-----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, UKov5BHCD5R405HxrweAtPjh4zhX0HkbqDZGjGMMToeKB74Kmwy7AuVVf1Frvvso pDXxWmzrgEprz9LOC4maKw== 0000940394-96-000009.txt : 19960125 0000940394-96-000009.hdr.sgml : 19960125 ACCESSION NUMBER: 0000940394-96-000009 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19960124 SROS: NONE 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: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-39081 FILM NUMBER: 96506578 BUSINESS ADDRESS: STREET 1: 1029 CORPORATION WAY CITY: PALO ALTO STATE: CA ZIP: 94303 BUSINESS PHONE: 4159629111 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: EATON VANCE CORP CENTRAL INDEX KEY: 0000350797 STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282] IRS NUMBER: 042718215 STATE OF INCORPORATION: MD FISCAL YEAR END: 1031 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 24 FEDERAL ST CITY: BOSTON STATE: MA ZIP: 02110 BUSINESS PHONE: 6174828260 MAIL ADDRESS: STREET 1: 24 FEDERAL STREET CITY: BOSTON STATE: MA ZIP: 02110 SC 13G/A 1 AMENDMENT #3, 1/19/96 United States Securities and Exchange Commission Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3 ) Southwall Technology (name of issuer) Common Stock (title of class securities) 844909101 (CUSIP number) Check the following box if a fee is being paid with this statement X . (A fee is not required only if the filing 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; (2) has filed no amendment subsequent thereto reporting beneficial ownership of of five percent or less of such class) (See Rule 13d-7). CUSIP No. 844909101 13G 1 - NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Eaton Vance Management #04-3101341 2 - CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP ___ (a) _X_ (b) Group Disclaimed 3 - SEC USE ONLY 4 - CITIZENSHIP OF PLACE OF ORGANIZATION Boston, Massachusetts NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: 5 - SOLE VOTING POWER 6 - SHARED VOTING POWER 293,735 7 - SOLE DISPOSITIVE POWER 8 - SHARED DISPOSITIVE POWER 293,735 9 - AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 293,735 (see item 4) 10 - CHECK BOX IF THE AGGREGATE AMOUNT ON ROW (9) EXCLUDES CERTAIN SHARES 11 - PERCENT OF CLASS REPRESENTED BY AMOUNT ON ROW 9 5.02% 12 - TYPE OF REPORTING PERSON IA Schedule 13G Item 1(a) Name of Issuer: Southwall Technologies Item 1(b) Address of Issuer's Principal Executive Office: 1029 Corporate Way, Palo Alto, CA 94303 Item 2(a) Name of Person Filing: Eaton Vance Management Item 2(b) Address of Principal Business Office of Person Filing: 24 Federal Street, Boston, Massachusetts 02110 Item 2(c) Citizenship: Boston, Massachusetts Item 2(d) Title of Class of Securities: Common Stock Item 2(e) CUSIP Number 844909101 Item 3 Eligibility to File Schedule 13G: Eaton Vance Management is an investment adviser registered under Section 203 of the Investment Adviser Act of 1940, and acts as investment adviser for a group of investment companies registered under Section 8 of the Investment Company Act of 1940 and a variety of private investment accounts. Item 4 Ownership: (a) As of December 31, 1995: By virtue of Rule 13d-3(a)(2) under the Securities Exchange Act of 1934, Eaton Vance Management, in its capacity as investment adviser may be deemed the "beneficial owner" of 293,735 shares of the issuer's Common Stock (or 5.02% of the 5,847,000 shares believed to be outstanding), inasmuch as said investment adviser has investment power with respect to such shares. (b) As of December 31, 1995: Eaton Vance Management has the shared power to vote or to direct the vote of 293,735 shares of the issuer's common stock and the shared power to dispose, or direct the disposition of 293,735 shares of the issuer's Common Stock, in its capacity as investment adviser. See attachment for a list of the private investment accounts for which Eaton Vance Management acts as investment adviser and on whose behalf holds security positions in the above issuer's equity securities as of December 31, 1995. Item 5 Ownership of Five Percent of Less of a Class: Not applicable Item 6 Ownership of More than Five Percent on Behalf of Another Person: See Item 4 Item 7 Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company: Not applicable Item 8 Identification and Classification of Members of the Group: Not applicable Item 9 Notice of Dissolution of Group: Not applicable Item 10 Certification: See below DISCLAIMER Eaton Vance Management disclaims and each Fund and account referred to herein disclaims that it acts or has ever acted (or has ever agreed to act) with any other person (including, without limitation, any one or more of the other entities referred to in this statement or any associate thereof) as a general partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding, voting or disposing of equity securities of the issuer within the meaning of Section 13(d)(3) of the Securities Exchange Act of 1934, and states the filing or sending of this statement shall not be deemed to constitute any such action or agreement. CERTIFICATION AND SIGNATURE Eaton Vance Management certifies that it is a person entitled to file statements on Schedule 13G under Rule 13d-1(b)(1) promulgated under the Securities Exchange Act of 1934, and the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purpose or effect . After reasonable inquiry and to the best of its knowledge and belief, Eaton Vance Management certifies the information set forth in this statement is true, complete and correct. EATON VANCE MANAGEMENT January 19, 1996 By: Douglas C. Miller Assistant Vice President Eaton Vance Management Schedule 13G, Amendment 3 Southwall Technologies, Common Stock Attchment to CUSIP #844909101 Schedule 13G, Item 4 List of Security Holders Shares Held Winslow Enviromental Growth Fund 7,000 Jessie Smith Noyes Foundation 10,000 Adirondack Forever Wild Endowment Fund 1,000 David M. Farrell 19,500 David M. Farrell F/B/O Ronald 10,000 David M. Farrell F/B/O Anthony 10,000 Ronald T. Farrell 1,500 Farrell Distributing Corp Pension Plan 16,000 Farrell Distributing Corp Profit Sharing Plan 2,000 Caravan Investment Corporation 30,236 Sacharuna Foundation 85,000 Various Nominee 101,499 Total 293,735 -----END PRIVACY-ENHANCED MESSAGE-----