-----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, QIo/McJvwLedjjMKJ6J4D/hwFmUWXlirk+QtG4/0KLD4bMH2TqN+nXGGRKjbKLY9 bs+rToxg5/I5u58qDAvqOg== 0001012975-04-000131.txt : 20040423 0001012975-04-000131.hdr.sgml : 20040423 20040423163438 ACCESSION NUMBER: 0001012975-04-000131 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20031218 FILED AS OF DATE: 20040423 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: NEEDHAM & CO INC CENTRAL INDEX KEY: 0000767538 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-15930 FILM NUMBER: 04751480 BUSINESS ADDRESS: STREET 1: 445 PARK AVE CITY: NEW YORK STATE: NY ZIP: 10022 MAIL ADDRESS: STREET 1: 445 PARK AVE CITY: NEW YORK STATE: NY ZIP: 10022 ISSUER: 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 BUSINESS ADDRESS: STREET 1: 1029 CORPORATION WAY CITY: PALO ALTO STATE: CA ZIP: 94303 BUSINESS PHONE: 4159629111 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: NEEDHAM CAPITAL MANAGMENT LLC CENTRAL INDEX KEY: 0001208854 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-15930 FILM NUMBER: 04751478 BUSINESS ADDRESS: STREET 1: NEEDHAM & CO STREET 2: 445 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2127050301 MAIL ADDRESS: STREET 1: C/O NEEDHAM & CO STREET 2: 445 PARK AVE CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: NEEDHAM CAPITAL PARTNERS III BERMUDA LP CENTRAL INDEX KEY: 0001271419 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-15930 FILM NUMBER: 04751479 BUSINESS ADDRESS: STREET 1: C/O NEEDHAM & CO STREET 2: 445 PARK AVE CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2127053010 MAIL ADDRESS: STREET 1: C/O NEEDHAM & CO STREET 2: 445 PARK AVE CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: NEEDHAM CAPITAL MANAGEMENT BERMUDA LLC CENTRAL INDEX KEY: 0001271421 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-15930 FILM NUMBER: 04751477 BUSINESS ADDRESS: STREET 1: C/O NEEDHAM & CO STREET 2: 445 PARK AVE CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2127053010 MAIL ADDRESS: STREET 1: C/O NEEDHAM & CO STREET 2: 445 PARK AVE CITY: NEW YORK STATE: NY ZIP: 10022 4 1 primary_doc.xml PRIMARY DOCUMENT X0201 4 2003-12-18 0 0000813619 SOUTHWALL TECHNOLOGIES INC /DE/ SWTX 0000767538 NEEDHAM & CO INC 445 PARK AVE NEW YORK NY 10022 0 0 1 0 0001271419 NEEDHAM CAPITAL PARTNERS III BERMUDA LP C/O NEEDHAM & CO 445 PARK AVE NEW YORK NY 10022 0 0 1 0 0001208854 NEEDHAM CAPITAL MANAGMENT LLC C/O NEEDHAM & CO 445 PARK AVE NEW YORK NY 10022 0 0 1 0 0001271421 NEEDHAM CAPITAL MANAGEMENT BERMUDA LLC C/O NEEDHAM & CO 445 PARK AVE NEW YORK NY 10022 0 0 1 0 Warrant (right to buy) 0.01 2003-12-18 4 J 0 313705 D 2008-12-18 Common Stock 313705 627410 D Warrant (right to buy) 0.01 2003-12-18 4 A 0 26551 A 2008-12-18 Common Stock 26551 653961 D Warrant (right to buy) 0.01 2003-12-18 4 J 0 5772 D 2008-12-18 Common Stock 5772 648189 D Warrant (right to buy) 0.01 2004-01-15 4 A 0 941115 A 2009-01-15 Common Stock 941114 941115 D Warrant (right to buy) 0.01 2004-01-15 4 J 0 313705 D 2009-01-15 Common Stock 313705 627410 D Warrant (right to buy) 0.01 2004-01-19 4 A 0 10082 A 2009-01-19 Common Stock 10082 10082 D Warrant (right to buy) 0.01 2004-01-19 4 J 0 2649 D 2009-01-19 Common Stock 2649 7433 D Warrant (right to buy) 0.01 2004-01-30 4 A 0 4702 A 2009-01-30 Common Stock 4702 4702 D Warrant (right to buy) 0.01 2004-01-30 4 J 0 1235 D 2009-01-30 Common Stock 1235 3467 D This Form 4 is filed by Needham & Company, Inc. ("Needham") on behalf of itself and the joint filers identified on the signature pages hereto to disclose that Needham: (a) obtained the reported warrants pursuant to loan guaranties it provided to the Issuer and (b) transferred one-third of such warrants to Dolphin Equity Partners, L.P. ("Dolphin") at Needham's cost in connection with Dolphin's agreement to provide funds in connection with such loan guaranties. Needham disclaims beneficial ownership of the portion of the warrants obtained and transferred to Dolphin. Immediately exercisable. This is a continuation of the preceeding Form 4. /s/ Glen W. Albanese, Chief Financial Officer 2004-04-23 -----END PRIVACY-ENHANCED MESSAGE-----