13F-HR 1 p14907_13fhr.txt FORM 13F-HR ------------------------------ OMB APPROVAL ------------------------------ OMB Number 3235-006 Expires: 12/31/01 Estimated average burden hours per response:............24.7 ------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13f Cover Page Report for the Calendar Year or Quarter Ended 12/31/2001 If amended report check here: |_| Amendment Number: ____ This Amendment (Check only one): |_| is a restatement |_| adds new holding entries. SRB Associates IV L.P. -------------------------------------------------------------------------------- Name of Institutional Investment Manager Two Galleria Tower 13455 Noel Road, Suite 1670 Dallas, TX 75240 -------------------------------------------------------------------------------- Business Address (Street) (City) (State) (Zip) 13F File Number: 28-06361 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Jan E. Gaulding Vice President & CFO (972) 702-1100 -------------------------------------------------------------------------------- Name (Title) (Phone) /s/ Jan E. Gaulding ------------------------------------------ Signature Dallas, Texas February 5, 2002 ------------------------------------------ (Place and Date of Signing) Report Type: [X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: None -------- Form 13F Information Table Entry Total: 2 -------- Form 13F Information Table Value Total: $ 9,210 -------- (thousands) List of Other Included Managers: None
SRB ASSOCIATES IV L.P. FORM 13F INFORMATION TABLE Voting Authority Title of Value Shares/ Sh/ Put/ Invstmt Other ---------------------- Name of Issuer Class CUSIP (x$1000) PrnAmt Prn Call Dscretn Managers * Sole Shared None ---------------------------- -------- --------- --------- --------- --- ---- ---------------- ---------------------- Metawave Communications Corp Common 591409 10 7 4,365 1,399,101 SH Sole 1,399,101 0 0 T/R Systems, Inc. Common 87263U 10 2 4,845 1,548,350 SH Sole 1,548,350 0 0 --------- Total Value 9,210
* Shares are being reported by SRB Associates IV L.P., as "Manager" of Sevin Rosen Fund IV L.P. with the Manager having the sole voting authority of the shares issued to and held in the name of the Fund.