-----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, PPJu7gaurdWFnR392ZXtlHli6gYoHahTHJM8StDx8MvMaoSoNQZyQNO0wQWCPJ3a xuFr07DB/iLvHiotxtXAaw== 0000950005-98-000177.txt : 19980218 0000950005-98-000177.hdr.sgml : 19980218 ACCESSION NUMBER: 0000950005-98-000177 CONFORMED SUBMISSION TYPE: SC 13D PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980213 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: SILICON VALLEY RESEARCH INC CENTRAL INDEX KEY: 0000708367 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 942743735 STATE OF INCORPORATION: CA FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: SC 13D SEC ACT: SEC FILE NUMBER: 005-40072 FILM NUMBER: 98537934 BUSINESS ADDRESS: STREET 1: 6360 SAN IGNACIO AVE CITY: SAN JOSE STATE: CA ZIP: 95119 BUSINESS PHONE: 4083610333 MAIL ADDRESS: STREET 1: 6360 SAN INGACIO AVE CITY: SAN JOSE STATE: CA ZIP: 95119 FORMER COMPANY: FORMER CONFORMED NAME: SILVAR LISCO DATE OF NAME CHANGE: 19920703 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: WILBUR GREGORY F CENTRAL INDEX KEY: 0001042677 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13D BUSINESS ADDRESS: STREET 1: 1151 BAY LAUREL DR CITY: MENLO PARK STATE: CA ZIP: 94025 BUSINESS PHONE: 4153257779 MAIL ADDRESS: STREET 1: 1151 BAY LAUREL DR CITY: MENLO PARK STATE: CA ZIP: 94025 SC 13D 1 FORM SC 13D SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 Silicon Valley Research, Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock - -------------------------------------------------------------------------------- (Title of Class of Securities) 827068-20-6 - -------------------------------------------------------------------------------- (CUSIP Number) Gregory F. Wilbur Bay Area Micro-Cap Management Company, LLC 1151 Bay Laurel Dr. Menlo Park, CA 94025 (650) 325-7779 - -------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) December 31, 1997 - -------------------------------------------------------------------------------- (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 this 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. * 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 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, as amended (the "Exchange Act") or otherwise subject to the liabilities of that section of the Exchange Act but shall be subject to all other provisions of the Exchange Act. (Continued on following page(s)) Page 1 of 10 pages
CUSIP No. 827068-20-6 13D Page 2 of 10 Pages - ------------------------------------------------------------------------------------------------------------------------------------ (1) Names of Reporting Persons. SS or I.R.S. Identification Nos. of Above Persons Bay Area Micro-Cap Fund, L.P. - ------------------------------------------------------------------------------------------------------------------------------------ (2) Check The Appropriate Box If A Member Of A Group (a) [ ] (b) [X] - ------------------------------------------------------------------------------------------------------------------------------------ (3) SEC Use Only - ------------------------------------------------------------------------------------------------------------------------------------ (4) Source Of Funds* WC - ------------------------------------------------------------------------------------------------------------------------------------ (5) Check Box If Disclosure Of Legal Proceedings Is Required Pursuant To Items 2(d) Or 2(e) [ ] - ------------------------------------------------------------------------------------------------------------------------------------ (6) Citizenship Or Place Of Organization California - ------------------------------------------------------------------------------------------------------------------------------------ Number Of Shares (7) Sole Voting Power 1,816,156 Beneficially Owned By Each Reporting Person With (8) Shared Voting Power -0- (9) Sole Dispositive Power 1,816,156 (10) Shared Dispositive Power -0- - ------------------------------------------------------------------------------------------------------------------------------------ (11) Aggregate Amount Beneficially Owned By Each Reporting Person 1,816,156 - ------------------------------------------------------------------------------------------------------------------------------------ (12) Check If The Aggregate Amount In Row (11) Excludes Certain Shares* - ------------------------------------------------------------------------------------------------------------------------------------ (13) Percent Of Class Represented By Amount In Row (11) 8.47% - ------------------------------------------------------------------------------------------------------------------------------------ (14) Type Of Reporting Person PN - ------------------------------------------------------------------------------------------------------------------------------------ *SEE INSTRUCTION BEFORE FILLING OUT!
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CUSIP No. 827068-20-6 - ------------------------------------------------------------------------------------------------------------------------------------ (1) Names of Reporting Persons. SS or I.R.S. Identification Nos. of Above Persons Bay Area Micro-Cap Management Company, L.P. - ------------------------------------------------------------------------------------------------------------------------------------ (2) Check The Appropriate Box If A Member Of A Group (a) [ ] (b) [X] - ------------------------------------------------------------------------------------------------------------------------------------ (3) SEC Use Only - ------------------------------------------------------------------------------------------------------------------------------------ (4) Source Of Funds* AF - ------------------------------------------------------------------------------------------------------------------------------------ (5) Check Box If Disclosure Of Legal Proceedings Is Required Pursuant To Items 2(d) Or 2(e) [ ] - ------------------------------------------------------------------------------------------------------------------------------------ (6) Citizenship Or Place Of Organization California - ------------------------------------------------------------------------------------------------------------------------------------ Number Of Shares (7) Sole Voting Power 1,816,156 Beneficially Owned By Each Reporting Person With (8) Shared Voting Power -0- (9) Sole Dispositive Power 1,816,156 (10) Shared Dispositive Power -0- - ------------------------------------------------------------------------------------------------------------------------------------ (11) Aggregate Amount Beneficially Owned By Each Reporting Person 1,816,156 - ------------------------------------------------------------------------------------------------------------------------------------ (12) Check If The Aggregate Amount In Row (11) Excludes Certain Shares* - ------------------------------------------------------------------------------------------------------------------------------------ (13) Percent Of Class Represented By Amount In Row (11) 8.47% - ------------------------------------------------------------------------------------------------------------------------------------ (14) Type Of Reporting Person CO - ------------------------------------------------------------------------------------------------------------------------------------ *SEE INSTRUCTION BEFORE FILLING OUT!
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CUSIP No. 827068-20-6 - ------------------------------------------------------------------------------------------------------------------------------------ (1) Names of Reporting Persons. SS or I.R.S. Identification Nos. of Above Persons Gregory F. Wilbur - ------------------------------------------------------------------------------------------------------------------------------------ (2) Check The Appropriate Box If A Member Of A Group (a) [ ] (b) [X] - ------------------------------------------------------------------------------------------------------------------------------------ (3) SEC Use Only - ------------------------------------------------------------------------------------------------------------------------------------ (4) Source Of Funds* PF, AF - ------------------------------------------------------------------------------------------------------------------------------------ (5) Check Box If Disclosure Of Legal Proceedings Is Required Pursuant To Items 2(d) Or 2(e) [ ] - ------------------------------------------------------------------------------------------------------------------------------------ (6) Citizenship Or Place Of Organization U.S.A. - ------------------------------------------------------------------------------------------------------------------------------------ Number Of Shares (7) Sole Voting Power 90,000 Beneficially Owned By Each Reporting Person With (8) Shared Voting Power 1,816,156 (9) Sole Dispositive Power 90,000 (10) Shared Dispositive Power 1,816,156 - ------------------------------------------------------------------------------------------------------------------------------------ (11) Aggregate Amount Beneficially Owned By Each Reporting Person 1,906,156 - ------------------------------------------------------------------------------------------------------------------------------------ (12) Check If The Aggregate Amount In Row (11) Excludes Certain Shares* - ------------------------------------------------------------------------------------------------------------------------------------ (13) Percent Of Class Represented By Amount In Row (11) 8.89% - ------------------------------------------------------------------------------------------------------------------------------------ (14) Type Of Reporting Person IN - ------------------------------------------------------------------------------------------------------------------------------------ *SEE INSTRUCTION BEFORE FILLING OUT!
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CUSIP No. 827068-20-6 13D Page 5 of 10 Pages - ------------------------------------------------------------------------------------------------------------------------------------ (1) Names of Reporting Persons. SS or I.R.S. Identification Nos. of Above Persons William A. Smart III - ------------------------------------------------------------------------------------------------------------------------------------ (2) Check The Appropriate Box If A Member Of A Group (a) [ ] (b) [X] - ------------------------------------------------------------------------------------------------------------------------------------ (3) SEC Use Only - ------------------------------------------------------------------------------------------------------------------------------------ (4) Source Of Funds* AF - ------------------------------------------------------------------------------------------------------------------------------------ (5) Check Box If Disclosure Of Legal Proceedings Is Required Pursuant To Items 2(d) Or 2(e) [ ] - ------------------------------------------------------------------------------------------------------------------------------------ (6) Citizenship Or Place Of Organization U.S.A. - ------------------------------------------------------------------------------------------------------------------------------------ Number Of Shares (7) Sole Voting Power -0- Beneficially Owned By Each Reporting Person With (8) Shared Voting Power 1,816,156 (9) Sole Dispositive Power -0- (10) Shared Dispositive Power 1,816,156 - ------------------------------------------------------------------------------------------------------------------------------------ (11) Aggregate Amount Beneficially Owned By Each Reporting Person 1,816,156 - ------------------------------------------------------------------------------------------------------------------------------------ (12) Check If The Aggregate Amount In Row (11) Excludes Certain Shares* - ------------------------------------------------------------------------------------------------------------------------------------ (13) Percent Of Class Represented By Amount In Row (11) 8.47% - ------------------------------------------------------------------------------------------------------------------------------------ (14) Type Of Reporting Person IN - ------------------------------------------------------------------------------------------------------------------------------------ *SEE INSTRUCTION BEFORE FILLING OUT!
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CUSIP No. 827068-20-6 13D Page 6 of 10 Pages - ------------------------------------------------------------------------------------------------------------------------------------ (1) Names of Reporting Persons. SS or I.R.S. Identification Nos. of Above Persons Peter L. Holland - ------------------------------------------------------------------------------------------------------------------------------------ (2) Check The Appropriate Box If A Member Of A Group (a) [ ] (b) [X] - ------------------------------------------------------------------------------------------------------------------------------------ (3) SEC Use Only - ------------------------------------------------------------------------------------------------------------------------------------ (4) Source Of Funds* AF - ------------------------------------------------------------------------------------------------------------------------------------ (5) Check Box If Disclosure Of Legal Proceedings Is Required Pursuant To Items 2(d) Or 2(e) [ ] - ------------------------------------------------------------------------------------------------------------------------------------ (6) Citizenship Or Place Of Organization U.S.A. - ------------------------------------------------------------------------------------------------------------------------------------ Number Of Shares (7) Sole Voting Power -0- Beneficially Owned By Each Reporting Person With (8) Shared Voting Power 1,816,156 (9) Sole Dispositive Power -0- (10) Shared Dispositive Power 1,816,156 - ------------------------------------------------------------------------------------------------------------------------------------ (11) Aggregate Amount Beneficially Owned By Each Reporting Person 1,816,156 - ------------------------------------------------------------------------------------------------------------------------------------ (12) Check If The Aggregate Amount In Row (11) Excludes Certain Shares* - ------------------------------------------------------------------------------------------------------------------------------------ (13) Percent Of Class Represented By Amount In Row (11) 8.47% - ------------------------------------------------------------------------------------------------------------------------------------ (14) Type Of Reporting Person IN - ------------------------------------------------------------------------------------------------------------------------------------ *SEE INSTRUCTION BEFORE FILLING OUT!
6 Page 7 of 10 Pages ITEM 1. SECURITY AND ISSUER Class of Securities: Common Stock Issuer: Silicon Valley Research, Inc. Principal Address: 6360 San Ignacio Avenue San Jose, California 95119 ITEM 2. IDENTITY AND BACKGROUND (a)-(c) The undersigned hereby files this Schedule 13D Statement on behalf of Bay Area Micro-Cap Fund, L.P. ("BAMC Fund, L.P."), Bay Area Micro-Cap Management Company, LLC ("BAMC LLC"), Mr. Gregory F. Wilbur ("GFW"), William A. Smart III ("WAS") and Peter L. Holland ("PLH"). The principal business and office address for BAMC Fund L.P., BAMC LLC, GFW, WAS and PLH is 1151 Bay Laurel Drive, Menlo Park, California, 94025. BAMC Fund, L.P. is a venture capital fund. GFW is the majority managing member of BAMC LLC which is the general partner of BAMC Fund, L.P. WAS and PLH are managing members of BAMC LLC. (d)-(e) Not Applicable (f) BAMC Fund, L.P. is a California limited partnership. BAMC LLC is a California limited liability company. GFW, WAS and PLH are citizens of the United States. ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION The purchase by BAMC Fund, L.P. was made from working capital. The purchase by GFW was made from personal funds. ITEM 4. PURPOSE OF TRANSACTION The acquisitions of the securities of the Issuer by BAMC Fund, L.P. and by GFW were made for investment. ITEM 5. INTEREST IN SECURITIES OF THE ISSUER See Schedule 13D Statement cover page, rows (7) through (11) inclusive and row (13). Based on information contained in Form 10-Q for fiscal year ended December 31, 1997 filed by the Issuer with the Securities and Exchange Commission, the Issuer had 20,601,673 shares of Common Stock issued and outstanding on December 31, 1997. BAMC Fund, L.P. and GFW hold warrants to purchase an aggregate of 844,828 shares of Common Stock. Such warrants are deemed outstanding for purposes of this Schedule 13D pursuant to Rule 13d-3(d). (a) BAMC Fund, L.P. is the beneficial owner of 971,328 shares of Common Stock, or approximately 4.53% of the Common Stock outstanding. BAMC Fund, L.P. purchased 17,000 shares on or before December 26, 1996. BAMC Fund, L.P. purchased an additional 344,828 shares, 10,000 shares, 5,000 shares, 1,000 shares, 6,000 shares, 7,500 shares, 25,000 shares, 7,500 shares, 2,500 shares, 15,000 shares, 10,000 shares, 5,000 shares, 15,000 shares and 500,000 shares on April 16, 1997, June 4, 1997, July 17, 1997, August 13, 1997, September 2, 1997, September 4, 1997, September 18, 1997, September 25, 1997, November 10, 1997, November 20, 1997, December 30, 1997 and December 31, 1997, respectively. GFW beneficially owns 90,000 shares of Common Stock, or approximately .42% of the Common Stock outstanding. 7 Page 8 of 10 Pages (b) The general partner of BAMC Fund, L.P., BAMC LLC, manages the shares held by BAMC Fund, L.P. GFW as a managing member of BAMC LLC has the power to direct solely the vote and/or disposition of the shares held by BAMC Fund, L.P. WAS and PLH, acting together, have the power to direct the vote and/or disposition of the shares held by BAMC Fund, L.P. GFW has sole power to direct the vote and/or disposition of the shares held by GFW. (c) Transactions effected in the past 60 days by the persons listed in Item 2 are disclosed in (a) above. (d) Except as described in this Schedule 13D Statement, no person has the power to direct the receipt of dividends on or the proceeds of sales of the shares of Common Stock owned by BAMC Fund, L.P. (e) Not Applicable ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT TO THE SECURITIES OF THE ISSUER To the best knowledge of the undersigned, there are no contracts, understandings, arrangements, or relationships (legal or otherwise) giving the persons named in Item 2 and between such persons and any other person with respect to the securities of Issuer, including, but not limited to, transfer or voting of any of the Issuer's securities, finder's fees, joint ventures, loan or option agreement, puts or calls, guarantees of profits, divisions of profits or loss, or the giving or withholding of proxies. ITEM 7. EXHIBITS Exhibit A: Joint Filing Statement. 8 Page 9 of 10 Pages 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. Bay Area Micro-Cap Fund, L.P. By: Bay Area Micro-Cap Management Company, LLC Its General Partners By: /s/ Gregory F. Wilbur --------------------------------------- Gregory F. Wilbur, Managing Member Bay Area Micro-Cap Management Company, LLC By: /s/ Gregory F. Wilbur --------------------------------------- Gregory F. Wilbur, Managing Member /s/ Gregory F. Wilbur --------------------------------------- Gregory F. Wilbur /s/ William A. Smart III --------------------------------------- William A. Smart III /s/ Peter L. Holland --------------------------------------- Peter L. Holland 9 Page 10 of 10 Pages EXHIBIT A Joint Filing Statement We, the undersigned, hereby express our agreement that the attached Schedule 13D is filed on behalf of each of us. Bay Area Micro-Cap Fund, L.P. By: Bay Area Micro-Cap Management Company, LLC Its General Partners By: /s/ Gregory F. Wilbur --------------------------------------- Gregory F. Wilbur, Managing Member Bay Area Micro-Cap Management Company, LLC By: /s/ Gregory F. Wilbur --------------------------------------- Gregory F. Wilbur, Managing Member /s/ Gregory F. Wilbur --------------------------------------- Gregory F. Wilbur /s/ William A. Smart III --------------------------------------- William A. Smart III /s/ Peter L. Holland --------------------------------------- Peter L. Holland 10 -----END PRIVACY-ENHANCED MESSAGE-----