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.