-----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, D0IvrRSCUghgjmntV5tN4G1on8y6ycdbkIyU0Y+a2aBaTJZcv50X/nDcJA8mBUkN fmXz/cvL42j/a73B6bQ72A== 0001012975-04-000076.txt : 20040224 0001012975-04-000076.hdr.sgml : 20040224 20040224201154 ACCESSION NUMBER: 0001012975-04-000076 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20040223 FILED AS OF DATE: 20040224 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: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-15930 FILM NUMBER: 04625972 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 MANAGEMENT BERMUDA LLC CENTRAL INDEX KEY: 0001271421 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-15930 FILM NUMBER: 04625969 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 III BERMUDA LP CENTRAL INDEX KEY: 0001271419 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-15930 FILM NUMBER: 04625971 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 MANAGMENT LLC CENTRAL INDEX KEY: 0001208854 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-15930 FILM NUMBER: 04625970 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 3 1 primary_doc.xml PRIMARY DOCUMENT X0201 3 2004-02-23 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 Common Stock 737067 D Common Stock 300000 D Common Stock 300000 D Common Stock 100000 D Common Stock 30000 D Common Stock 2000 I By wife Common Stock 1000 I By daughter Common Stock 1000 I By son Common Stock 1000 I By son Warrant (right to buy) 0.01 2003-12-18 2008-12-18 Common Stock 941115 D Warrant (right to buy) 0.01 2004-02-20 2009-02-20 Common Stock 2435348 D Warrant (right to buy) 0.01 2004-02-20 2009-02-20 Common Stock 341375 D Warrant (right to buy) 0.01 2004-02-20 2009-02-20 Common Stock 4263427 D Warrant (right to buy) 0.01 2004-02-20 2009-02-20 Common Stock 440307 D Warrant (right to buy) 0.01 2004-02-20 2009-02-20 Common Stock 849714 D 10% Convertible Note due 2009 1 2004-02-20 2009-02-20 Common Stock 877058 D 10% Convertible Note due 2009 1 2004-02-20 2009-02-20 Common Stock 122942 D 10% Convertible Note due 2009 1 2004-02-20 2009-02-20 Common Stock 1535416 D 10% Convertible Note due 2009 1 2004-02-20 2009-02-20 Common Stock 158571 D 10% Convertible Note due 2009 1 2004-02-20 2009-02-20 Common Stock 306013 D See Exhibit 99.1 See Exhibit 99.1 See Exhibit 99.1 See Exhibit 99.1 See Exhibit 99.1 See Exhibit 99.1 See Exhibit 99.1 See Exhibit 99.1 See Exhibit 99.1 See Exhibit 99.1 See Exhibit 99.1 See Exhibit 99.1 CONTINUATION OF PREVIOUS FORM 3. This Form 3 is filed on behalf of joint filers identified in the footnotes to this Form 3 set forth in Exhibit 99.1 attached hereto and the Joint Filer Information set forth in Exhibit 99.2 attached hereto. This Form 3 incorporates information contained in a Form 3 filed by certain of the joint filers on December 22, 2003 (as amended on December 23, 2003). Exhibit List: 99.1: Footnotes 99.2: Joint Filer Information /s/ Glen W. Albanese, Chief Financial Officer 2004-02-20 EX-99 3 exhibits.txt EXHIBITS 99.1 AND 99.2 EXHIBIT 99.1 ------------ Footnotes to Form 3: (1) The reported shares are owned directly by Needham & Company, Inc., which is a member of a "group" with Needham Emerging Growth Partners, L.P., Needham Contrarian Fund, L.P., Needham Emerging Growth Partners (Caymans), L.P., Needham Management Partners, L.P. and George A. Needham, for purposes of Section 13(d) of the Exchange Act. George A. Needham may be deemed to beneficially own the reported shares by virtue of his position in and share ownership of Needham & Company, Inc. Mr. Needham disclaims beneficial ownership of all of the reported shares except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission by him of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. Needham & Company, Inc. previously reported ownership of there shares in the Form 3 filed by certain of the joint filers reporting here on December 22, 2004, as amended on December 23, 2004 (the "Prior Joint Form 3"). (2) The reported shares are owned directly by Needham Emerging Growth Partners, L.P. Needham Management Partners, L.P. may be deemed to beneficially own the reported shares because it serves as the general partner of Needham Emerging Growth Partners, L.P. George A. Needham may be deemed to beneficially own the reported shares because he serves as managing general partner of Needham Management Partners, L.P. Needham Management Partners, L.P. and Mr. Needham disclaim beneficial ownership of all of the reported shares except to the extent of their pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission by them of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. Needham Emerging Growth Partners, L.P. previously reported ownership of these shares in the Prior Joint Form 3. (3) The reported shares are owned directly by Needham Contrarian Fund, L.P. Needham Management Partners, L.P. may be deemed to beneficially own the reported shares because it serves as the general partner of Needham Contrarian Fund, L.P. George A. Needham may be deemed to beneficially own the reported shares because he serves as managing general partner of Needham Management Partners, L.P. Needham Management Partners, L.P. and Mr. Needham disclaim beneficial ownership of all of the reported shares except to the extent of their pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission by them of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. Needham Contrarian Fund, L.P. previously reported ownership of these shares in the Prior Joint Form 3. (4) The reported shares are owned directly by Needham Emerging Growth Partners (Caymans), L.P. Needham Management Partners, L.P. may be deemed to beneficially own the reported shares because it serves as the general partner of Needham Emerging Growth Partners (Caymans), L.P. George A. Needham may be deemed to beneficially own the reported shares because he serves as managing general partner of Needham Management Partners, L.P. Needham Management Partners, L.P. and Mr. Needham disclaim beneficial ownership of all of the reported shares except to the extent of their pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission by them of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. Needham Emerging Growth Partners (Caymans), L.P. previously reported ownership of these shares in the Prior Joint Form 3. (5) The reported shares are owned directly by George A. Needham. Mr. Needham previously reported the ownership of these shares and the reported shares described in footnotes 1, 2, 3, 4 and 6 of this Form 3 in the Prior Joint Form 3. (6) The reported shares are owned directly by family members of George A. Needham. Mr. Needham disclaims beneficial ownership of all of the reported shares except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission by him of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. Mr. Needham previously reported ownership of these shares in the Prior Joint Form 3. (7) The reported warrant is owned by Needham & Company, Inc. George A. Needham may be deemed to beneficially own the reported warrant by virtue of his position in and share ownership of Needham & Company, Inc. Mr. Needham disclaims beneficial ownership of the reported warrant except to the extent of his pecuniary interest therein, and the inclusion of this warrant in this report shall not be deemed an admission by him of beneficial ownership of the reported warrant for purposes of Section 16 or for any other purpose. Needham & Company, Inc. previously reported ownership of the reported warrant in the Prior Joint Form 3. (8) The reported warrant and convertible note are owned directly by Needham Capital Partners II, L.P. Needham Capital Management L.L.C. may be deemed to beneficially own the reported warrant and convertible note because it serves as the general partner of Needham Capital Partners II, L.P. The convertible note is convertible to shares of Series A 10% Cumulative Preferred Stock of the registrant, which in turn is convertible to shares of common stock of the registrant. George A. Needham may be deemed to beneficially own the reported warrant and convertible note because he serves as managing general partner of Needham Capital Management L.L.C. Needham Capital Management L.L.C. and Mr. Needham disclaim beneficial ownership of the shares underlying the reported warrant and convertible note except to the extent of their pecuniary interest therein, and the inclusion of the warrant and convertible note in this report shall not be deemed an admission by them of beneficial ownership of the reported warrant and convertible note for purposes of Section 16 or for any other purpose. (9) The reported warrant and convertible note are owned directly by Needham Capital Partners II (Bermuda), L.P. The convertible note is convertible to shares of Series A 10% Cumulative Preferred Stock of the registrant, which in turn is convertible to shares of common stock of the registrant. Needham Capital Management (Bermuda) L.L.C. may be deemed to beneficially own the reported warrant and convertible note because it serves as the general partner of Needham Capital Partners II (Bermuda), L.P. George A. Needham may be deemed to beneficially own the reported warrant and convertible note because he serves as managing general partner of Needham Capital Management (Bermuda) L.L.C. Needham Capital Management, (Bermuda) L.L.C. and Mr. Needham disclaim beneficial ownership of the reported shares underlying the warrant and convertible note except to the extent of their pecuniary interest therein, and the inclusion of the warrant and convertible note in this report shall not be deemed an admission by them of beneficial ownership of the reported warrant and convertible note for purposes of Section 16 or for any other purpose. (10) The reported warrant and convertible note are owned directly by Needham Capital Partners III, L.P. The convertible note is convertible to shares of Series A 10% Cumulative Preferred Stock of the registrant, which in turn is convertible to shares of common stock of the registrant. Needham Capital Management L.L.C. may be deemed to beneficially own the reported warrant and convertible note because it serves as the general partner of Needham Capital Partners III, L.P. George A. Needham may be deemed to beneficially own the reported warrant and convertible note because he serves as managing general partner of Needham Capital Management L.L.C. Needham Capital Management L.L.C. and Mr. Needham disclaim beneficial ownership of the shares underlying the reported warrant and convertible note except to the extent of their pecuniary interest therein, and the inclusion of the warrant and convertible note in this report shall not be deemed an admission by them of beneficial ownership of the shares underlying reported warrant and convertible note for purposes of Section 16 or for any other purpose. (11) The reported warrant and convertible note are owned directly by Needham Capital Partners IIIA, L.P. The convertible note is convertible to shares of Series A 10% Cumulative Preferred Stock of the registrant, which in turn is convertible to shares of common stock of the registrant. Needham Capital Management L.L.C. may be deemed to beneficially own the reported warrant and convertible note because it serves as the general partner of Needham Capital Partners IIIA, L.P. George A. Needham may be deemed to beneficially own the reported warrant and convertible note because he serves as managing general partner of Needham Capital Management L.L.C. Needham Capital Management L.L.C. and Mr. Needham disclaim beneficial ownership of the shares underlying the reported warrant and convertible note except to the extent of their pecuniary interest therein, and the inclusion of the warrant and convertible note in this report shall not be deemed an admission by them of beneficial ownership of the reported warrant and convertible note for purposes of Section 16 or for any other purpose. (12) The reported warrant and convertible note are owned directly by Needham Capital Partners III (Bermuda), L.P. The convertible note is convertible to shares of Series A 10% Cumulative Preferred Stock of the registrant, which in turn is convertible to shares of common stock of the registrant. Needham Capital Management (Bermuda) L.L.C. may be deemed to beneficially own the reported warrant and convertible note because it serves as the general partner of Needham Capital Partners III (Bermuda), L.P. George A. Needham may be deemed to beneficially own the reported warrant and convertible note because he serves as managing general partner of Needham Capital Management (Bermuda) L.L.C. Needham Capital Management, (Bermuda) L.L.C. and Mr. Needham disclaim beneficial ownership of all of the shares underlying the reported warrant and convertible note except to the extent of their pecuniary interest therein, and the inclusion of the warrant in this report shall not be deemed an admission by them of beneficial ownership of the reported warrant and convertible note for purposes of Section 16 or for any other purpose. EXHIBIT 99.2 ------------ 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: February 20, 2004 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: February 20, 2004 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: February 20, 2004 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: February 20, 2004 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: February 20, 2004 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: February 20, 2004 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: General Partner 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: February 20, 2004 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: General Partner 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: February 20, 2004 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: General Partner 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: February 20, 2004 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: General Partner 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: February 20, 2004 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: General Partner 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: February 20, 2004 Relationship to Issuer: 10% Owner Signature: Needham Capital Management L.L.C. By: /s/Glen W. Albanese -------------------------- Name: Glen W. Albanese Title: General Partner 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: February 20, 2004 Relationship to Issuer: 10% Owner Signature: Needham Capital Management (Bermuda) L.L.C. By: /s/Glen W. Albanese -------------------------- Name: Glen W. Albanese Title: General Partner -----END PRIVACY-ENHANCED MESSAGE-----