-----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, QpjocX6ULv23XG2ID9sJh5KSijVG9X8VJ4k0PXL3DyoESFJEqWrek58rw7uEMP2H nl80m9HwAH378wmDT3gJ0Q== 0001071955-01-500027.txt : 20020412 0001071955-01-500027.hdr.sgml : 20020412 ACCESSION NUMBER: 0001071955-01-500027 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20011130 FILED AS OF DATE: 20011210 COMPANY DATA: COMPANY CONFORMED NAME: PEQUOT CAPITAL MANAGEMENT INC/CT/ CENTRAL INDEX KEY: 0001071955 STANDARD INDUSTRIAL CLASSIFICATION: [] DIRECTOR FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 500 NYALA FARMS ROAD CITY: WESTPORT STATE: CT ZIP: 06880 BUSINESS PHONE: 2033192246 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ELASTIC NETWORKS INC CENTRAL INDEX KEY: 0001088242 STANDARD INDUSTRIAL CLASSIFICATION: TELEPHONE & TELEGRAPH APPARATUS [3661] IRS NUMBER: 582418576 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-30938 FILM NUMBER: 1810560 BUSINESS ADDRESS: STREET 1: 6120 WINWARD PARKWAY STREET 2: STE 100 CITY: ALPHARETTA STATE: GA ZIP: 30005 BUSINESS PHONE: 6782973100 MAIL ADDRESS: STREET 1: 6120 WINWARD PARKWAY STREET 2: SUITE 100 CITY: ALPHARETTA STATE: GA ZIP: 30005 4 1 elasform4gap1201.txt ELASTIC FORM 4 GAP 1201
- ----------------- U.S. SECURITIES AND EXCHANGE COMMISSION ---------------------------- | F O R M 4 | Washington, D.C. 20549 | OMB APPROVAL | - ----------------- |--------------------------| STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP |OMB Number 3235-0287| [ ] Check this box if |Expires: September 30,1998| no longer Subject Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, |Estimated ave. burden | to Section 16. Section 17(a) of the Public Utility Holding Company Act of 1935 or |hours per response.....0.5| Section 30(f) of the Investment Company Act 1940 ---------------------------- - ------------------------------------------------------------------------------------------------------------------------------------ |1.Name and Address of Reporting Person* |2.Issuer Name and Ticker or Trading Symbol |6.Relationship of Reporting Person to | | | | Issuer (Check all Applicable) | | | Elastic Networks, Inc. | | | Pequot Capital Management, Inc. | ELAS | X Director 10% Owner | |----------------------------------------|------------------------------------------------|--- --- | | (Last) (First) (MI)|3.IRS or Soc. Sec. No. |4.Statement for Month/ | Officer X Other(1) | | | of Reporting Person | Year |---(give title below) ---(Specify below)| | | (Voluntary) | | | | 500 Nyala Farm Road | | 11/01 |----------------------------------------| |----------------------------------------| |------------------------|7. Individual or Joint/Group Filing | | (Street) | |5.If Amendment, Date of | (Check Applicable Line) | | | | Original (Month/Year) | | | | | | Form filed by One Reporting Person | | | | |--- | | | | | X Form filed by More than One | | Westport, CT 06880 | | |--- Reporting Person | |----------------------------------------------------------------------------------------------------------------------------------| | (City) (State) (Zip) | | TABLE I - Non-Derivative Securities Acquired, Disposed of or Beneficially Owned | |----------------------------------------------------------------------------------------------------------------------------------| |1.Title of Security |2.Transac- |3.Trans. |4.Security Acquired (A) or |5.Amount of |6. |7.Nature of Indirect| | (Instr. 3) | tion Date | Code | Disposed of (D) | Securities |Own.| Beneficial | | |(Mon/Day/Yr)|(Instr.8)| (Instr. 3, 4 & 5) | Beneficially |Form| Ownership | | | |---------|-------------------------------| Owned at End of|(D) | (Instr. 4) | | | | | | |(A) | | Month |or | | | | |Code| V | Amount |(D) | Price | (Instr. 3 & 4) |(I) | | |-------------------------------|------------|----|----|----------------|----|---------|-----------------|----|--------------------| | | | | | | | | | | | |-------------------------------|------------|----|----|----------------|----|---------|-----------------|----|--------------------| | | | | | | | | | | | |-------------------------------|------------|----|----|----------------|----|---------|-----------------|----|--------------------| Reminder: Report on a separate line for each class securities owned directly or indirectly. SEC 1474 (7-98) *If the form is filed by more than one reporting person, see Instruction 4(b)(v). FORM 4 (continued) TABLE II - Derivative Securities Acquired, Disposed of, Beneficially Owned (e.g., puts, calls, warrants, options, convertible security) - ------------------------------------------------------------------------------------------------------------------------------------ |1.Title of|2.Conver-|3. |4.Tran- |5.Number of |6.Date |7.Title and Amount |8.Price of|9.Number |10. |11.Nature | |Derivative|sion or |Trans| saction| Derivative |Exercisable| of Underlying |Derivative| of |Own.| of | |Security |Exercise |Date | Code | Securities |and | Securities |Security |Derivative|Form|Indirect | |(Instr. 3)|Price of |(Mon/|(Instr.8)| Acquired (A) or |Expiration | (Instr. 3 & 4) |(Instr. 5)|Securities|of |Beneficial| | |Deriva- | Day/| | Disposed of (D) |Date | | |Benefi- |Deri|Ownership | | |tive |Year)| | (Instr. 3, 4 & 5) |(Month/Day/| | |cially |Sec.|(Instr. 4)| | |Security | | | | Year) | | |Owned at |Dir.| | | | | | | |-----------|---------------------| |End of |(D) | | | | | | | | | | |Amount or | |Month |or | | | | | |---------|---------------------|Date |Exp. | Title |Number of | |(Instr. 4)|Ind.| | | | | |Code| V | (A) | (D) |Exbl.|Date | |Shares | | |(I) | | |----------|---------|-----|----|----|----------|----------|-----|-----|----------|----------|----------|----------|----|----------| |----------|---------|-----|----|----|----------|----------|-----|-----|----------|----------|----------|----------|----|----------| |Stock |$0.18 |11/12| A | V | 15,000 | |12/12|11/12|COMMON |15,000 | 0 | 15,000 | I |Investment| |Option | |/01 | | | (2) | |/01 |/11 |STOCK |(2)(3) | | (2) |(2) |Adviser | |(right to | | | | | | |(3) | | | | | | | | |buy) | | | | | | | | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------
Explanation of Responses: (1) The designated filer is an investment adviser registered under Section 203 of the Investment Advisers Act of 1940 and has voting power and investment power with respect to securities in clients' accounts. The designated filer disclaims any obligation to file this report, and this report shall not be deemed an admission that the reporting person is subject to Section 16 with respect to the issuer or such securities. An employee of the designated filer serves on the Board of Directors of the issuer. (2) The designated filer disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the designated filer is the beneficial owner of such securities for the purposes of Rule 16(a)-1(a)(1) or (a)(2) or for any other purposes. (3) The Stock Option will vest monthly over a one-year period commencing on December 12, 2001, thereby vesting 1,250 shares underlying the Option per month. **Intentional misstatements or omissions of facts constitute Federal Criminal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). /s/ Kevin E. O'Brien, General Counsel 12/10/01 -------------------------------------------- ---------- **Signature of Reporting Person Date Note: File three copies of this form, one of which must be manually signed. If space provided is insufficient, see Instruction 6 for procedure. SEC 1474 (7-98) Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMD Number Page 1 of 2 Page 2 of 2 Name: Gerald A. Poch Address: c/o Pequot Capital Management, Inc. 500 Nyala Farm Road Westport, CT 06880 Designated Filer: Pequot Capital Management, Inc. Issuer & Ticker Symbol: Elastic Networks, Inc. ELAS Statement for Month/year: 11/01 Nature of Indirect Beneficial Ownership: By Investment Adviser (See Footnote 1) - Gerald A. Poch is an employee of Pequot Capital Management, Inc., and disclaims beneficial ownership of these securities except to the extent of his pecuniary interest Signature: /s/ Gerald A. Poch -----END PRIVACY-ENHANCED MESSAGE-----