-----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, C2LPIBG8YK3xsGkJukG/jnGqmAXrlecfYIsi9JQyebT6uJe1rBMGOZr/5dOQAGsr 4FtntFC1kCQlvPYi4cDWdg== 0000898432-04-000152.txt : 20040212 0000898432-04-000152.hdr.sgml : 20040212 20040212123613 ACCESSION NUMBER: 0000898432-04-000152 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20031231 FILED AS OF DATE: 20040212 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: KIMBERLIN KEVIN CENTRAL INDEX KEY: 0000904841 FILING VALUES: FORM TYPE: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 000-12284 FILM NUMBER: 04589396 BUSINESS ADDRESS: STREET 1: SPENCER TRASK SECURITIES INC STREET 2: 535 MADISON AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2123555565 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: HOME DIRECTOR INC CENTRAL INDEX KEY: 0000715031 STANDARD INDUSTRIAL CLASSIFICATION: COMMUNICATIONS EQUIPMENT, NEC [3669] IRS NUMBER: 522143430 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 2525 COLLIER CANYON ROAD STREET 2: - CITY: LIVERMORE STATE: CA ZIP: 94551 BUSINESS PHONE: (925) 373 - 0438 MAIL ADDRESS: STREET 1: 2525 COLLIER CANYON ROAD STREET 2: - CITY: LIVERMORE STATE: CA ZIP: 94551 FORMER COMPANY: FORMER CONFORMED NAME: HOME DIRECTOR INC DATE OF NAME CHANGE: 20030205 FORMER COMPANY: FORMER CONFORMED NAME: NETWORD INC DATE OF NAME CHANGE: 19920703 5 1 primary_doc.xml PRIMARY DOCUMENT X0201 5 2003-12-31 0 0 1 0000715031 HOME DIRECTOR INC HMDR 0000904841 KIMBERLIN KEVIN 535 MADISON AVENUE 18TH FLOOR NEW YORK NY 10022 0 0 1 0 Common Stock 2003-12-26 4 S 0 L 78065 0.9349 D 0 I See Notes Common Stock 8727 I See Notes Common Stock 165360 I See Note Warrant 1.068 2008-12-09 Common Stock 657845 657845 I See Note Warrant 1.178 2008-12-19 Common Stock 306795 306795 I See Note Warrant 0.36 2010-10-11 Common Stock 2565 2565 I See Note Warrant 115.01 2010-04-03 Common Stock 78178 78178 I See Note Warrant 115.01 2010-07-06 Common Stock 17391 17391 I See Note Warrant 3.63 2007-12-18 Common Stock 407323 407323 I See Note Warrant 25.4 2005-02-05 Common Stock 10630 10630 I See Note Holdings of Spencer Trask Investment Partners LLC ("STIP"), a Delaware limited liability company, of which the reporting person is a non-member manager. 78,065 shares were acquired upon the conversion of convertible notes of a predecessor company upon merger of the predecessor company into the Issuer on 12/19/2002. This number differs from the 74,412 shares reported on the Form 3 filed 03/28/2003 (when the Reporting Person became subject to reporting obligations under the Securities Exchange Act of 1934, as amended, upon the filing of the Issuer's Form 8-A) to the extent that an additional 3,653 shares were acquired as a result of interest earned on the convertible notes prior to their conversion. Holdings of Spencer Trask Ventures, Inc. ("STVI"), a Delaware corporation and wholly-owned subsidiary of Spencer Trask & Co., a Delaware corporation, of which the reporting person is the controlling shareholder. This amends the information reported in Tab I, Column 5 of the Form 4 filed 01/05/2004. Reflects 110,240 shares held by Spencer Trask Private Equity Fund I and 55,120 shares held by Spencer Trask Private Equity Fund II (collectively, the "Funds"). The reporting person is approximately an 80% owner of the entity that is a 100% owner of the manager of the Funds. The shares were acquired by the Funds on 12/19/2002 and are being reported here to consolidate reporting of the holdings of the Funds with the other holdings reported herein. Warrants are currently exercisable. /S/KEVIN B. KIMBERLIN 2004-02-11 -----END PRIVACY-ENHANCED MESSAGE-----