-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, VPyg2NZYzLCxmWZTGv/UQ/QQio02Zv9Xxm93iKJQC+lUsXo/ixi4P0Mv208FgQDC zE+uG4+XZqlENzQsMDnZLw== 0001012870-01-000793.txt : 20010223 0001012870-01-000793.hdr.sgml : 20010223 ACCESSION NUMBER: 0001012870-01-000793 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20010214 GROUP MEMBERS: BAY MANAGEMENT COMPANY 1997, LLC GROUP MEMBERS: BAY PARTNERS SBIC II LP GROUP MEMBERS: BAY PARTNERS SONIC INVESTORS, L.L.C. GROUP MEMBERS: DEMPSEY FAMILY PARTNERSHIP, L.P. GROUP MEMBERS: FRIEDENRICH FAMILY PARTNERSHIP, L.P. GROUP MEMBERS: JAMES WICKETT GROUP MEMBERS: JOHN FRIEDENRICH GROUP MEMBERS: MARCELLO YANO GROUP MEMBERS: NEAL DEMPSEY GROUP MEMBERS: ROBERT M. WILLIAMS SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: SONICWALL INC CENTRAL INDEX KEY: 0001093885 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-BUSINESS SERVICES, NEC [7389] IRS NUMBER: 770270079 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-58485 FILM NUMBER: 1544172 BUSINESS ADDRESS: STREET 1: 1160 BORDEAUX DRIVE CITY: SUNNYVALE STATE: CA ZIP: 94089 BUSINESS PHONE: 4087459600 MAIL ADDRESS: STREET 1: 5400 BETSY ROSS DR CITY: SANTA CLARA STATE: CA ZIP: 95054 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: BAY PARTNERS SBIC II LP CENTRAL INDEX KEY: 0001106273 STANDARD INDUSTRIAL CLASSIFICATION: [] STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 10600 N DE ANZA BLVD CITY: CUPERTINO STATE: CA ZIP: 95014 BUSINESS PHONE: 4087252444 SC 13G/A 1 0001.txt SCHEDULE 13G/A - ------------------------------------------------------------------------------- CUSIP 835470105 13G Page 1 of 19 - ------------------------------------------------------------------------------- SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1 (b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2 (b) (Amendment No. 1)* SonicWALL, Inc. - ------------------------------------------------------------------------------- (Name of Issuer) Common Stock - ------------------------------------------------------------------------------- (Title of Class of Securities) 835470105 - ------------------------------------------------------------------------------- (CUSIP Number) December 31, 2000 - ------------------------------------------------------------------------------- (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [ ] Rule 13d-1(b) [ ] Rule 13d-1(c) [X] Rule 13d-1(d) *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 ("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). (Continued on following pages) Page 1 of 19 Pages
- ------------------------------------------------------------------------------------------------- CUSIP 835470105 13G Page 2 of 19 - ------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) Bay Partners SBIC II, L.P. ("BPSBIC II") Tax ID Number: 77-0476636 - ------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - ------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION California - ------------------------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES 1,602,800 shares, except that Bay Management Company 1997, BENEFICIALLY L.L.C. ("BMC 1997"), the general partner of BPSBIC II, may OWNED BY EACH be deemed to have sole voting power, and John Freidenrich REPORTING ("Freidenrich"), Neal Dempsey ("Dempsey"), Robert M. Williams PERSON ("Williams"), Marcella Yano ("Yano"), and James Wickett WITH ("Wickett"), the members of BMC, may be deemed to have shared power to vote these shares. ---------------------------------------------------------------------- 6 SHARED VOTING POWER 0 shares. ---------------------------------------------------------------------- 7 SOLE DISPOSITIVE POWER 1,602,800 shares, except that BMC 1997, the general partner of BPSBIC II, may be deemed to have sole dispositive power, and Freidenrich, Dempsey, Williams, Yano and Wickett, the members of BMC, may be deemed to have shared power to dispose of these shares. ---------------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 0 shares. - ------------------------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,602,800 - ------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [_] - ------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 2.56% - ------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* PN - -------------------------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT! - --------------------------------------------------------------------------------------- CUSIP 835470105 13G Page 3 of 19 - ---------------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) Bay Management Company 1997, L.L.C. ("BMC") Tax ID Number: 77-0476637 - --------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - --------------------------------------------------------------------------------------- 3 SEC USE ONLY - --------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION California - --------------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES 1,602,800 shares, of which 1,602,800 shares are directly BENEFICIALLY owned by BPSBIC II. BMC 1997 is the general partner of OWNED BY EACH BPSBIC II, and may be deemed to have sole power to vote REPORTING such shares and Freidenrich, Dempsey, Williams, Yano PERSON and Wickett, the members of BMC, may be deemed to have WITH shared power to vote these shares. ------------------------------------------------------------ 6 SHARED VOTING POWER 0 shares. ------------------------------------------------------------ 7 SOLE DISPOSITIVE POWER 1,602,800 shares, of which 1,602,800 shares are directly owned by BPSBIC II. BMC 1997 is the general partner of BPSBIC II, and may be deemed to have sole power to dispose of such shares and Freidenrich, Dempsey, Williams, Yano and Wickett, the members of BMC, may be deemed to have shared power to dispose of these shares. ------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 0 shares. - ---------------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,602,800 - ---------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [_] - ---------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 2.56% - ---------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* PN - ----------------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
- ------------------------------------------------------------------------------------------------- CUSIP 835470105 13G Page 4 of 19 - ------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) Bay Partners Sonic Investors, L.L.C. ("BPSI") Tax ID Number: 77-0519086 - ------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - ------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION California - ------------------------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES 0 shares. BENEFICIALLY ---------------------------------------------------------------------- OWNED BY EAC 6 SHARED VOTING POWER REPORTING 0 shares PERSON ---------------------------------------------------------------------- WITH 7 SOLE DISPOSITIVE POWER 0 shares. ---------------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 0 shares - ------------------------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 0 - ------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [_] - ------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 0.0% - ------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* OO - -------------------------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
- ------------------------------------------------------------------------------------------------- CUSIP 835470105 13G Page 5 of 19 - ------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) Freidenrich Family Partnership, L.P. ("FFP") Tax ID Number: - ------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - ------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION California - ------------------------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES 2,274,126 shares. Friedenrich is the general partner of FFP and BENEFICIALLY may be deemed to have sole power to vote the shares held by FFP. OWNED BY EACH --------------------------------------------------------------------- REPORTING 6 SHARED VOTING POWER PERSON 0 shares. WITH --------------------------------------------------------------------- 7 SOLE DISPOSITIVE POWER 2,274,126 shares. Friedenrich is the general partner of FFP and may be deemed to have sole power to dispose of the shares held by FFP. --------------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 0 shares. - ------------------------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,274,126 - ------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - ------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 3.63% - ------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
- -------------------------------------------------------------------------------------------------- CUSIP 835470105 13G Page 6 of 19 - -------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) Dempsey Family Partnership, L.P. ("DFP") Tax ID Number: - ------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - ------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION California - ------------------------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES 54,924 shares. Dempsey is the general partner of DFP and OWNED BY EACH may be deemed to have sole power to vote the shares held REPORTING by DFP. PERSON ---------------------------------------------------------------------- WITH 6 SHARED VOTING POWER 0 shares. ---------------------------------------------------------------------- 7 SOLE DISPOSITIVE POWER 54,924 shares. Dempsey is the general partner of DFP and may be deemed to have sole power to dispose of the shares held by DFP. ---------------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 0 shares. - ------------------------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 54,924 - ------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [_] - ------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 0.08% - ------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT! - ------------------------------------------------------------------------------- CUSIP 835470105 13G Page 7 of 19 - ------------------------------------------------------------------------------- - --------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) John Freidenrich ("Freidenrich") Tax ID Number: - --------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - --------------------------------------------------------------------------------------- 3 SEC USE ONLY - --------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION U.S. Citizen - --------------------------------------------------------------------------------------- 5 SOLE VOTING POWER 244,494 shares --------------------------------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES 1,602,800 shares, of which 1,602,800 shares are directly BENEFICIALLY owned by BPSBIC II. Freidenrich is a member of BMC 1997, OWNED BY the general partner of BPSBIC II, and a managing member of REPORTING BPSI, and may be deemed to have shared power to vote these PERSON shares. WITH ------------------------------------------------------------------- 7 SOLE DISPOSITIVE POWER 244,494 shares ------------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 1,602,800 shares, of which 1,602,800 shares are directly owned by BPSBIC II. Freidenrich is a member of BMC 1997, the general partner of BPSBIC II, and a managing member of BPSI, and may be deemed to have shared power to dispose of these shares. - --------------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,847,294 - --------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [_] - --------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 2.94% - --------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - ---------------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
- ------------------------------------------------------------------------------------------------- CUSIP 835470105 13G Page 8 of 19 - ------------------------------------------------------------------------------------------------- - ------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) Neal Dempsey ("Dempsey") Tax ID Number: - ------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - ------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION U.S. Citizen - ------------------------------------------------------------------------------------------------- 5 SOLE VOTING POWER 100,000 shares --------------------------------------------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES 1,602,800 shares, of which 1,602,800 shares are directly BENEFICIALLY owned by BPSBIC II. Dempsey is a member of BMC 1997, the OWNED BY EACH general partner of BPSBIC II, and a managing member of REPORTING BPSI, and may be deemed to have shared power to vote these PERSON shares WITH -------------------------------------------------------------------------------- 7 SOLE DISPOSITIVE POWER 100,000 shares -------------------------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 1,602,800 shares, of which 1,602,800 shares are directly owned by BPSBIC II. Dempsey is a member of BMC 1997, the general partner of BPSBIC II, and a managing member of BPSI, and may be deemed to have shared power to dispose of these shares. - ------------------------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,702,800 - ------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [_] - ------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 2.71% - ------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
- ------------------------------------------------------------------------------------------------- CUSIP 835470105 13G Page 9 of 19 - ------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) Marcella Yano ("Yano") Tax ID Number: - ------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [_] (b) [X] - ------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION U.S. Citizen - ------------------------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES 34,888 shares BENEFICIALLY ---------------------------------------------------------------------- OWNED BY EACH 6 SHARED VOTING POWER REPORTING 1,602,800 shares, of which 1,602,800 shares are directly PERSON owned by BPSBIC II. Yano is a member of BMC 1997, the WITH general partner of BPSBIC II, and a managing member of BPSI, and may be deemed to have shared power to vote these shares. ---------------------------------------------------------------------- 7 SOLE DISPOSITIVE POWER 34,888 shares ---------------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 1,602,800 shares, of which 1,602,800 shares are directly owned by BPSBIC II. Yano is a member of BMC 1997, the general partner of BPSBIC II, and a managing member of BPSI, and may be deemed to have shared power to dispose of these shares. - ------------------------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,637,688 - ------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [_] - ------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 2.61% - ------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
- -------------------------------------------------------------------------------------------------- CUSIP 835470105 13G Page 10 of 19 - -------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) Robert M. Williams ("Williams") Tax ID Number: - ------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [_] (b) [X] - ------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION U.S. Citizen - ------------------------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES 190,908 shares BENEFICIALLY ---------------------------------------------------------------------- OWNED BY EACH 6 SHARED VOTING POWER REPORTING 1,602,800 shares, of which 1,602,800 shares are directly PERSON owned by BPSBIC II. Williams is a member of BMC 1997, the WITH general partner of BPSBIC II, and a managing member of BPSI, and may be deemed to have shared power to vote these shares. ---------------------------------------------------------------------- 7 SOLE DISPOSITIVE POWER 190,908 shares ---------------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 1,602,800 shares, of which 1,602,800 shares are directly owned by BPSBIC II. Williams is a member of BMC 1997, the general partner of BPSBIC II, and a managing member of BPSI, and may be deemed to have shared power to dispose of shares. - ------------------------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,793,708 - ------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [_] - ------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 2.86% - ------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
- ------------------------------------------------------------------------------------------------- CUSIP 835470105 13G Page 11 of 19 - ------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) James Wickett ("Wickett") Tax ID Number: - ------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [_] (b) [X] - ------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION California - ------------------------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES 131,162 shares BENEFICIALLY --------------------------------------------------------------- OWNED BY EACH 6 SHARED VOTING POWER REPORTING 1,602,800 shares, of which 1,602,800 shares are directly PERSON owned by BPSBIC II. Wickett is a member of BMC 1997, the WITH general partner of BPSBIC II, and a managing member of BPSI, and may be deemed to have shared power to vote these shares. --------------------------------------------------------------- 7 SOLE DISPOSITIVE POWER 131,162 shares --------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 1,602,800 shares, of which 1,602,800 shares are directly owned by BPSBIC II. Wickett is a member of BMC 1997, the general partner of BPSBIC II, and a managing member of BPSI, and may be deemed to have shared power to dispose of these shares. - ------------------------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,733,962 - ------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [_] - ------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 2.76% - ------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT! - ------------------------------------------------------------------------------- CUSIP 835470105 13G Page 12 of 19 - ------------------------------------------------------------------------------- ITEM 1(a). NAME OF ISSUER: -------------- SonicWALL, Inc. ITEM 1(b). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: ------------------------------------------------ 1160 Bordeaux Drive Sunnyvale, CA 94089 ITEM 2(a). NAME OF PERSON FILING: ---------------------- This statement is filed by Bay Partners SBIC II, L.P., a California limited partnership ("BPSBIC II"), Bay Management Company 1997, L.L.C., a California limited liability company ("BMC 1997"), Bay Sonic Investors, L.L.C., a California limited liability company ("BPSI"), Freidenrich Family Partnership ("FFP"), Dempsey Family P/S ("DFP"), John Freidenrich ("Freidenrich"), Neal Dempsey ("Dempsey"), Robert M. Williams ("Williams"), Marcella Yano ("Yano"), and James Wickett ("Wickett"). The foregoing entities, except FFP and DFP, and individuals are collectively referred to as the "Reporting Persons". BMC 1997 is the general partner of BPSBIC II, and may be deemed to have sole power to vote and sole power to dispose of shares of the issuer directly owned by BPSBIC II. Freidenrich, Dempsey, Williams, Yano and Wickett are the managing members of BPSBIC II, and may be deemed to have shared power to vote and shared power to dispose of the shares of issuer directly owned BPSBIC II. BPSI may be deemed to have sole power to vote and sole power to dispose of shares. Freidenrich, Dempsey, Williams, Yano and Wickett are the managing members of BPSI, and may be deemed to have shared power to vote and shared power to dispose of the shares of issuer directly owned BPSI. ITEM 2(b). ADDRESS OF PRINCIPAL BUSINESS OFFICE, OR, IF NONE, RESIDENCE: ------------------------------------------------------------- The address of the principal business office for each of the Reporting Persons is: Bay Partners SBIC II 10600 N. DeAnza Boulevard Cupertino, CA 95014 ITEM 2(c) CITIZENSHIP: ------------ BPSBIC II is California limited partnership. BMC 1997 and BPSI are California limited liability companies. FFP and DFP are California limited partnerships. Freidenrich, Dempsey, Williams, Yano and Wickett are United States Citizens. ITEM 2(d). TITLE OF CLASS OF SECURITIES: ----------------------------- Common Stock - ------------------------------------------------------------------------------- CUSIP 835470105 13G Page 13 of 19 - ------------------------------------------------------------------------------- ITEM 2(e). CUSIP NUMBER: ------------- 835470105 ITEM 3. Not Applicable -------------- ITEM 4. OWNERSHIP: ---------- The following information with respect to the ownership of the Common Stock of the issuer by the persons filing this Statement is provided as of December 31, 2000: (a) Amount beneficially owned: ------------------------- See Row 9 of cover page for each Reporting Person. (b) Percent of Class: ---------------- See Row 11 of cover page for each Reporting Person. (c) Number of shares as to which such person has: -------------------------------------------- (i) Sole power to vote or to direct the vote: ---------------------------------------- See Row 5 of cover page for each Reporting Person. (ii) Shared power to vote or to direct the vote: ------------------------------------------ See Row 6 of cover page for each Reporting Person. (iii) Sole power to dispose or to direct the disposition of: ----------------------------------------------------- See Row 7 of cover page for each Reporting Person. (iv) Shared power to dispose or to direct the disposition of: ------------------------------------------------------- See Row 8 of cover page for each Reporting Person. - ------------------------------------------------------------------------------- CUSIP 835470105 13G Page 14 of 19 - ------------------------------------------------------------------------------- ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS: --------------------------------------------- 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: [X] ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON: --------------------------------------------------------------- Under certain circumstances set forth in the limited partnership agreement of BPSBIC II, the general and limited partners or members, as the case may be, of such entity may be deemed to have the right to receive dividends from, or the proceeds from, the sale of shares of the issuer owned by such entity of which they are a partner. ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE ---------------------------------------------------------------------- SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY: --------------------------------------------------------- Not applicable ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP: --------------------------------------------------------- Not applicable ITEM 9. NOTICE OF DISSOLUTION OF GROUP: ------------------------------ Not applicable ITEM 10. CERTIFICATION: ------------- Not applicable - ------------------------------------------------------------------------------- CUSIP 835470105 13G Page 15 of 19 - ------------------------------------------------------------------------------- SIGNATURES 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. Dated February 14, 2001 BAY PARTNERS SBIC II, L.P.., By: Bay Management Company 1997, L.L.C., Its General Partner By: /s/ John Freidenrich ------------------------------- John Freidenrich, Manager February 14, 2001 BAY PARTNERS SONIC INVESTORS, L.L.C. By: /s/ John Freidenrich -------------------------------- John Freidenrich, Managing Member February 14, 2001 BAY MANAGEMENT COMPANY, L.L.C. By: /s/ John Freidenrich ----------------------------- John Freidenrich, Manager FREIDENRICH FAMILY PARTNERSHIP, L.P. By: /s/ John Freidenrich ----------------------------- John Freidenrich, Manager DEMPSEY FAMILY PARTNERSHIP By: /s/ Neal Dempsey ------------------------ Neal Dempsey, General Partner - ------------------------------------------------------------------------------- CUSIP 835470105 13G Page 16 of 19 - ------------------------------------------------------------------------------- By: /s/ Robert Williams ------------------------------- Robert Williams By: /s/ Marcella Yano -------------------------------- Marcella Yano By: /s/ James Wickett -------------------------------- James Wickett - ------------------------------------------------------------------------------- CUSIP 835470105 13G Page 17 of 19 - ------------------------------------------------------------------------------- EXHIBIT INDEX Found on Sequentially Exhibit Numbered Page - ------- ------------- Exhibit A: Agreement of Joint Filing 18 - ------------------------------------------------------------------------------- CUSIP 835470105 13G Page 18 of 19 - ------------------------------------------------------------------------------- EXHIBIT A --------- Agreement of Joint Filing ------------------------- The Reporting persons have agreed that a single Schedule 13G (or any amendment thereto) relating to the Common Stock of SonicWALL, Inc. shall be filed on behalf of each of the Reporting Persons. Note that a copy of the applicable Agreement of Joint Filing is already filed with the appropriate agencies. -----END PRIVACY-ENHANCED MESSAGE-----