-----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, UqZa4fgvoca/fuwz/s/R1Mx1NTOsFmvshFbJ/aRM8azLDn6a2qYlcxbHNp7YJ3Vz lnvv5Vz7KFtzVF3E4bueYA== 0001181431-05-045628.txt : 20050809 0001181431-05-045628.hdr.sgml : 20050809 20050809195030 ACCESSION NUMBER: 0001181431-05-045628 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20050808 FILED AS OF DATE: 20050809 DATE AS OF CHANGE: 20050809 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LAWLER KENNETH P CENTRAL INDEX KEY: 0001192451 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-51349 FILM NUMBER: 051011526 MAIL ADDRESS: STREET 1: C/O BATTERY VENTURE STREET 2: 20 WILLIAM STREET SUITE 200 CITY: WELLESLEY STATE: MA ZIP: 02481 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CURME OLIVER D CENTRAL INDEX KEY: 0001192459 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-51349 FILM NUMBER: 051011530 MAIL ADDRESS: STREET 1: C/O BATTERY VENTURE STREET 2: 20 WILLIAM STREET SUITE 200 CITY: WELLESLEY STATE: MA ZIP: 02481 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: FRISBIE RICHARD D CENTRAL INDEX KEY: 0001192362 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-51349 FILM NUMBER: 051011528 MAIL ADDRESS: STREET 1: 200 N LASALLE STREET 2: STE 1100 CITY: CHICAGO STATE: IL ZIP: 60601 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BATTERY VENTURES VI LP CENTRAL INDEX KEY: 0001117938 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-51349 FILM NUMBER: 051011533 BUSINESS ADDRESS: STREET 1: 20 WILLIAM STREET STREET 2: C/O BATTERY VENTURES CITY: WELLESLEY STATE: MA ZIP: 02481 MAIL ADDRESS: STREET 1: C/O BATTERY VENTURES STREET 2: 20 WILLIAM ST STE 200 CITY: WELLESLEY STATE: MA ZIP: 02481 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ADVANCED ANALOGIC TECHNOLOGIES INC CENTRAL INDEX KEY: 0001104042 STANDARD INDUSTRIAL CLASSIFICATION: SEMICONDUCTORS & RELATED DEVICES [3674] IRS NUMBER: 770462930 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 830 E. ARQUES AVENUE CITY: SUNNYVALE STATE: CA ZIP: 94085-4519 BUSINESS PHONE: (408) 737-4600 MAIL ADDRESS: STREET 1: 830 E. ARQUES AVENUE CITY: SUNNYVALE STATE: CA ZIP: 94085-4519 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CROTTY THOMAS J CENTRAL INDEX KEY: 0001192462 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-51349 FILM NUMBER: 051011529 BUSINESS ADDRESS: STREET 1: BATTERY VENTURES STREET 2: 20 WILLIAM STREET STE 200 CITY: WELLESLEY STATE: MA ZIP: 02481 BUSINESS PHONE: 7815771000 MAIL ADDRESS: STREET 1: C/O BATTERY VENTURE STREET 2: 20 WILLIAM STREET SUITE 200 CITY: WELLESLEY STATE: MA ZIP: 02481 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: TOBIN SCOTT R CENTRAL INDEX KEY: 0001199926 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-51349 FILM NUMBER: 051011527 BUSINESS ADDRESS: STREET 1: C/O BATTERY VENTURES STREET 2: 20 WILLIAM ST. #200 CITY: WELLESLEY STATE: MA ZIP: 02481 BUSINESS PHONE: 7815771000 MAIL ADDRESS: STREET 1: C/O BATTERY VENTURES STREET 2: 20 WILLIAM ST STE 200 CITY: WELLESLEY STATE: MA ZIP: 02481 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BATTERY PARTNERS VI LLC CENTRAL INDEX KEY: 0001199924 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-51349 FILM NUMBER: 051011531 BUSINESS ADDRESS: STREET 1: C/O BATTERY VENTURES STREET 2: 20 WILLIAM ST. #200 CITY: WELLESLEY STATE: MA ZIP: 02481 BUSINESS PHONE: 7815771000 MAIL ADDRESS: STREET 1: C/O BATTERY VENTURES STREET 2: 20 WILLIAM ST STE 200 CITY: WELLESLEY STATE: MA ZIP: 02481 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SHERMAN MARK H CENTRAL INDEX KEY: 0001199927 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-51349 FILM NUMBER: 051011524 BUSINESS ADDRESS: STREET 1: C/O BATTERY VENTURES STREET 2: 20 WILLIAM ST. #200 CITY: WELLESLEY STATE: MA ZIP: 02481 BUSINESS PHONE: 7815771000 MAIL ADDRESS: STREET 1: C/O BATTERY VENTURES STREET 2: 20 WILLIAM ST STE 200 CITY: WELLESLEY STATE: MA ZIP: 02481 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: JONES MORGAN M CENTRAL INDEX KEY: 0001199931 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-51349 FILM NUMBER: 051011525 BUSINESS ADDRESS: STREET 1: C/O BATTERY VENTURES STREET 2: 20 WILLIAM ST. #200 CITY: WELLESLEY STATE: MA ZIP: 02481 BUSINESS PHONE: 7815771000 MAIL ADDRESS: STREET 1: C/O BATTERY VENTURES STREET 2: 20 WILLIAM ST STE 200 CITY: WELLESLEY STATE: MA ZIP: 02481 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BATTERY INVESTMENT PARTNERS VI LLC CENTRAL INDEX KEY: 0001199934 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-51349 FILM NUMBER: 051011532 BUSINESS ADDRESS: STREET 1: C/O BATTERY VENTURES STREET 2: 20 WILLIAM ST. #200 CITY: WELLESLEY STATE: MA ZIP: 02481 BUSINESS PHONE: 7815771000 MAIL ADDRESS: STREET 1: C/O BATTERY VENTURES STREET 2: 20 WILLIAM ST STE 200 CITY: WELLESLEY STATE: MA ZIP: 02481 4 1 rrd87816.xml FORM 4 X0202 4 2005-08-08 1 0001104042 ADVANCED ANALOGIC TECHNOLOGIES INC AATI 0001117938 BATTERY VENTURES VI LP C/O BATTERY VENTURES 20 WILLIAM STREET, SUITE 200 WELLESLEY MA 02481 0 0 1 0 0001199934 BATTERY INVESTMENT PARTNERS VI LLC C/O BATTERY VENTURES 20 WILLIAM STREET, SUITE 200 WELLESLEY MA 02481 0 0 1 0 0001199924 BATTERY PARTNERS VI LLC C/O BATTERY VENTURES 20 WILLIAM STREET, SUITE 200 WELLESLEY MA 02481 0 0 1 0 0001192459 CURME OLIVER D C/O BATTERY VENTURES 20 WILLIAM STREET, SUITE 200 WELLESLEY MA 02481 0 0 1 0 0001192462 CROTTY THOMAS J C/O BATTERY VENTURES 20 WILLIAM STREET, SUITE 200 WELLESLEY MA 02481 0 0 1 0 0001192362 FRISBIE RICHARD D C/O BATTERY VENTURES 20 WILLIAM STREET, SUITE 200 WELLESLEY MA 02481 0 0 1 0 0001192451 LAWLER KENNETH P C/O BATTERY VENTURES 20 WILLIAM STREET, SUITE 200 WELLESLEY MA 02481 1 0 1 0 0001199931 JONES MORGAN M C/O BATTERY VENTURES 20 WILLIAM STREET, SUITE 200 WELLESLEY MA 02481 0 0 1 0 0001199927 SHERMAN MARK H C/O BATTERY VENTURES 20 WILLIAM STREET, SUITE 200 WELLESLEY MA 02481 0 0 1 0 0001199926 TOBIN SCOTT R C/O BATTERY VENTURES 20 WILLIAM STREET, SUITE 200 WELLESLEY MA 02481 0 0 1 0 Common Stock 2005-08-08 4 C 0 3136000 A 3136000 D Common Stock 2005-08-08 4 C 0 130667 A 130667 D Series A Convertible Preferred Stock 2005-08-08 4 C 0 336000 1.90 D Common Stock 336000 0 D Series E Convertible Preferred Stock 2005-08-08 4 C 0 2800000 2.40 D Common Stock 2800000 0 D Series A Convertible Preferred Stock 2005-08-08 4 C 0 14000 1.90 D Common Stock 14000 0 D Series E Convertible Preferred Stock 2005-08-08 4 C 0 116667 2.40 D Common Stock 116667 0 D This report is filed jointly by the following entities and individuals, all of which are direct or indirect 10% owners, and all of which are members of a "group" for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended: Battery Venture VI, L.P., Battery Partners VI, L.L.C., Battery Investment Partners VI, LLC, Richard D. Frisbie, Oliver D. Curme, Thomas J. Crotty, Kenneth P. Lawler, Morgan M. Jones, Mark H. Sherman and Scott R. Tobin. In addition, Kenneth P. Lawler currently serves a representative on Advanced Analogic Technologies Incorporated's board of directors. The reported securities are owned directly by Battery Ventures VI, L.P., and indirectly by Battery Partners VI, L.L.C., as general partner of Battery Ventures VI, L.P. The managing members of Battery Partners VI, L.L.C. are Richard D. Frisbie, Oliver D. Curme, Thomas J. Crotty, Kenneth P. Lawler, Morgan M. Jones, Mark H. Sherman and Scott R. Tobin, who hold voting and dispositive power for the shares held by Battery Ventures VI, L.P. Each of Mr. Frisbie, Curme, Crotty, Lawler, Jones, Sherman and Tobin disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein. The reported securities are owned directly by Battery Investment Partners VI, L.L.C. The managers of Battery Investment Partners VI, L.L.C. are Oliver D. Curme and Thomas J. Crotty who hold voting and dispositive power for the shares held by Battery Investment Partners VI, L.L.C. Each of Mr. Curme and Crotty disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein. Shares are immediately convertible into Common Stock. These securities of Advanced Analogic Technologies Incorporated (the "Company") do not expire on a specific date. These securities automatically convert into shares of the Company's Common Stock upon the closing of the Company's initial public offering. The Preferred Stock converted into Common Stock at a ratio of 1 share of Common Stock for each share of Preferred Stock. /s/ Thomas J. Crotty managing member of Battery Partners VI, LLC General Partner of Battery Venture VI, LP 2005-08-08 EX-99. 2 rrd75555_85768.htm JOINT FILER INFORMATION rrd75555_85768.html 
Exhibit 99
Form 3 Joint Filer Information

Name:                Battery Ventures VI, L.L.C.
Address:        c/o Battery Ventures
                20 William Street, Suite 200
                Wellesley, MA 02481
Designed Filer:        Battery Ventures VI, L.P.
Issuer & Tickler Symbol:        Advanced Analogic Technologies Inc [AATI]
Date of Event Requiring Statement:        8/8/05
Signature:        By: /s/Thomas J. Crotty        
              &
nbsp;         Thomas J. Crotty, Managing Member
                        Battery Partners VI
                        (General Partner)

Name:                Battery Investment Partners VI, L.L.C.
Address:        c/o Battery Ventures
                20 William Street, Suite 200
                Wellesley, MA 02481
Designed Filer:        Battery Ventures VI, L.P.
Issuer & Tickler Symbol: 
       Advanced Analogic Technologies Inc [AATI]
Date of Event Requiring Statement:        8/8/05
Signature:        By: /s/ Thomas J. Crotty
                        Thomas Crotty, Manager
Name:        Oliver D. Curme
Address:        c/o Battery Ventures
                20 William Street, Suite 200
                Wellesley, MA 02481
Designed Filer:        Battery Ventures VI, L.P.
Issuer & Tickler Symbol:        Advanced Analogic Technol
ogies Inc [AATI]
Date of Event Requiring Statement:        8/8/05
Signature:        By: /s/ Thomas J. Crotty, Attorney-in-fact

Name:        Thomas J. Crotty

Address:        c/o Battery Ventures
                20 William Street, Suite 200
                Wellesley, MA 02481
Designed Filer:        Battery Ventures VI, L.P.
Issuer & Tickler Symbol:        Advanced Analogic Technologies Inc [AATI]
Date of Event Requiring Statement:        8/8/05
Signature:        By: /s/ Thomas J. Crotty
Name: &
nbsp;      Richard D. Frisbie
Address:        c/o Battery Ventures
                20 William Street, Suite 200
                Wellesley, MA 02481
Designed Filer:        Battery Ventures VI, L.P.
Issuer & Tickler Symbol:        Advanced Analogic Technologies Inc [AATI]
Date of Event Requiring Statement:        8/8/05
Signature:        By: /s/ Thomas J. Crotty, Attorney-in-fact

Name:        Kenneth P. Lawler
Address:        c/o Battery Ventures
            &n
bsp;   20 William Street, Suite 200
                Wellesley, MA 02481
Designed Filer:        Battery Ventures VI, L.P.
Issuer & Tickler Symbol:        Advanced Analogic Technologies Inc [AATI]
Date of Event Requiring Statement:        8/8/05
Signature:        By: /s/ Thomas J. Crotty, Attorney-in-fact
Name:        Morgan M. Jones
Address:        c/o Battery Ventures
                20 William Street, Suite 200
                Wellesley, MA 02481
Designed Filer:     &n
bsp;  Battery Ventures VI, L.P.
Issuer & Tickler Symbol:        Advanced Analogic Technologies Inc [AATI]
Date of Event Requiring Statement:        8/8/05
Signature:        By: /s/ Thomas J. Crotty, Attorney-in-fact

Name:        Mark H. Sherman
Address:        c/o Battery Ventures
                20 William Street, Suite 200
                Wellesley, MA 02481
Designed Filer:        Battery Ventures VI, L.P.
Issuer & Tickler Symbol:        Advanced Analogic Technologies Inc [AATI]
Date of Event Requiring Statement:    
    8/8/05
Signature:        By: /s/ Thomas J. Crotty, Attorney-in-fact
Name:        Scott R. Tobin
Address:        c/o Battery Ventures
                20 William Street, Suite 200
                Wellesley, MA 02481
Designed Filer:        Battery Ventures VI, L.P.
Issuer & Tickler Symbol:        Advanced Analogic Technologies Inc [AATI]
Date of Event Requiring Statement:        8/8/05
Signature:        By: /s/ Thomas J. Crotty, Attorney-in-fact
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