-----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, HKj7AeBcr+8Wz4+Im5gRof2Io4tlWE7y02Qwy7/goDe9P8Y8mEjefWHf3PApGSb2 Z2CxdwrZCu9AxQNEVaRmmw== 0000904454-10-000259.txt : 20100806 0000904454-10-000259.hdr.sgml : 20100806 20100806172812 ACCESSION NUMBER: 0000904454-10-000259 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20100806 DATE AS OF CHANGE: 20100806 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: Venture Lending & Leasing VI, Inc. CENTRAL INDEX KEY: 0001482199 IRS NUMBER: 271682622 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-85560 FILM NUMBER: 10999394 BUSINESS ADDRESS: STREET 1: 2010 NORTH FIRST STREET STREET 2: SUITE 310 CITY: SAN JOSE STATE: CA ZIP: 95131 BUSINESS PHONE: 4084368577 MAIL ADDRESS: STREET 1: 2010 NORTH FIRST STREET STREET 2: SUITE 310 CITY: SAN JOSE STATE: CA ZIP: 95131 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Siguler Guff Advisers, LLC CENTRAL INDEX KEY: 0001328551 IRS NUMBER: 133855629 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 825 THIRD AVENUE STREET 2: 29TH FLOOR CITY: NEW YORK STATE: NY ZIP: 06820 BUSINESS PHONE: 212 332-5105 MAIL ADDRESS: STREET 1: 825 THIRD AVENUE STREET 2: 29TH FLOOR CITY: NEW YORK STATE: NY ZIP: 06820 SC 13D/A 1 s13da_080610-venturevi.htm AMENDMENT TO SCHED 13D BY SIGULER GUFF s13da_080610-venturevi.htm

 
 

 


SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC  20549
 
SCHEDULE 13D
(Rule 13d-101)
 
UNDER THE SECURITIES EXCHANGE ACT OF 1934
(Amendment No. 1)1
 
Venture Lending & Leasing VI, Inc.
(Name of Issuer)
 
Common Stock, $.001 par value
 
(Title of Class of Securities)
 
None
(CUSIP Number)

Siguler Guff Advisers, LLC
Ropes & Gray LLP
825 Third Avenue, 29th Floor
1211 Avenue of the Americas
New York, NY 10022
New York, NY 10036
Attn: Donald Spencer
Attn: Michael G. Doherty, Esq.
Tel: (212) 332-5105
Tel: (212) 596-9000

(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)

July 30, 2010

(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), 13d-1(f) or 13d-1(g), check the following box.    o

Note.  Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits.  See Rule 13d-7 for other parties to whom copies are to be sent.




 
1 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).

 
 

 
 Page 2 of 5 Pages


 
1.
 
NAME OF REPORTING PERSONS
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS
SIGULER GUFF ADVISERS, LLC
EIN No.:  133855629
 
2.
 
 
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
 
 
(a)o
(b)o
 
3.
 
SEC USE ONLY
 
4.
 
SOURCE OF FUNDS
OO
 
5.
 
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS  o
IS  REQUIRED PURSUANT TO ITEM 2(d) or 2(e)
 
 
6.
 
CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
 
 
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
 
 
7.
 
 
SOLE VOTING POWER
0
 
8.
 
 
SHARED VOTING POWER
  23,614
 
9.
 
 
SOLE DISPOSITIVE POWER
0
 
10.
 
 
SHARED DISPOSITIVE POWER
23,614
 
11.
 
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
23,614
 
12.
 
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11)
EXCLUDES CERTAIN SHARES                                                                           
 
 
13.
 
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
23.614%
 
14.
 
TYPE OF REPORTING PERSON
IA


 
 

 
 Page 3 of 5 Pages


 
1.
 
NAME OF REPORTING PERSONS
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS
GEORGE W. SIGULER
EIN No.:
 
2.
 
 
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
 
 
(a)o
(b)o
 
3.
 
SEC USE ONLY
 
4.
 
SOURCE OF FUNDS
PF
 
5.
 
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS  o
IS  REQUIRED PURSUANT TO ITEM 2(d) or 2(e)
 
 
6.
 
CITIZENSHIP OR PLACE OF ORGANIZATION
United States
 
 
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
 
 
7.
 
 
SOLE VOTING POWER
1,360
 
8.
 
 
SHARED VOTING POWER
  23,614
 
9.
 
 
SOLE DISPOSITIVE POWER
1,360
 
10.
 
 
SHARED DISPOSITIVE POWER
23,614
 
11.
 
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
24,974
 
12.
 
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11)
EXCLUDES CERTAIN SHARES                                                                           
 
 
13.
 
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
24.974%
 
14.
 
TYPE OF REPORTING PERSON
IN


 
 

 
 Page 4 of 5 Pages


AMENDMENT NO. 1 TO SCHEDULE 13D

Reference is hereby made to the statement on Schedule 13D filed with the Securities and Exchange Commission on July 9, 2010 (the "Schedule 13D").  Terms defined in the Schedule 13D are used herein as so defined.

The following items of the Schedule 13D are hereby amended as follows:

Item 3.     Source and Amount of Funds or Other Consideration.

Item 3 is hereby amended to add the following thereto:

On July 30, 2010 Siguler Guff invested an additional $24,425,000 of funds under management in the Company.  As a result, Siguler Guff may be deemed to beneficially own, in the aggregate, 23.614% of the outstanding membership interests of Venture Lending & Leasing VI, LLC (the “Company”).  The Company owns all 100,000 outstanding shares of the Common Stock of the Issuer.  As a result, Siguler Guff may be deemed to beneficially own 23,614 shares (or 23.614%) of the Common Stock of the Issuer (an additional 2,642 shares). The ultimate source of funds for the July 30, 2010 acquisition was capital contributions from the partners and members of the funds and accounts manag ed by Siguler Guff.

Item 5.     Interest in Securities of the Issuer.

Item 5(a)-(b) is hereby amended and restated in its entirety to read as follows:

(a)-(b) The Reporting Persons may be deemed to beneficially own, in the aggregate, 24.974% of the outstanding membership interests of Venture Lending & Leasing VI, LLC (the “Company”), which owns all of the outstanding shares of the Common Stock of the Issuer (100,000 shares of Common Stock outstanding).  The members of the Company have pass-through voting rights with respect to any action proposed at a meeting of the shareholders of the Issuer or submitted for consent of the shareholders of the Issuer.  As a result, the Reporting Persons may be deemed to beneficially own 24,974 shares (or 24.974%) of the outstanding shares of Common Stock of the Issuer. The Reporting Persons disclaim b eneficial ownership of such shares except to the extent of their pecuniary interest therein.
 
 

Item 5(c) is hereby amended and restated in its entirety to read as follows:

(c) Other than as described in this Amendment, the Reporting Persons have not effected any transactions in the Common Stock since the last filing of Schedule 13D.  By virtue of the increase in the total outstanding membership interests in the Company, Siguler's ownership percentage in the Company decreased to 1.360%, resulting in a decrease in the number of shares of Common Stock he may be deemed to beneficially own from 1,864 shares as reported in the last filing of Schedule 13D to 1,360 shares as of July 30, 2010.



 
 

 
 Page 5 of 5 Pages


SIGNATURES

After reasonable inquiry and to the best of their knowledge and belief, the undersigned certify that the information set forth in this statement is true, complete and correct.

Dated:  August 5, 2010

 
SIGULER GUFF ADVISERS, LLC
     
 
By:
/s/ Donald P. Spencer
   
Name: Donald P. Spencer
Title:    Managing Director


   
     
   
/s/ George W. Siguler
   
George W. Siguler
 




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