-----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, P3FnYtAHXjGOfP68W3mElwuewtBcTIke4oVoVb/Gn4NQkyB7XMBsq2dBTQEGVySr MuEnnxXkOcK9K4u1QSzlnw== 0000904567-05-000015.txt : 20051026 0000904567-05-000015.hdr.sgml : 20051026 20051026125608 ACCESSION NUMBER: 0000904567-05-000015 CONFORMED SUBMISSION TYPE: SC 13D PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20051026 DATE AS OF CHANGE: 20051026 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: APPLIED INNOVATION INC CENTRAL INDEX KEY: 0000798399 STANDARD INDUSTRIAL CLASSIFICATION: TELEPHONE & TELEGRAPH APPARATUS [3661] IRS NUMBER: 311177192 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D SEC ACT: 1934 Act SEC FILE NUMBER: 005-49719 FILM NUMBER: 051156397 BUSINESS ADDRESS: STREET 1: 5800 INNOVATION DRIVE CITY: DUBLIN STATE: OH ZIP: 43017 BUSINESS PHONE: 6147982000 MAIL ADDRESS: STREET 1: 5800 INNOVATION DRIVE CITY: DUBLIN STATE: OH ZIP: 43016 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: BERLIN THOMAS G CENTRAL INDEX KEY: 0000904567 FILING VALUES: FORM TYPE: SC 13D BUSINESS ADDRESS: STREET 1: 23811 CHAGRIN BLVD CITY: CHAGRIN FALLS STATE: OH ZIP: 44122 BUSINESS PHONE: 4409512655 MAIL ADDRESS: STREET 1: 37500 EAGLE ROAD CITY: WILLOGHBY HILLS STATE: OH ZIP: 44094 SC 13D 1 ainn1005.txt APPLIED INNOVATION United States Securities and Exchange Commission Washington DC 20549 Schedule 13D Amendment No. Under the Securities and Exchange Act of 1934 Applied Innovation Inc. (Name of Issuer) Common Stock (No Par Value) Title of Class of Securities 037916103 (CUSIP Number) Thomas G. Berlin Berlin Financial,Ltd. 1325 Carnegie Ave, Cleveland,OH 44115 (216) 479.0400 Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) October 24, 2005 (Date of Event Which Requires Filing of this Statement) If this filing person has previously filed a statement on Schedule 13G to report this acquisition which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(b) (3) or (4), check the following box / /. Note: Six copies of this statement, including all exhibits should be filed with the Commission. See Rule 13d-1 (a) for other parties to whom copies are to be sent. *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 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). 1 Name of Reporting Person Thomas G. Berlin 2 If a member group a) / / b) /X/ 3 SEC Use only 4 Source of Funds AF 5 Check if Disclosure 6 Citizenship USA Number of Shares Sole Voting 0 Beneficially Owned By Each Shared Voting 791,513 Reporting Person With Sole Dispositive 0 Shared Dispositive 791,513 11 Aggregate Amount Beneficially owned 791,513 12 Check if Aggregate Amount (11) Excludes Certain Shares 13 Percent of Class Represented by amount in row (11) 5.19% 14 Type of Reporting Person IA, IN Item 1. Security and Issuer CUSIP 037916103 Applied Innovation Inc. 5800 Innovation Drive Dublin, OH 43016 Phone: 614-798-2000 Fax: 614-798-1770 Item 2. Identity and Background. (a) The name of the reporting person is Thomas G. Berlin. (b) The Reporting person's address is Berlin Financial, Ltd., 1325 Carnegie Ave, Cleveland, OH 44115 (c) The Reporting Person's occupation is managing member;investment advisor;Berlin Financial,Ltd., 1325 Carnegie Ave, Cleveland, OH 44115. (d) None (e) None (f) United States of America Item 3. Source and Amount of Funds or Other Consideration. Capital Shares (as defined in Item 4) were purchased using funds of Berlin Capital Growth, L.P. The Reporting Person is the managing member of the General Partner of Berlin Capital Growth, L.P. The Privately Managed Shares (as defined in Item 4) were purchased using funds of each respective account holder. The Reporting Person is the managing member of the Privately Managed Accounts. Item 4. Purpose of Transaction. The Reporting Person purchased certain shares (the "Capital Shares") in his capacity as the managing member of the General Partner of Berlin Capital Growth, L.P. and for the account of Berlin Capital Growth, L.P. Capital Shares were purchased and sold solely for investment purposes. The Reporting Person purchased and sold certain shares (the "Privately Managed Shares") in his capacity as the managing member of the Privately Managed Accounts. Privately Managed Shares were purchased and sold solely for investment purposes. Item 5. Interest in Securities of the Issuer (a) The aggregate amount owned by the Reporting Person is 767,004 shares or 5.19% of the outstanding shares. (b) Shares Percentage Sole Voting Power 0 0% Shared Voting Power 789,871 5.19% Sole Dispositive Power 0 0% Shared Dispositive Po 789,871 5.19% The reporting Person shares voting and dispositive power with the following clients in the following amounts: Berlin Capital Growth, L.P., 298,358 shares;Privately Managed Accounts, 491,513 shares. The address of Berlin Capital Growth, L.P., and the Privately Managed Accounts is c/o the Reporting Person. There is no proceedings required to be disclosed with respect to any person sharing beneficial ownership with the Reporting Person. (c) On the following dates, the Reporting Person purchased and/or sold the following numbers of shares for the prices per share set forth below. Each such purchase or sale occurred through a customary broker transaction. Capital Shares Date Shares Price/Share Sold or Bought 08/25/2005 600 4.07 B 08/29/2005 2000 4.07 B 08/29/2005 2000 4.39 S Privately Managed Shares Date Shares Price/Share Sold or Bought 08/29/2005 2000 4.00 B 08/29/2005 2000 5.00 S 09/14/2005 25000 4.04 B 10/03/2005 1410 3.80 B 10/04/2005 590 3.75 B 10/04/2005 1210 3.75 B 10/13/2005 2352 3.60 B 10/19/2005 100 3.60 B 10/20/2005 548 3.60 B 10/21/2005 3050 3.575 B 10/24/2005 10000 3.54 B 10/24/2005 967 3.52 B 10/25/2005 1533 3.52 B 10/25/2005 2500 3.45 B 10/25/2005 14867 3.47 B d) Not Applicable. e) Not Applicable Item 6. Contracts, Arrangements, Understandings or Relationships With Respect to the Issuer. The partners of Berlin Capital Growth, L.P. have the right to receive distributions of the net assets of Berlin Capital Growth, L.P. Those net assets include any proceeds from the sale of Capital Shares. Item 7. Material to be Filed as Exhibits. Not Applicable. Signature After reasonable inquiry and to the best of our knowledge and belief, we certify that the information set forth in this statement is true, complete and correct. Date: October 26, 2005 /s/ Thomas G. Berlin -----END PRIVACY-ENHANCED MESSAGE-----