0001193125-16-453630.txt : 20160208 0001193125-16-453630.hdr.sgml : 20160208 20160208142636 ACCESSION NUMBER: 0001193125-16-453630 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20160208 DATE AS OF CHANGE: 20160208 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ECHELON CORP CENTRAL INDEX KEY: 0000031347 STANDARD INDUSTRIAL CLASSIFICATION: COMPUTER COMMUNICATIONS EQUIPMENT [3576] IRS NUMBER: 770203595 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-55409 FILM NUMBER: 161395273 BUSINESS ADDRESS: STREET 1: 550 MERIDIAN AVENUE CITY: SAN JOSE STATE: CA ZIP: 95126 BUSINESS PHONE: 4089385200 MAIL ADDRESS: STREET 1: 550 MERIDIAN AVENUE CITY: SAN JOSE STATE: CA ZIP: 95126 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Oshman Barbara S CENTRAL INDEX KEY: 0001541966 FILING VALUES: FORM TYPE: SC 13G/A MAIL ADDRESS: STREET 1: 695 OAK GROVE AVENUE STREET 2: SUITE 210 CITY: MENLO PARK STATE: CA ZIP: 94025 SC 13G/A 1 d113183dsc13ga.htm SC 13G/A SC 13G/A

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

SCHEDULE 13G/A

Under the Securities Exchange Act of 1934

(Amendment No. 2)*

 

 

Echelon Corporation

(Name of Issuer)

Common Stock, $0.01 par value

(Title of Class of Securities)

27874N 10 5

(CUSIP Number)

12/31/15

(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 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).

 

 

 


CUSIP No. 27874N 10 5  

 

  1.   

Names of Reporting Persons.

 

Barbara S. Oshman

  2.  

Check the Appropriate Box if a Member of a Group (See Instructions)

(a)  ¨        (b)  ¨

 

  3.  

SEC Use Only

 

  4.  

Citizenship or Place of Organization

 

United States of America

Number of

Shares Beneficially Owned by

Each

Reporting Person

With:

   5.    

Sole Voting Power

 

86,720

   6.   

Shared Voting Power

 

0

   7.   

Sole Dispositive Power

 

86,720

   8.   

Shared Dispositive Power

 

0

  9.  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

86,720

10.  

Check if the Aggregate Amount in Row (9) Excludes Certain Shares

 

11.  

Percent of Class Represented by Amount in Row (9)

 

2.0%

12.  

Type of Reporting Person

 

IN

 


Item 1.

 

  (a) Name of Issuer: Echelon Corporation

 

  (b) Address of Issuer’s Principal Executive Offices: 550 Meridian Avenue, San Jose, CA 95126

 

Item 2.

 

  (a) Name of Person Filing: Barbara S. Oshman

 

  (b) Address of Principal Business Office or, if none, Residence: 545 Middlefield Road, Suite 165, Menlo Park, CA 94025

 

  (c) Citizenship: United States of America

 

  (d) Title of Class of Securities: Common Stock, $0.01 par value

 

  (e) CUSIP Number: 27874N 10 5

 

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:

Not applicable.

 

Item 4. Ownership

Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.

 

  (a) Amount beneficially owned: 86,720 shares*

 

  (b) Percent of class: 2.0%, based on 4,416,092 outstanding shares of Common Stock of the Issuer as of October 31, 2015.

 

  (c) Number of shares as to which the person has:

 

  (i) Sole power to vote or to direct the vote: 86,720 shares*

 

  (ii) Shared power to vote or to direct the vote: 0 shares

 

  (iii) Sole power to dispose or to direct the disposition of: 86,720 shares*

 

  (iv) Shared power to dispose or to direct the disposition of: 0 shares

 

* As of December 31, 2015 and following the death of M. Kenneth Oshman on August 6, 2011, shares were held by Barbara S. Oshman Trustee of the M. Kenneth and Barbara S. Oshman Trusts dated July 10, 1979.

 

Item 5. Ownership of Five Percent or Less of a Class

Yes.

 

Item 6. Ownership of More than Five Percent on Behalf of Another Person

Not applicable.

 

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.

 

Item 8. Identification and Classification of Members of the Group

Not applicable.


Item 9. Notice of Dissolution of Group

Not applicable.

 

Item 10. Certifications

Not applicable.


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 4, 2016

Date

/s/ Barbara S. Oshman

Signature

Barbara S. Oshman

Name/Title