-----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, JqSeZ7kwdBPte4nd+f2aoT5nt0/ngUCMIkZrutrtnbeNvpEnczGJpivTA6blS14i ScenI7SdX6I8H/nRiqdrlQ== 0000902664-03-000513.txt : 20030327 0000902664-03-000513.hdr.sgml : 20030327 20030327170708 ACCESSION NUMBER: 0000902664-03-000513 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19960716 FILED AS OF DATE: 20030327 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: AUGUSTA PARTNERS L P CENTRAL INDEX KEY: 0001015658 IRS NUMBER: 510375786 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 811-07641 FILM NUMBER: 03621691 BUSINESS ADDRESS: STREET 1: OPPENHEIMER TWR ONE WORLD FINANCIAL CTR STREET 2: 33RD FLOOR 200 LIBERTY ST CITY: NEW YORK STATE: NY ZIP: 10281 BUSINESS PHONE: 212665369 MAIL ADDRESS: STREET 1: ONE WORLD FINANCIAL CENTER 33RD FLOOR STREET 2: OPPENHEIMER TOWER 200 LIBERTY STREET CITY: NEW YORK STATE: NY ZIP: 10281 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: ARDSLEY ADVISORY PARTNERS CENTRAL INDEX KEY: 0000900529 RELATIONSHIP: OTHER IRS NUMBER: 0 STATE OF INCORPORATION: CT FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 BUSINESS ADDRESS: STREET 1: 262 HARBOR DRIVE, 4TH FLOOR CITY: STAMFORD STATE: CT ZIP: 06902 BUSINESS PHONE: 203-564-4230 MAIL ADDRESS: STREET 1: 262 HARBOR DRIVE, 4TH FLOOR CITY: STAMFORD STATE: CT ZIP: 06902 3 1 srz9386817v1.txt 3 - -------- ----------------------------- FORM 3 OMB APPROVAL - -------- ----------------------------- OMB Number: 3235-0104 Expires: January 31, 2005 Estimated average burden hours per response 0.5 ----------------------------- U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 - ----------------------------------------------------------------------------- (Print or Type Responses) - ----------------------------------------------------------------------------- 1. Name and Address of Reporting Person* Ardsley Advisory Partners - ----------------------------------------------------------------------------- (Last) (First) (Middle) 262 Harbor Drive, 4th - ----------------------------------------------------------------------------- (Street) Stamford CT 06902 - ----------------------------------------------------------------------------- (City) (State) (Zip) - ----------------------------------------------------------------------------- 2. Date of Event Requiring Statement (Month/Day/Year) 07/16/96 - ----------------------------------------------------------------------------- 3. IRS Identification Number of Reporting Person, if an entity (Voluntary) - ----------------------------------------------------------------------------- 4. Issuer Name and Ticker or Trading Symbol Augusta Partners, L.P. (no ticker symbol) - ----------------------------------------------------------------------------- 5. Relationship of Reporting Person to Issuer (Check all applicable) [ ] Director [ ] 10% Owner [ ] Officer (give title Below) [ x ] Other (Specify below) Non-Managing Member of Investment Adviser - ----------------------------------------------------------------------------- 6. If Amendment, Date of Original (Month/Day/Year) - ----------------------------------------------------------------------------- 7. Individual or Joint/Group Filing (Check applicable line) [ x ] Form filed by One Reporting Person [ ] Form filed by More than One Reporting Person - -----------------------------------------------------------------------------
Table I--Non-Derivative Securities Beneficially Owned - ------------------------------------------------------------------------------------------------ 1. Title of Security 2. Amount of Securities 3. Ownership 4. Nature of Indirect (Instr. 4) Beneficially Owned Form: Direct (D) Beneficial Ownership (Instr. 4) or Indirect (I) (Instr. 4) (Instr. 5) - ------------------------------------------------------------------------------------------------- - ------------------------------------------------------------------------------------------------- Augusta Partners, L.P., Limited Partnership Interests (the "Interests") $600,000 (1) I (2) ------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------- Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. (Over) (Print or Type Responses)
FORM 3 (continued)
Table II--Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) - --------------------------------------------------------------------------------------------------------------------------------- 1. Title of Derivative 2. Date Exercisable 3. Title and Amount 4. Conversion 5.Ownership Form 6. Nature of Security and Expiration Date of Securities or Exercise of Derivative Indirect (Instr. 4) Month/Day/Year Underlying Price of Security: Direct Beneficial ------------------------ Derivative Derivative (D) or Indirect (I) Ownership Date Expiration Security Security (Instr. 5) (Instr. 5) Exercisable Date (Instr. 4) -------------------- Title Amount or Number of Shares - --------------------------------------------------------------------------------------------------------------------------------- - --------------------------------------------------------------------------------------------------------------------------------- - --------------------------------------------------------------------------------------------------------------------------------- - ---------------------------------------------------------------------------------------------------------------------------------
Explanation of Responses: (1) Following the contribution, Ardsley Advisory Partners ("Ardsley) indirectly owned 0.60% of the Interests of Augusta Partners, L.P. (2) Ardsley is the non-managing member of Augusta Management, L.L.C. ("Augusta"), which serves as the investment adviser of Augusta Partners, L.P. (the "Issuer") pursuant to the investment advisory arrangements between Augusta and the Issuer found within the Second Amended and Restated Limited Partnership Agreement of the Issuer dated as of February 10, 1999. The Interest in the Issuer is held directly by Augusta and indirectly by Ardsley by virtue of its interest in Augusta. The filing of this statement with the inclusion of the foregoing information shall not be construed as an admission that Ardsley is the beneficial owner of any equity securities of the Issuer except as to those securities in which Ardsley may be deemed to have an indirect pecuniary interest pursuant to rule 16a-1(a)(2). *If the Form is filed by more than one Reporting Person, see instruction 5(b)(v). **Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). ARDSLEY ADVISORY PARTNERS By: /s/ Steven Napoli 03/14/03 ------------------------------- -------- Name: Steven Napoli Date Title: Partner Note: File three copies of this form, one of which must be manually signed. If space provided is insufficient, see Instruction 6 for procedure. -----END PRIVACY-ENHANCED MESSAGE-----