-----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, CJ4YC5IdxTrF99fBAgYjpDDrZiu7qlpq3XRGJsXYzR+Nt9NyzBWEqqxlb2UsJ4Zd RXDg/0gEJc0HT8kv4wfsPg== 0001005477-04-002741.txt : 20040723 0001005477-04-002741.hdr.sgml : 20040723 20040723124503 ACCESSION NUMBER: 0001005477-04-002741 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20031218 FILED AS OF DATE: 20040723 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: NEEDHAM CAPITAL PARTNERS II BERMUDA L P CENTRAL INDEX KEY: 0001280465 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 000-15930 FILM NUMBER: 04928397 BUSINESS ADDRESS: STREET 1: 445 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: NEEDHAM CAPITAL PARTNERS II L P CENTRAL INDEX KEY: 0001280466 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 000-15930 FILM NUMBER: 04928398 BUSINESS ADDRESS: STREET 1: 445 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: NEEDHAM GEORGE A CENTRAL INDEX KEY: 0001215611 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 000-15930 FILM NUMBER: 04928400 MAIL ADDRESS: STREET 1: 445 PARK AVE CITY: NEW YORK STATE: NY ZIP: 10022 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/A SEC ACT: 1934 Act SEC FILE NUMBER: 000-15930 FILM NUMBER: 04928404 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 MANAGEMENT PARTNERS L P CENTRAL INDEX KEY: 0001167211 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 000-15930 FILM NUMBER: 04928399 BUSINESS ADDRESS: STREET 1: 445 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2123718300 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: NEEDHAM CONTRARIAN FUND LP CENTRAL INDEX KEY: 0001165292 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 000-15930 FILM NUMBER: 04928402 BUSINESS ADDRESS: STREET 1: C/O NEEDHAM & CO INC 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 EMERGING GROWTH PARTNERS CAYMANS LP CENTRAL INDEX KEY: 0001271418 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 000-15930 FILM NUMBER: 04928401 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 EMERGING GROWTH PARTNERS LP CENTRAL INDEX KEY: 0000890847 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 000-15930 FILM NUMBER: 04928403 BUSINESS ADDRESS: STREET 1: C/O NEEDHAM & CO STREET 2: 445 PARK AVE 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 LP CENTRAL INDEX KEY: 0001130539 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 000-15930 FILM NUMBER: 04928406 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 PARTNERS IIIA LP CENTRAL INDEX KEY: 0001130544 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 000-15930 FILM NUMBER: 04928405 BUSINESS ADDRESS: STREET 1: C/O NEEDHAM & CO STREET 2: 445 PARK AVE CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2127050301 MAIL ADDRESS: STREET 1: C/O NEEDHAMN & CO STREET 2: 445 PARK AVE CITY: NEW YORK STATE: NY ZIP: 10022 4/A 1 edgar123.xml AMENDMENT TO FORM 4 X0202 4/A 2003-12-18 2004-04-23 0 0000813619 SOUTHWALL TECHNOLOGIES INC /DE/ SWTX 0000767538 NEEDHAM & CO INC 445 PARK AVENUE NEW YORK NY 10022 0 0 1 0 0000890847 NEEDHAM EMERGING GROWTH PARTNERS LP C/O NEEDHAM & COMPANY, INC. 445 PARK AVENUE NEW YORK NY 10022 0 0 1 0 0001165292 NEEDHAM CONTRARIAN FUND LP C/O NEEDHAM & COMPANY, INC. 445 PARK AVENUE NEW YORK NY 10022 0 0 1 0 0001271418 NEEDHAM EMERGING GROWTH PARTNERS CAYMANS LP C/O NEEDHAM & COMPANY, INC. 445 PARK AVENUE NEW YORK NY 10022 0 0 1 0 0001215611 NEEDHAM GEORGE A C/O NEEDHAM & COMPANY, INC. 445 PARK AVENUE NEW YORK NY 10022 0 0 1 0 0001167211 NEEDHAM MANAGEMENT PARTNERS L P C/O NEEDHAM & COMPANY, INC. 445 PARK AVENUE NEW YORK NY 10022 0 0 1 0 0001280466 NEEDHAM CAPITAL PARTNERS II L P C/O NEEDHAM & COMPANY, INC. 445 PARK AVENUE NEW YORK NY 10022 0 0 1 0 0001280465 NEEDHAM CAPITAL PARTNERS II BERMUDA L P C/O NEEDHAM & COMPANY, INC. 445 PARK AVENUE NEW YORK NY 10022 0 0 1 0 0001130539 NEEDHAM CAPITAL PARTNERS III LP C/O NEEDHAM & COMPANY, INC. 445 PARK AVENUE NEW YORK NY 10022 0 0 1 0 0001130544 NEEDHAM CAPITAL PARTNERS IIIA LP C/O NEEDHAM & COMPANY, INC. 445 PARK AVENUE NEW YORK NY 10022 0 0 1 0 Warrant (right to buy) 0.01 2003-12-18 4 A 0 26551 A 2009-02-20 Common Stock 26551 26551 D Warrant (right to buy) 0.01 2003-12-18 4 J 0 5772 D 2009-02-20 Common Stock 5772 20779 D Warrant (right to buy) 0.01 2004-01-19 4 A 0 10082 A 2009-02-20 Common Stock 10082 10082 D Warrant (right to buy) 0.01 2004-01-19 4 J 0 2649 D 2009-02-20 Common Stock 2649 7433 D Warrant (right to buy) 0.01 2004-01-30 4 A 0 4702 A 2009-02-20 Common Stock 4702 4702 D Warrant (right to buy) 0.01 2004-01-30 4 J 0 1235 D 2009-02-20 Common Stock 1235 3467 D The joint filers are filing this amendment to the Form 4 filed by them on April 23, 2004 to correct the expiration dates of the identified warrants issued to Needham & Company, Inc. See Exhibit 99.1 for joint filer information. Immediately exercisable The joint filers are filing this amendment to the Form 4 filed by them on April 23, 2004 to correct the expiration dates of the identified warrants issued to Needham & Company, Inc. See Exhibit 99.1 for joint filer information. /s/ Glen W. Albanese, Chief Financial Officer 2004-07-21 EX-99 2 e1059770v3.txt JOINT FILER INFORMATION Exhibit 99.1 Joint Filer Information Name: Needham Emerging Growth Partners, L.P. Address: c/o Needham & Company, Inc. 445 Park Avenue New York, New York 10022 Designated Filer: Needham & Company, Inc. Issuer and Ticker Symbol: Southwall Technologies Inc. (SWTX) Date of Event Requiring Statement: December 18, 2003 Relationship to Issuer: 10% Owner Signature: Needham Emerging Growth Partners, L.P. By: Needham Management Partners, L.P., its general partner By: /s/ Glen W. Albanese ----------------------------------- Name: Glen W. Albanese Title: General Partner Joint Filer Information Name: Needham Contrarian Fund, L.P. Address: c/o Needham & Company, Inc. 445 Park Avenue New York, New York 10022 Designated Filer: Needham & Company, Inc. Issuer and Ticker Symbol: Southwall Technologies Inc. (SWTX) Date of Event Requiring Statement: December 18, 2003 Relationship to Issuer: 10% Owner Signature: Needham Contrarian Fund, L.P. By: Needham Management Partners, L.P., its general partner By: /s/ Glen W. Albanese ----------------------------------- Name: Glen W. Albanese Title: General Partner Joint Filer Information Name: Needham Emerging Growth Partners (Caymans), L.P. Address: c/o Needham & Company, Inc. 445 Park Avenue New York, New York 10022 Designated Filer: Needham & Company, Inc. Issuer and Ticker Symbol: Southwall Technologies Inc. (SWTX) Date of Event Requiring Statement: December 18, 2003 Relationship to Issuer: 10% Owner Signature: Needham Emerging Growth Partners (Caymans), L.P. By: Needham Management Partners, L.P., its general partner By: /s/ Glen W. Albanese ------------------------------------- Name: Glen W. Albanese Title: General Partner Joint Filer Information Name: George A. Needham Address: c/o Needham & Company, Inc. 445 Park Avenue New York, New York 10022 Designated Filer: Needham & Company, Inc. Issuer and Ticker Symbol: Southwall Technologies Inc. (SWTX) Date of Event Requiring Statement: December 18, 2003 Relationship to Issuer: 10% Owner Signature: /s/ George A. Needham ----------------------------------------------- George A. Needham Joint Filer Information Name: Needham Management Partners, L.P. Address: c/o Needham & Company, Inc. 445 Park Avenue New York, New York 10022 Designated Filer: Needham & Company, Inc. Issuer and Ticker Symbol: Southwall Technologies Inc. (SWTX) Date of Event Requiring Statement: December 18, 2003 Relationship to Issuer: 10% Owner Signature: Needham Management Partners, L.P. By: /s/ Glen W. Albanese ------------------------------------------- Name: Glen W. Albanese Title: General Partner Joint Filer Information Name: Needham Capital Partners II, L.P. Address: c/o Needham & Company, Inc. 445 Park Avenue New York, New York 10022 Designated Filer: Needham & Company, Inc. Issuer and Ticker Symbol: Southwall Technologies Inc. (SWTX) Date of Event Requiring Statement: December 18, 2003 Relationship to Issuer: 10% Owner Signature: Needham Capital Partners II, L.P. By: Needham Capital Management L.L.C., its general partner By: /s/ Glen W. Albanese ----------------------------------- Name: Glen W. Albanese Title: Member Joint Filer Information Name: Needham Capital Partners II (Bermuda), L.P. Address: c/o Needham & Company, Inc. 445 Park Avenue New York, New York 10022 Designated Filer: Needham & Company, Inc. Issuer and Ticker Symbol: Southwall Technologies Inc. (SWTX) Date of Event Requiring Statement: December 18, 2003 Relationship to Issuer: 10% Owner Signature: Needham Capital Partners II (Bermuda), L.P. By: Needham Capital Management (Bermuda) L.L.C., its general partner By: /s/ Glen W. Albanese --------------------------------------- Name: Glen W. Albanese Title: Member Joint Filer Information Name: Needham Capital Partners III, L.P. Address: c/o Needham & Company, Inc. 445 Park Avenue New York, New York 10022 Designated Filer: Needham & Company, Inc. Issuer and Ticker Symbol: Southwall Technologies Inc. (SWTX) Date of Event Requiring Statement: December 18, 2003 Relationship to Issuer: 10% Owner Signature: Needham Capital Partners III, L.P. By: Needham Capital Management L.L.C., its general partner By: /s/ Glen W. Albanese --------------------------------------- Name: Glen W. Albanese Title: Member Joint Filer Information Name: Needham Capital Partners IIIA, L.P. Address: c/o Needham & Company, Inc. 445 Park Avenue New York, New York 10022 Designated Filer: Needham & Company, Inc. Issuer and Ticker Symbol: Southwall Technologies Inc. (SWTX) Date of Event Requiring Statement: December 18, 2003 Relationship to Issuer: 10% Owner Signature: Needham Capital Partners IIIA, L.P. By: Needham Capital Management L.L.C., its general partner By: /s/ Glen W. Albanese --------------------------------------- Name: Glen W. Albanese Title: Member Joint Filer Information Name: Needham Capital Partners III (Bermuda), L.P. Address: c/o Needham & Company, Inc. 445 Park Avenue New York, New York 10022 Designated Filer: Needham & Company, Inc. Issuer and Ticker Symbol: Southwall Technologies Inc. (SWTX) Date of Event Requiring Statement: December 18, 2003 Relationship to Issuer: 10% Owner Signature: Needham Capital Partners III (Bermuda), L.P. By: Needham Capital Management (Bermuda) L.L.C., its general partner By: /s/ Glen W. Albanese ---------------------------------------- Name: Glen W. Albanese Title: Member Joint Filer Information Name: Needham Capital Management L.L.C. Address: c/o Needham & Company, Inc. 445 Park Avenue New York, New York 10022 Designated Filer: Needham & Company, Inc. Issuer and Ticker Symbol: Southwall Technologies Inc. (SWTX) Date of Event Requiring Statement: December 18, 2003 Relationship to Issuer: 10% Owner Signature: Needham Capital Management L.L.C. By: /s/ Glen W. Albanese ------------------------------------------- Name: Glen W. Albanese Title: Member Joint Filer Information Name: Needham Capital Management (Bermuda) L.L.C. Address: c/o Needham & Company, Inc. 445 Park Avenue New York, New York 10022 Designated Filer: Needham & Company, Inc. Issuer and Ticker Symbol: Southwall Technologies Inc. (SWTX) Date of Event Requiring Statement: December 18, 2003 Relationship to Issuer: 10% Owner Signature: Needham Capital Management (Bermuda) L.L.C. By: /s/ Glen W. Albanese ------------------------------------------- Name: Glen W. Albanese Title: Member -----END PRIVACY-ENHANCED MESSAGE-----