-----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, U4MBZrmL4AqarMUnxVYynwSOUXfsSRSzAUM0gLl2s1H8jo4KEciWqxs2mhYEWd3E qimSNbUtjYo53rgbm+Zkqg== 0001012975-04-000130.txt : 20040423 0001012975-04-000130.hdr.sgml : 20040423 20040423153105 ACCESSION NUMBER: 0001012975-04-000130 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20031218 FILED AS OF DATE: 20040423 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: NEEDHAM CAPITAL PARTNERS II BERMUDA L P CENTRAL INDEX KEY: 0001280465 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-15930 FILM NUMBER: 04750995 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 SEC ACT: 1934 Act SEC FILE NUMBER: 000-15930 FILM NUMBER: 04750996 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 SEC ACT: 1934 Act SEC FILE NUMBER: 000-15930 FILM NUMBER: 04750998 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 SEC ACT: 1934 Act SEC FILE NUMBER: 000-15930 FILM NUMBER: 04751002 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 SEC ACT: 1934 Act SEC FILE NUMBER: 000-15930 FILM NUMBER: 04750997 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 SEC ACT: 1934 Act SEC FILE NUMBER: 000-15930 FILM NUMBER: 04751000 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 LP CENTRAL INDEX KEY: 0000890847 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-15930 FILM NUMBER: 04751001 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 SEC ACT: 1934 Act SEC FILE NUMBER: 000-15930 FILM NUMBER: 04750994 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 SEC ACT: 1934 Act SEC FILE NUMBER: 000-15930 FILM NUMBER: 04750993 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: NEEDHAM EMERGING GROWTH PARTNERS CAYMANS LP CENTRAL INDEX KEY: 0001271418 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-15930 FILM NUMBER: 04750999 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 4 1 primary_doc.xml PRIMARY DOCUMENT X0201 4 2003-12-18 0 0000813619 SOUTHWALL TECHNOLOGIES INC /DE/ SWTX 0000767538 NEEDHAM & CO INC 445 PARK AVE NEW YORK NY 10022 0 0 1 0 0000890847 NEEDHAM EMERGING GROWTH PARTNERS LP C/O NEEDHAM & CO 445 PARK AVE NEW YORK NY 10022 0 0 1 0 0001165292 NEEDHAM CONTRARIAN FUND LP C/O NEEDHAM & CO 445 PARK AVE NEW YORK NY 10022 0 0 1 0 0001271418 NEEDHAM EMERGING GROWTH PARTNERS CAYMANS LP C/O NEEDHAM & CO 445 PARK AVE NEW YORK NY 10022 0 0 1 0 0001215611 NEEDHAM GEORGE A 445 PARK AVE NEW YORK NY 10022 0 0 1 0 0001167211 NEEDHAM MANAGEMENT PARTNERS L P 445 PARK AVENUE NEW YORK NY 10022 0 0 1 0 0001280466 NEEDHAM CAPITAL PARTNERS II L P 445 PARK AVENUE NEW YORK NY 10022 0 0 1 0 0001280465 NEEDHAM CAPITAL PARTNERS II BERMUDA L P 445 PARK AVENUE NEW YORK NY 10022 0 0 1 0 0001130539 NEEDHAM CAPITAL PARTNERS III LP C/O NEEDHAM & CO 445 PARK AVE NEW YORK NY 10022 0 0 1 0 0001130544 NEEDHAM CAPITAL PARTNERS IIIA LP C/O NEEDHAMN & CO 445 PARK AVE NEW YORK NY 10022 0 0 1 0 Warrant (right to buy) 0.01 2003-12-18 4 J 0 313705 D 2008-12-18 Common Stock 313705 627410 D Warrant (right to buy) 0.01 2003-12-18 4 A 0 26551 A 2008-12-18 Common Stock 26551 653961 D Warrant (right to buy) 0.01 2003-12-18 4 J 0 5772 D 2008-12-18 Common Stock 5772 648189 D Warrant (right to buy) 0.01 2004-01-15 4 A 0 941115 A 2009-01-15 Common Stock 941114 941115 D Warrant (right to buy) 0.01 2004-01-15 4 J 0 313705 D 2009-01-15 Common Stock 313705 627410 D Warrant (right to buy) 0.01 2004-01-19 4 A 0 10082 A 2009-01-19 Common Stock 10082 10082 D Warrant (right to buy) 0.01 2004-01-19 4 J 0 2649 D 2009-01-19 Common Stock 2649 7433 D Warrant (right to buy) 0.01 2004-01-30 4 A 0 4702 A 2009-01-30 Common Stock 4702 4702 D Warrant (right to buy) 0.01 2004-01-30 4 J 0 1235 D 2009-01-30 Common Stock 1235 3467 D This Form 4 is filed by Needham & Company, Inc. ("Needham") on behalf of itself and the joint filers identified on the signature pages hereto to disclose that Needham: (a) obtained the reported warrants pursuant to loan guaranties it provided to the Issuer and (b) transferred one-third of such warrants to Dolphin Equity Partners, L.P. ("Dolphin") at Needham's cost in connection with Dolphin's agreement to provide funds in connection with such loan guaranties. Needham disclaims beneficial ownership of the portion of the warrants obtained and transferred to Dolphin. Immediately exercisable. /s/ Glen W. Albanese, Chief Financial Officer 2004-04-23 -----END PRIVACY-ENHANCED MESSAGE-----