-----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, NXPgWx84/0RxhF2AMugIZLPIyumD9sJ9qiAEppe2yxVzEq54ikJEfThtcYp/dbxp BcTWRr9zTBbjem6x/1aT8Q== 0000950103-09-002632.txt : 20091009 0000950103-09-002632.hdr.sgml : 20091009 20091009162344 ACCESSION NUMBER: 0000950103-09-002632 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20091009 DATE AS OF CHANGE: 20091009 GROUP MEMBERS: FP ANNUAL FUND INVESTORS, L.L.C. GROUP MEMBERS: FRANCISCO PARTNERS FUND A, L.P. GROUP MEMBERS: FRANCISCO PARTNERS GP, LLC GROUP MEMBERS: FRANCISCO PARTNERS MANAGEMENT, LLC SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: SMART Modular Technologies (WWH), Inc. CENTRAL INDEX KEY: 0001326973 STANDARD INDUSTRIAL CLASSIFICATION: SEMICONDUCTORS & RELATED DEVICES [3674] IRS NUMBER: 202509518 STATE OF INCORPORATION: E9 FISCAL YEAR END: 0829 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-81651 FILM NUMBER: 091114395 BUSINESS ADDRESS: STREET 1: 39870 EUREKA DRIVE CITY: NEWARK STATE: CA ZIP: 94560 BUSINESS PHONE: 510-623-1231 MAIL ADDRESS: STREET 1: 39870 EUREKA DRIVE CITY: NEWARK STATE: CA ZIP: 94560 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: FRANCISCO PARTNERS LP CENTRAL INDEX KEY: 0001122021 IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: TWO EMBARCADERO CENTER SUITE 420 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 BUSINESS PHONE: 650-233-2900 MAIL ADDRESS: STREET 1: TWO EMBARCADERO CENTER SUITE 420 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 SC 13G/A 1 dp15187_sc13ga.htm SCHEDULE 13G/A
 



 
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C.  20549

 
SCHEDULE 13G/A
 
Under the Securities Exchange Act of 1934
 
(Amendment No. 4)*


SMART Modular Technologies (WWH), Inc.
(Name of Issuer)
 
Ordinary Shares, $0.00016667 Par Value
(Title of Class of Securities)
 
G82245 10 4
(CUSIP Number)
 
September 29, 2009
(Date of Event which Requires Filing of this Statement)

 
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
 
  o
Rule 13d-1(b)
   
  o
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).
 
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
 
 


 
 
 CUSIP No. G82245 10 4
 13G/A
 
1.
NAMES OF REPORTING PERSONS
 
Francisco Partners GP, LLC
 
2.
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
 
 
(a)
o
 
(b)
o
3.
SEC USE ONLY
 
 
 
4.
CITIZENSHIP OR PLACE OF ORGANIZATION
 
State of Delaware, U.S.A.
 
NUMBER OF SHARES
BENEFICIALLY OWNED BY
EACH REPORTING PERSON
WITH
5.
SOLE VOTING POWER
 
0
6.
SHARED VOTING POWER
 
0
7. 
SOLE DISPOSITIVE POWER
 
0
8.
SHARED DISPOSITIVE POWER
 
0
9.
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
 
0
 
10.
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
 
 
 
o
11.
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
 
0
 
12.
TYPE OF REPORTING PERSON
 
OO
 
 
Page 2 of 15


 CUSIP No. G82245 10 4
 13G/A
 
1.
NAMES OF REPORTING PERSONS
 
Francisco Partners, L.P.
 
2.
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
 
 
(a)
o
 
(b)
o
3.
SEC USE ONLY
 
 
 
4.
CITIZENSHIP OR PLACE OF ORGANIZATION
 
State of Delaware, U.S.A.
 
NUMBER OF SHARES
BENEFICIALLY OWNED BY
EACH REPORTING PERSON
WITH
5.
SOLE VOTING POWER
 
0
6.
SHARED VOTING POWER
 
0
7. 
SOLE DISPOSITIVE POWER
 
0
8.
SHARED DISPOSITIVE POWER
 
0
9.
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
 
0
 
10.
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
 
 
 
o
11.
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
 
0
 
12.
TYPE OF REPORTING PERSON
 
PN
 
 
 
Page 3 of 15


 CUSIP No. G82245 10 4
 13G/A
 
1.
NAMES OF REPORTING PERSONS
 
Francisco Partners Fund A, L.P.
 
2.
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
 
 
(a)
o
 
(b)
o
3.
SEC USE ONLY
 
 
 
4.
CITIZENSHIP OR PLACE OF ORGANIZATION
 
State of Delaware, U.S.A.
 
NUMBER OF SHARES
BENEFICIALLY OWNED BY
EACH REPORTING PERSON
WITH
5.
SOLE VOTING POWER
 
0
6.
SHARED VOTING POWER
 
0
7. 
SOLE DISPOSITIVE POWER
 
0
8.
SHARED DISPOSITIVE POWER
 
0
9.
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
 
0
 
10.
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
 
 
 
o
11.
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
 
0
 
12.
TYPE OF REPORTING PERSON
 
PN
 

 
Page 4 of 15


 
 CUSIP No. G82245 10 4
 13G/A
 
1.
NAMES OF REPORTING PERSONS
 
Francisco Partners Management, LLC
 
2.
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
 
 
(a)
o
 
(b)
o
3.
SEC USE ONLY
 
 
 
4.
CITIZENSHIP OR PLACE OF ORGANIZATION
 
State of Delaware, U.S.A.
 
NUMBER OF SHARES
BENEFICIALLY OWNED BY
EACH REPORTING PERSON
WITH
5.
SOLE VOTING POWER
 
0
6.
SHARED VOTING POWER
 
0
7. 
SOLE DISPOSITIVE POWER
 
0
8.
SHARED DISPOSITIVE POWER
 
0
9.
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
 
0
 
10.
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
 
 
 
o
11.
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
 
0
 
12.
TYPE OF REPORTING PERSON
 
OO
 

 
Page 5 of 15


 CUSIP No. G82245 10 4
 13G/A
 
1.
NAMES OF REPORTING PERSONS
 
FP Annual Fund Investors, L.L.C.
 
2.
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
 
 
(a)
o
 
(b)
o
3.
SEC USE ONLY
 
 
 
4.
CITIZENSHIP OR PLACE OF ORGANIZATION
 
State of Delaware, U.S.A.
 
NUMBER OF SHARES
BENEFICIALLY OWNED BY
EACH REPORTING PERSON
WITH
5.
SOLE VOTING POWER
 
0
6.
SHARED VOTING POWER
 
0
7. 
SOLE DISPOSITIVE POWER
 
0
8.
SHARED DISPOSITIVE POWER
 
0
9.
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
 
0
 
10.
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
 
 
 
o
11.
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
 
0
 
12.
TYPE OF REPORTING PERSON
 
OO
 

Page 6 of 15


 
Item 1(a).
Name of Issuer:
 
SMART Modular Technologies (WWH), Inc. (the “Company”)
 
Item 1(b).
Address of Issuer’s Principal Executive Offices:
 
39870 Eureka Drive, Newark, CA 94560
 
Item 2(a).
Name of Person Filing:
 
Francisco Partners GP, LLC, a Delaware limited liability company (“FPGP”)
 
Francisco Partners, L.P., a Delaware limited partnership (“FPLP”)
 
Francisco Partners Fund A, L.P., a Delaware limited partnership (“FP A LP”)
 
Francisco Partners Management, LLC, a Delaware limited liability company (“Management LLC”)
 
FP Annual Fund Investors, L.L.C., a Delaware limited liability company (“FP LLC”)
 
Collectively, FPGP, FPLP, FP A LP, Management LLC and FP LLC are referred to herein as the “Reporting Persons”.
 
Item 2(b).
Address of Principal Business Office or, if None, Residence:
 
The address of each of the Reporting Persons is:
 
One Letterman Drive, Building C—Suite 410
San Francisco, CA 94129
 
Item 2(c).
Citizenship:
 
The place of organization of each of the Reporting Persons is:
 
State of Delaware, U.S.A.
 
Item 2(d).
Title of Class of Securities:
 
Ordinary shares, par value $0.00016667
 
Item 2(e).
CUSIP Number:
 
G82245 10 4
 
Item 3.
If this Statement is Filed Pursuant to Rule 13d-1(b), or 13d-2(b) or (c), Check Whether the Person Filing is a:
 
(a)
  o
Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o);
     
(b)
  o
Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c);
     
(c)
  o
Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c);
     
(d)
  o
Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8);
     
(e)
  o
An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E);
     
(f)
  o
An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);
     
 
 
Page 7 of 15

 
 
(g)
  o
A parent holding company or control person in accordance with §240.13d-1(b)(1)(ii)(G);
     
(h)
  o
A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
     
(i)
  o
A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);
     
(j)
  o
A non-U.S. institution in accordance with §240.13d-1(b)(1)(ii)(J);
     
(k)
  o
Group, in accordance with §240.13d-1(b)(1)(ii)(K).
     
If filing as a non-U.S. institution in accordance with §240.13d-1(b)(1)(ii)(J), please specify the type of institution: _______________.
 
Item 4.
Ownership. (1)
 
Provide the following information regarding the aggregate number and percentage of the class of securities of issuer identified in Item 1.
 
(a)
Amount beneficially owned:  See Item 9 of each of the cover pages.
   
(b)
Percent of class:  See Item 11 of each of the cover pages.
   
(c)
Number of shares as to which such person has:
     
 
(i)
Sole power to vote or to direct the vote:  See Item 5 of each of the cover pages.
     
 
(ii)
Shared power to vote or to direct the vote:  See Item 6 of each of the cover pages.
     
 
(iii)
Sole power to dispose or to direct the disposition of:  See Item 7 of each of the cover pages.
     
 
(iv)
Shared power to dispose or to direct the disposition of:  See Item 8 of each of the cover pages.
     
 
Item 5.
Ownership of Five Percent or Less of a Class.
 
If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following. x
 
Item 6.
Ownership of More than Five Percent on Behalf of Another Person.
 
n/a
 
Item 7.
Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company.
 
The Funds were record and beneficial owners of the securities of SMART Modular Technologies (WWH), Inc. reported hereby.  Management LLC is the managing member of FP LLC and FPGP is the general partner of FPLP and FP A LP.  In its capacity as the managing member of FP LLC, Management LLC may have been deemed, pursuant to Rule 13d-3 of the Act, as amended, the beneficial owner of the securities of FP LLC reported hereby.  In
 
 

(1) FPLP, FP A LP and FP LLC (collectively, the “Funds”) were record and beneficial owners of securities of SMART Modular Technologies (WWH), Inc.  Management LLC is the managing member of FP LLC and FPGP is the general partner of FPLP and FP A LP.  In its capacity as the managing member of FP LLC, Management LLC may have been deemed, pursuant to Rule 13d-3 of the Act, as amended, the beneficial owner of the securities held by FP LLC.  In its capacity as the general partner of each of FPLP and FP A LP, FPGP may have been deemed, pursuant to Rule 13d-3 of the Act, as amended, the beneficial owner of the securities held by FPLP and FP A LP.
 
Page 8 of 15

 
 
its capacity as the general partner of each of FPLP and FP A LP, FPGP may have been deemed, pursuant to Rule 13d-3 of the Act, as amended, the beneficial owner of the securities reported hereby.
 
Item 8.
Identification and Classification of Members of the Group.
 
n/a
 
Item 9.
Notice of Dissolution of Group.
 
As a result of the Amended and Restated Shareholders’ Agreement dated April 17, 2007 (the “Shareholders’ Agreement”) among  FPLP, FP A LP, FP LLC and affiliates of Texas Pacific Group, Shah Capital Partners L.P., Patel Family Partners, L.P. and WestRiver Capital LLC (collectively, the “Shareholders”), beneficial ownership for all ordinary shares held by the Shareholders were ascribed to each party for SEC reporting purposes and the Shareholders may have been deemed to be a group for the purposes of Rule 13d-3.
 
The Shareholders entered into a Termination Agreement dated as of September 11, 2009, pursuant to which the Shareholders’ Agreement was terminated in all respects.  As a result, all further filings with respect to transactions in the Company’s ordinary shares will be filed, if required, by members of the group, in their individual capacities.
 
Item 10.
Certifications.
 
(a)   n/a
 
(b)   n/a
 
(c)   n/a
 

 
Page 9 of 15

 
 
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.
 
October 9, 2009
(Date)
 
FRANCISCO PARTNERS GP, LLC
 
By:  /s/ Dipanjan Deb
(Signature)
 
Dipanjan Deb, Managing Member
(Name/Title)

 
 
Page 10 of 15

 
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.
 
October 9, 2009
 
(Date)
   
FRANCISCO PARTNERS, L.P.
   
By:
FRANCISCO PARTNERS GP, LLC,
Its General Partner
   
By:  /s/ Dipanjan Deb
 
(Signature)
   
Dipanjan Deb, Managing Member
 
(Name/Title)

 
Page 11 of 15

 
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.
 
October 9, 2009
 
(Date)
   
FRANCISCO PARTNERS, FUND A, L.P.
   
By:
FRANCISCO PARTNERS GP, LLC,
Its General Partner
   
By:  /s/ Dipanjan Deb
 
(Signature)
   
Dipanjan Deb, Managing Member
 
(Name/Title)
 
 
 

 
Page 12 of 15

 
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.
 
October 9, 2009
(Date)
 
FRANCISCO PARTNERS MANAGEMENT, LLC
 
By:  /s/ Dipanjan Deb
(Signature)
 
Dipanjan Deb, Managing Director
(Name/Title)

 
Page 13 of 15

 
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.
 
October 9, 2009
 
(Date)
   
FP ANNUAL FUND INVESTORS, L.L.C.
   
By:
FRANCISCO PARTNERS MANAGEMENT, LLC,
Its Manager
   
By:  /s/ Dipanjan Deb
 
(Signature)
   
Dipanjan Deb, Managing Member
 
(Name/Title)

 
Page 14 of 15

 
EXHIBIT INDEX
 
 
 
Exhibit 1          Joint Filing Statement as required by Rule 13d-1(k)(1) under the Securities Exchange Act of 1934,as amended*
 

 
 
 
 
 
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