-----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, B7xFPdnvKZyyonTVXsivRU3CJ394sfxjJOO5inntyyPTA94rRdqSba50F7SBxjaH 1IZ8gg79cBj6CWtOXgbFzQ== 0000813619-03-000003.txt : 20030117 0000813619-03-000003.hdr.sgml : 20030117 20030117160009 ACCESSION NUMBER: 0000813619-03-000003 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: REAGAN JOSEPH B CENTRAL INDEX KEY: 0001193868 RELATIONSHIP: DIRECTOR FILING VALUES: FORM TYPE: 5 BUSINESS ADDRESS: STREET 1: 13554 MANDARIN WAY CITY: BARATOGA 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: 03517968 BUSINESS ADDRESS: STREET 1: 1029 CORPORATION WAY CITY: PALO ALTO STATE: CA ZIP: 94303 BUSINESS PHONE: 4159629111 5 1 reagan0502.txt FORM 5 5 1 nasdaq 0001193868 Director 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) REAGAN, JOSEPH B. 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 [ ] Officer (give title below) [ ] Other (specify below) Chairman of the Board of Direc 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 30,371 I by Partnership Common Stock 13,696 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 $2.812500 01/24/08 to buy) Incentive Stock Option (right $8.000000 02/27/02 A 14,000 02/27/09 to buy) Non-Qualified Stock Option $1.563000 01/04/10 (right to buy) Non-Qualified Stock Option $2.670000 02/27/02 A 2,226 02/27/12 (right to buy) Non-Qualified Stock Option $4.312500 08/13/06 (right to buy) Non-Qualified Stock Option $4.875000 08/14/05 (right to buy) Non-Qualified Stock Option $4.990000 07/15/03 (right to buy) Non-Qualified Stock Option $6.500000 08/15/03 (right to buy) Non-Qualified Stock Option $7.000000 08/15/04 (right to buy) Non-Qualified Stock Option $7.750000 05/25/07 (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 24,000 24,000 D Direct to buy) Incentive Stock Option (right 02/27/02 Common Stock 14,000 14,000 D Direct to buy) Non-Qualified Stock Option Common Stock 1,920 1,920 D Direct (right to buy) Non-Qualified Stock Option 02/27/02 Common Stock 2,226 2,226 D Direct (right to buy) Non-Qualified Stock Option Common Stock 5,000 5,000 D Direct (right to buy) Non-Qualified Stock Option Common Stock 5,000 5,000 D Direct (right to buy) Non-Qualified Stock Option Common Stock 15,000 15,000 D Direct (right to buy) Non-Qualified Stock Option Common Stock 5,000 5,000 D Direct (right to buy) Non-Qualified Stock Option Common Stock 5,000 5,000 D Direct (right to buy) Non-Qualified Stock Option Common Stock 7,000 7,000 D Direct (right to buy) Explanation of Responses:
SIGNATURE OF REPORTING PERSON /S/ By: John Lipscomb For: Joseph Reagan DATE 01/17/03 -----END PRIVACY-ENHANCED MESSAGE-----