0001140361-11-055412.txt : 20111130
0001140361-11-055412.hdr.sgml : 20111130
20111130154319
ACCESSION NUMBER: 0001140361-11-055412
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20111128
FILED AS OF DATE: 20111130
DATE AS OF CHANGE: 20111130
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: CAPOVILLA DENNIS
CENTRAL INDEX KEY: 0001256340
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35116
FILM NUMBER: 111233941
MAIL ADDRESS:
STREET 1: 12332 OBRAD DR
CITY: SARATOGA
STATE: CA
ZIP: 95070
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
MAIL ADDRESS:
STREET 1: 1029 CORPORATION WAY
CITY: PALO ALTO
STATE: CA
ZIP: 94303
4
1
doc1.xml
FORM 4
X0304
4
2011-11-28
1
0000813619
SOUTHWALL TECHNOLOGIES INC /DE/
SWTX
0001256340
CAPOVILLA DENNIS
C/O SOUTHWALL TECHNOLOGIES INC.
3788 FABIAN WAY
PALO ALTO
CA
94303
1
1
0
0
OFFICER
Incentive Stock Option
2.50
2011-11-28
4
D
0
10734
11.10
D
2005-10-05
2014-10-05
Common Stock
10734
0
D
Non-Qualified Stock Option
2.50
2011-11-28
4
D
0
25267
11.10
D
2005-10-05
2014-10-05
Common Stock
25267
0
D
Incentive Stock Option
2.90
2011-11-28
4
D
0
26240
10.70
D
2006-12-09
2015-12-09
Common Stock
26240
0
D
Non-Qualified Stock Option
2.90
2011-11-28
4
D
0
3761
10.70
D
2006-12-09
2015-12-09
Common Stock
3761
0
D
Incentive Stock Option
3.55
2011-11-28
4
D
0
15000
10.05
D
2007-05-11
2016-05-10
Common Stock
15000
0
D
Incentive Stock Option
2.25
2011-11-28
4
D
0
30000
11.35
D
2008-02-06
2017-02-05
Common Stock
30000
0
D
Incentive Stock Option
4.20
2011-11-28
4
D
0
23810
9.40
D
2009-02-26
2018-02-25
Common Stock
23810
0
D
Non-Qualified Stock Option
4.20
2011-11-28
4
D
0
8191
9.40
D
2009-02-26
2018-02-25
Common Stock
8191
0
D
Incentive Stock Option
5.85
2011-11-28
4
D
0
20000
7.75
D
2009-05-15
2018-05-15
Common Stock
20000
0
D
Incentive Stock Option
3.15
2011-11-28
4
D
0
30000
10.45
D
2010-04-28
2019-04-24
Common Stock
30000
0
D
Incentive Stock Option
7.95
2011-11-28
4
D
0
19382
5.65
D
2011-03-24
2020-03-23
Common Stock
19382
0
D
Non-Qualified Stock Option
7.95
2011-11-28
4
D
0
1618
5.65
D
2011-03-24
2020-03-23
Common Stock
1618
0
D
Incentive Stock Option
11.00
2011-11-28
4
D
0
13648
2.60
D
2012-03-25
2021-03-24
Common Stock
13648
0
D
Non-Qualified Stock Option
11.00
2011-11-28
4
D
0
7352
2.60
D
2012-03-25
2021-03-24
Common Stock
7352
0
D
The option provided for vesting over 4 years with 25% vesting after 6 months and the remainder vesting monthly thereafter. The vesting was fully accelerated pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated October 6, 2011, among the Registrant, Solutia Inc. and Backbone Merger Sub, Inc.
The option provided for vesting over 4 years with 25% vesting after 6 months and the remainder vesting monthly thereafter. The vesting was fully accelerated pursuant to the Merger Agreement.
The option provided for vesting over 4 years with 25% vesting after 6 months and the remainder vesting monthly thereafter. The vesting was fully accelerated pursuant to the Merger Agreement.
The option provided for vesting over 4 years with 25% vesting after 6 months and the remainder vesting monthly thereafter. The vesting was fully accelerated pursuant to the Merger Agreement.
The option provided for vesting over 4 years with 25% vesting after 6 months and the remainder vesting monthly thereafter. The vesting was fully accelerated pursuant to the Merger Agreement.
The option provided for vesting over 4 years with 25% vesting after 6 months and the remainder vesting monthly thereafter. The vesting was fully accelerated pursuant to the Merger Agreement.
The option provided for vesting over 4 years with 25% vesting after 6 months and the remainder vesting monthly thereafter. The vesting was fully accelerated pursuant to the Merger Agreement.
The option provided for vesting over 4 years with 25% vesting after 6 months and the remainder vesting monthly thereafter. The vesting was fully accelerated pursuant to the Merger Agreement.
The option provided for vesting over 4 years with 25% vesting after 6 months and the remainder vesting monthly thereafter. The vesting was fully accelerated pursuant to the Merger Agreement.
The option provided for vesting over 4 years with 25% vesting after 6 months and the remainder vesting monthly thereafter. The vesting was fully accelerated pursuant to the Merger Agreement.
The option provided for vesting over 4 years with 25% vesting after 6 months and the remainder vesting monthly thereafter. The vesting was fully accelerated pursuant to the Merger Agreement.
The option provided for vesting over 4 years with 25% vesting after 6 months and the remainder vesting monthly thereafter. The vesting was fully accelerated pursuant to the Merger Agreement.
The option provided for vesting over 4 years with 25% vesting after 6 months and the remainder vesting monthly thereafter. The vesting was fully accelerated pursuant to the Merger Agreement.
The option provided for vesting over 4 years with 25% vesting after 6 months and the remainder vesting monthly thereafter. The vesting was fully accelerated pursuant to the Merger Agreement.
The reporting person received cash consideration for the cancellation of the option pursuant to the Merger Agreement equal to the number of shares of the Registrant's common stock underlying such option multiplied by the difference between the exercise price of the option and the per share purchase price of $13.60 in accordance with the Merger Agreement.
/s/ Dennis F. Capovilla
2011-11-30