-----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, SNg54CccD8KiyKYrp0JSGYK4PD8x3PU8OgLgKRuzR5JR1287TtO4NKvmSfmq3gBz XFy8zmnOd2Rg5XfIkVgF0A== 0001282815-04-000002.txt : 20040512 0001282815-04-000002.hdr.sgml : 20040512 20040512142306 ACCESSION NUMBER: 0001282815-04-000002 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20031218 FILED AS OF DATE: 20040512 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: DOLPHIN DIRECT EQUITY PARTNERS L P CENTRAL INDEX KEY: 0001282815 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-15930 FILM NUMBER: 04798807 BUSINESS ADDRESS: STREET 1: 129 E 17TH ST CITY: NEW YORK STATE: NY ZIP: 10003 BUSINESS PHONE: 212-982-5071 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: SALAS PETER E CENTRAL INDEX KEY: 0001016286 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-15930 FILM NUMBER: 04798805 BUSINESS ADDRESS: STREET 1: 129 EAST 17TH STREET CITY: NEW YORK STATE: NY ZIP: 10003 BUSINESS PHONE: 2129825071 MAIL ADDRESS: STREET 1: 129 EAST 17TH STREET CITY: NEW YORK STATE: NY ZIP: 10003 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Dolphin Advisors, L.L.C. CENTRAL INDEX KEY: 0001289404 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-15930 FILM NUMBER: 04798806 BUSINESS ADDRESS: STREET 1: C/O DOLPHIN ASSET MANAGEMENT CORP. STREET 2: 129 EAST 17TH STREET CITY: NEW YORK STATE: NY ZIP: 10003 BUSINESS PHONE: (212) 982-5071 MAIL ADDRESS: STREET 1: C/O DOLPHIN ASSET MANAGEMENT CORP. STREET 2: 129 EAST 17TH STREET CITY: NEW YORK STATE: NY ZIP: 10003 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Dolphin Management Inc. CENTRAL INDEX KEY: 0001289405 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-15930 FILM NUMBER: 04798808 BUSINESS ADDRESS: STREET 1: C/O DOLPHIN ASSET MANAGEMENT CORP. STREET 2: 129 EAST 17TH STREET CITY: NEW YORK STATE: NY ZIP: 10003 BUSINESS PHONE: (212) 982-5071 MAIL ADDRESS: STREET 1: C/O DOLPHIN ASSET MANAGEMENT CORP. STREET 2: 129 EAST 17TH STREET CITY: NEW YORK STATE: NY ZIP: 10003 3 1 primary_doc.xml PRIMARY DOCUMENT X0202 3 2003-12-18 0 0000813619 SOUTHWALL TECHNOLOGIES INC /DE/ SWTX 0001282815 DOLPHIN DIRECT EQUITY PARTNERS L P C/O DOLPHIN ASSET MANAGEMENT CORP. 129 EAST 17TH STREET NEW YORK NY 10003 0 0 1 0 0001289404 Dolphin Advisors, L.L.C. C/O DOLPHIN ASSET MANAGEMENT CORP. 129 EAST 17TH STREET NEW YORK NY 10003 0 0 1 0 0001289405 Dolphin Management Inc. C/O DOLPHIN ASSET MANAGEMENT CORP. 129 EAST 17TH STREET NEW YORK NY 10003 0 0 1 0 0001016286 SALAS PETER E 129 EAST 17TH STREET NEW YORK NY 10003 0 0 1 0 10% Convertible Note due 2009 1 2004-02-20 2009-02-20 Common Stock 1500000 D Warrant (right to buy) 0.01 2003-12-18 2008-12-18 Common Stock 313705 D Warrant (right to buy) 0.01 2003-12-18 2008-12-18 Common Stock 141033 D Warrant (right to buy) 0.01 2003-12-18 2008-12-18 Common Stock 5772 D Warrant (right to buy) 0.01 2004-01-15 2009-01-15 Common Stock 313705 D Warrant (right to buy) 0.01 2004-01-19 2009-01-19 Common Stock 529818 D Warrant (right to buy) 0.01 2004-01-19 2009-01-19 Common Stock 2649 D Warrant (right to buy) 0.01 2004-01-29 2009-01-29 Common Stock 182084 D Warrant (right to buy) 0.01 2004-01-30 2009-01-30 Common Stock 498 D Warrant (right to buy) 0.01 2004-01-30 2009-01-30 Common Stock 1235 D Warrant (right to buy) 0.01 2004-02-19 2009-02-19 Common Stock 1111250 D Warrant (right to buy) 0.01 2004-02-20 2004-02-20 Common Stock 2025502 D The reported notes are owned directly by Dolphin Direct Equity Partners, LP. Dolphin Advisors, L.L.C. may be deemed to beneficially own the reported notes because it serves as the managing general partner of Dolphin Direct Equity Partners, LP. Dolphin Management, Inc. may be deemed to beneficially own the reported notes because it serves as the managing member of Dolphin Advisors, L.L.C. Peter E Salas may be deemed to beneficially own the reported notes because he serves as President of and is a significant shareholder in Dolphin Management, Inc. Each of Dolphin Advisors, L.L.C., Dolphin Management, Inc. and Peter E. Salas disclaim beneficial ownership of all of the reported notes except to the extent of their pecuniary interest therein, and the inclusion of these warrants in this report shall not be deemed an admission by them of beneficial ownership of all of the reported warrants for purposes of Section 16 or for any other purpose. The reported warrants are owned directly by Dolphin Direct Equity Partners, LP. Dolphin Advisors, L.L.C. may be deemed to beneficially own the reported warrants because it serves as the managing general partner of Dolphin Direct Equity Partners, LP. Dolphin Management, Inc. may be deemed to beneficially own the reported warrants because it serves as the managing member of Dolphin Advisors, L.L.C. Peter E Salas may be deemed to beneficially own the reported warrants because he serves as President of and is a significant shareholder in Dolphin Management, Inc. Each of Dolphin Advisors, L.L.C., Dolphin Management, Inc. and Peter E. Salas disclaim beneficial ownership of all of the reported warrants except to the extent of their pecuniary interest therein, and the inclusion of these warrants in this report shall not be deemed an admission by them of beneficial ownership of all of the reported warrants for purposes of Section 16 or for any other purpose. Carlos P. Salas, by power of attorney, on behalf of Dolphin Direct Equity Partners, LP 2004-05-12 Carlos P. Salas, by power of attorney, on behalf of Dolphin Advisors, L.L.C. 2004-05-12 Carlos P. Salas, by power of attorney, on behalf of Dolphin Management, Inc. 2004-05-12 Peter E. Salas 2004-05-12 -----END PRIVACY-ENHANCED MESSAGE-----