-----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, OglFdOXamQkY1aEoXDcSKMMt4hurwT5b4vhY7iZgFYyRmxG5h8NUeTv5Wd48qk78 shn9IUWRulW7OzuC1+F6UA== 0000950114-95-000185.txt : 19951006 0000950114-95-000185.hdr.sgml : 19951006 ACCESSION NUMBER: 0000950114-95-000185 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19951005 SROS: NYSE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: SOUTHWALL TECHNOLOGIES INC /DE/ CENTRAL INDEX KEY: 0000813619 STANDARD INDUSTRIAL CLASSIFICATION: UNSUPPORTED PLASTICS FILM & SHEET [3081] IRS NUMBER: 942551470 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-39081 FILM NUMBER: 95578844 BUSINESS ADDRESS: STREET 1: 1029 CORPORATION WAY CITY: PALO ALTO STATE: CA ZIP: 94303 BUSINESS PHONE: 4159629111 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: MONSANTO CO CENTRAL INDEX KEY: 0000067686 STANDARD INDUSTRIAL CLASSIFICATION: CHEMICALS & ALLIED PRODUCTS [2800] IRS NUMBER: 430420020 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 800 N LINDBERGH BLVD CITY: ST LOUIS STATE: MO ZIP: 63167 BUSINESS PHONE: 3146941000 FORMER COMPANY: FORMER CONFORMED NAME: MONSANTO CHEMICAL CO DATE OF NAME CHANGE: 19711003 SC 13D/A 1 SCHEDULE 13D-AMENDMENT 5 1 --------------------------- OMB APPROVAL --------------------------- UNITED STATES OMB Number: 3235-0145 SECURITIES AND EXCHANGE COMMISSION Expires: August 31, 1991 WASHINGTON, D.C. 20549 Estimated average burden hours per response....14.90 --------------------------- SCHEDULE 13D UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. 5 ) ----------- Southwall Technologies Inc. - ------------------------------------------------------------------------------ (Name of Issuer) Common Stock, par value $.001 per share - ------------------------------------------------------------------------------ (Title of Class of Securities) 844909 10 1 ------------------------------------ (CUSIP Number) Robert L. Kelley, (314) 694-2859 Monsanto Company, 800 N. Lindbergh Boulevard, St. Louis, MO 63167 - ------------------------------------------------------------------------------ (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) Sale of shares during period August 18, 1995 through September 29, 1995 ----------------------------------------------------------------------- (Date of Event which Requires Filing of this Statement) If the filing person has previously filed a statement on Schedule 13G to report the 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 / /. Check the following box if a fee is being paid with the statement / /. (A fee is not required only if the reporting person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of five percent or less of such class.) (See Rule 13d-7). 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. [FN] 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 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). SEC 1746 (9-88) 1 of 4 2 - ------------------------- ------------------------- CUSIP NO. 844 909 10 1 SCHEDULE 13D Page 2 of 4 Pages --------------- ---- --- - ------------------------- ------------------------- - ----------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Monsanto Company, EIN 43-0420020 - ----------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) / / (b) / / Not Applicable - ----------------------------------------------------------------------------- 3 SEC USE ONLY - ----------------------------------------------------------------------------- 4 SOURCE OF FUNDS Not Applicable - ----------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO / / ITEMS 2(d) OR 2(e) - ----------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - ----------------------------------------------------------------------------- 7 SOLE VOTING POWER 574,545 assumes conversion of convertible note at NUMBER OF $9.95/share. See Note 5 (as of September 29, 1995) SHARES ------------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY EACH -0- REPORTING ------------------------------------------------------------- PERSON 9 SOLE DISPOSITIVE POWER WITH 574,545 assumes conversion of convertible note at $9.95/share. See Note 5 (as of September 29, 1995) ------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER -0- - ----------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 574,545 (assumes conversion of convertible note at $9.95/share) - ----------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN / / SHARES - ----------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 9.3% (assumes conversion of convertible note at $9.95/share) - ----------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON CO - ----------------------------------------------------------------------------- [FN] SEE INSTRUCTIONS BEFORE FILLING OUT! SEC 1746 (9-88) 2 of 4 3 The following items are being amended as a result of Monsanto's sale of 154,600 shares of common stock of the Issuer during the period August 18, 1995 through and including September 29, 1995. Item 1. Security and Issuer - ----------------------------- This Statement relates to the Common Stock, par value $.001 per share (the "Common Stock"), of the Southwall Technologies Inc., a Delaware corporation ("Southwall"). The address of Southwall's principal executive offices is 1029 Corporation Way, Palo Alto, California 94303, Telephone (415) 962-9111. Item 2. Identity and Background - --------------------------------- This Schedule is being filed by reason of the sale by Monsanto of sufficient shares of Common Stock of Southwall so as to constitute, in the aggregate, a decrease in excess of 1% of the number of shares deemed to be held by Monsanto of a class of securities of Southwall. Item 3. Source and Amount of Funds or Other Consideration - ----------------------------------------------------------- N/A Item 4. Purpose of the Transactions - ------------------------------------- N/A Item 5. Interest in Securities of the Issuer - ---------------------------------------------- Monsanto sold 154,600 shares of common stock of the Issuer in open market transactions during the period from August 18, 1995 through and including September 29, 1995 at prices varying between $4.1666 and $4.00 per share. As of the date of Southwall's latest Form 10-Q (August 11, 1995), Southwall had outstanding an aggregate of 5,898,021 shares of Common Stock. Assuming Monsanto's conversion at $9.95 per share of the principal of a convertible Note of Issuer held by Monsanto, the fully diluted share base would be increased by an additional 266,331 shares. If Monsanto converted the Note at the exercise price of $9.95 per share, Monsanto would beneficially own, following the sales reported hereby, a total of 574,545 shares of Common Stock, as follows: 462,814 shares previously reported as owned -154,600 shares sold ------- 308,214 shares held as of September 30, 1995 266,331 shares upon conversion of the Note ------- Total 574,545 Fully diluted, Monsanto's holding would amount to a beneficial ownership interest of 9.3%. Based on the present actual Monsanto ownership of 308,214 shares of Common Stock and assuming no -- conversion of the Note, Monsanto's direct actual ownership of Southwall's Common Stock would be 5.23%. The balance of responses to this item are incorporated by reference from the original Form 13D and Amendments 1 through 4 thereof. Item 6. Material to be Filed as Exhibits - ------------------------------------------ Incorporated by reference from Amendment No. 4 to this Form 13D filed by Monsanto on June 15, 1995. 4 SIGNATURE --------- After reasonable inquiry and to the best of his knowledge and belief, the undersigned certifies that the information set forth in this statement is true, complete and correct. MONSANTO COMPANY By /s/K.R. Barnickol Assistant Secretary October 5, 1995. -----END PRIVACY-ENHANCED MESSAGE-----