-----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, KA7f/O6O43tQJZPwBvtSO9QE6YpHFicQ5U8h6tZfq5KYy/wZGgQzM6Lr1OnuqI3r DZqa9adK/IzuaRB7pvFtVQ== 0000813619-03-000002.txt : 20030117 0000813619-03-000002.hdr.sgml : 20030117 20030117144239 ACCESSION NUMBER: 0000813619-03-000002 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20021231 FILED AS OF DATE: 20030117 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: HOOD THOMAS CENTRAL INDEX KEY: 0001193872 RELATIONSHIP: OFFICER FILING VALUES: FORM TYPE: 5 BUSINESS ADDRESS: STREET 1: 15 ALISO WAY CITY: PORTOLA VALLEY STATE: CA ZIP: 94024 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: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 000-15930 FILM NUMBER: 03517630 BUSINESS ADDRESS: STREET 1: 1029 CORPORATION WAY CITY: PALO ALTO STATE: CA ZIP: 94303 BUSINESS PHONE: 4159629111 5 1 hood0502.txt FORM 5 5 1 nasdaq 0001193872 Officer Southwall Technologies Inc. 0000813619 94-2551470 12/31/02 5 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 5 ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP [ ] Check box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. [ ] Form 3 Holdings Reported [ ] Form 4 Transactions Reported 1. Name and Address of Reporting Person(s) HOOD, THOMAS G. 1029 Corporation Way P.O. Box 10052 Palo Alto, CA 94303 2. Issuer Name and Ticker or Trading Symbol Southwall Technologies Inc. (SWTX) 3. I.R.S. Identification Number of Reporting Person, if an entity (Voluntary) 4. Statement for Month/Year 12/02 5. If Amendment, Date of Original (Month/Year) 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) [X] Director [ ] 10% Owner [X] Officer (give title below) [ ] Other (specify below) President & CEO and Director 7. Individual or Joint/Group Filing (Check Applicable Line) [X] Form filed by One Reporting Person [ ] Form filed by More than One Reporting Person
Table I Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned - ------------------------------------------------------------------------------------------------------------------------------------ 1)Title of Security 2)Trans- 3.Trans- 4.Securities Acquired(A) 5)Amount of 6) 7)Nature of action action or Disposed of (D) Securities Indirect Date Code A Beneficially D Beneficial (Month/ or Owned at or Ownership Day/Year) Code Amount D Price End of Year I - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 100 I by Daughter Common Stock 100 I by Son Common Stock 39,725 D Direct Table II (PART 1) Derivative Securitites Acquired, Disposed of, or Beneficially Owned (Columns 1 through 6) - ------------------------------------------------------------------------------------------------------------------------------------ 1)Title of Derivative 2)Conversion 3)Trans- 4)Trans- 5)Number of Derivative 6)Date Exercisable and Security or Exercise action action Securities Acquired (A) Expiration Date Price of Date Code or Disposed of (D) Derivative Security Code A D Exercisable Expiration - ------------------------------------------------------------------------------------------------------------------------------------ Incentive Stock Option (right $4.630000 01/29/03 to buy) Incentive Stock Option (right $5.000000 08/06/05 to buy) Incentive Stock Option (right $6.500000 07/22/03 to buy) Incentive Stock Option (right $6.875000 08/15/07 to buy) Incentive Stock Option (right $8.000000 02/27/02 A 35,714 02/27/12 to buy) Non-Qualified Stock Option $2.750000 04/22/06 (right to buy) Non-Qualified Stock Option $3.710000 07/18/11 (right to buy) Non-Qualified Stock Option $5.000000 08/06/05 (right to buy) Non-Qualified Stock Option $6.875000 08/15/07 (right to buy) Non-Qualified Stock Option $7.063000 01/20/07 (right to buy) Non-Qualified Stock Option $8.000000 02/27/02 A 14,286 02/27/12 (right to buy) Table II (PART 2) Derivative Securitites Acquired, Disposed of, or Beneficially Owned (Columns 1,3 and 7 through 11) - ------------------------------------------------------------------------------------------------------------------------------------ 1)Title of Derivative 3)Trans- 7)Title and Amount 8)Price 9)Number of 10) 11)Nature of Security action of Underlying of Deri- Derivative Indirect Date Securities vative Securities D Beneficial Amount or Security Beneficially or Ownership Number of Owned at I - Title Shares End of Year - ------------------------------------------------------------------------------------------------------------------------------------ Incentive Stock Option (right Common Stock 10,800 10,800 D Direct to buy) Incentive Stock Option (right Common Stock 74,769 74,769 D Direct to buy) Incentive Stock Option (right Common Stock 30,000 30,000 D Direct to buy) Incentive Stock Option (right Common Stock 14,545 14,545 D Direct to buy) Incentive Stock Option (right 02/27/02 Common Stock 35,714 35,714 D Direct to buy) Non-Qualified Stock Option Common Stock 26,666 26,666 D Direct (right to buy) Non-Qualified Stock Option Common Stock 50,000 50,000 D Direct (right to buy) Non-Qualified Stock Option Common Stock 50,231 50,231 D Direct (right to buy) Non-Qualified Stock Option Common Stock 15,455 15,455 D Direct (right to buy) Non-Qualified Stock Option Common Stock 28,550 28,550 D Direct (right to buy) Non-Qualified Stock Option 02/27/02 Common Stock 14,286 14,286 D Direct (right to buy) Explanation of Responses:
SIGNATURE OF REPORTING PERSON /S/ By: John Lipscomb For: Thomas Hood DATE 01/17/03 -----END PRIVACY-ENHANCED MESSAGE-----