not Applicable.
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(c)
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The following certification shall be
included if the statement is filed pursuant to §240.13d-1(c):
By
signing below I certify that, to the best of my knowledge and belief, the
securities referred to above were not acquired and are not held for the purpose
of or with the effect of changing or influencing the control of the issuer of
the securities and were not acquired and are not held in connection with or as
a participant in any transaction having that purpose or effect, other than
activities solely in connection with a nomination under § 240.14a-11.
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CUSIP No. 320488199
|
13G
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Page
7
of 7 Pages
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SIGNATURE
After reasonable
inquiry and to the best of my knowledge and belief, I certify that the
information set forth in this statement is true, complete and correct.
February 7, 2018
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/s/
John Filippelli
Signature
John Filippelli
Name/Title
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February 7, 2018
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/s/
Barbara K. Filippelli
Signature
Barbara K. Filippelli
Name/Title
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The original statement shall be signed by each person
on whose behalf the statement is filed or his
authorized representative.
If the statement is signed on behalf of a person by his authorized
representative other than an executive officer or general partner of the filing
person, evidence of the representative's authority to sign on behalf of such
person shall be filed with the statement, provided, however, that a power of
attorney for this purpose which is already on file with the Commission may be
incorporated by reference. The name and any title of each person who signs the
statement shall be typed or printed beneath his signature.
Attention:
Intentional misstatements or omissions of fact constitute Federal criminal violations
(See 18 U.S.C. 1001)
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