0001318148-05-000003.txt : 20120705 0001318148-05-000003.hdr.sgml : 20120704 20050216160206 ACCESSION NUMBER: 0001318148-05-000003 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20050216 DATE AS OF CHANGE: 20050216 GROUP MEMBERS: IAN P. ELLIS GROUP MEMBERS: MICROCAPITAL FUND LP GROUP MEMBERS: MICROCAPITAL FUND LTD. GROUP MEMBERS: MICROCAPITAL LLC GROUP MEMBERS: PRICE TRUST UTA SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: AMERIGON INC CENTRAL INDEX KEY: 0000903129 STANDARD INDUSTRIAL CLASSIFICATION: MOTOR VEHICLES & PASSENGER CAR BODIES [3711] IRS NUMBER: 954318554 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-44619 FILM NUMBER: 05621058 BUSINESS ADDRESS: STREET 1: 5462 IRWINDALE AVENUE CITY: IRWINDALE STATE: CA ZIP: 91760- BUSINESS PHONE: 6268157400 MAIL ADDRESS: STREET 1: 5462 IRWINDALE AVE CITY: IRWINDALE STATE: CA ZIP: 91706 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: MICROCAPITAL LLC CENTRAL INDEX KEY: 0001170643 IRS NUMBER: 134103993 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 410 JESSIE STREET, SUITE 1002 CITY: SAN FRANCISCO STATE: CA ZIP: 94103 BUSINESS PHONE: 4156256822 SC 13G/A 1 amerigon.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendments No. 2)* AMERIGON, INC. ----------------------------------------------------------------------------- (Name of Issuer) COMMON STOCK ----------------------------------------------------------------------------- (Title of Class Securities) 03070L300 ------------------------------------ (CUSIP Number) December 31, 2004 ----------------------------------------------------------------------------- (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: X Rule 13d-1(b) Rule 13d-1(c) Rule 13d-1(d) *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosure provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a current valid OMB control number. CUSIP No. 03070L300 1. Name of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only). MicroCapital LLC 13-4103993 ----------------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (See Instructions) (a) [ ]............................................................. ----------------------------------------------------------------------------- (b) .................................................................. ----------------------------------------------------------------------------- 3. SEC Use Only........................................................... ----------------------------------------------------------------------------- 4. Citizenship or Place of Organization Delaware...................... ----------------------------------------------------------------------------- Number of 5. Sole Voting Power .................................. ----------------------------------------------------------------------------- Shares Beneficially Owned by Each Reporting Person With: 6. Shared Voting Power 815,854......................... -------------------------------------- --------------------------------------------------------------- --------------------------------------------------------------- 7. Sole Dispositive Power ............................. ----------------------------------- --------------------------------------------------------------- --------------------------------------------------------------- 8. Shared Dispositive Power 815,854.................... --------------------------------- --------------------------------------------------------------- --------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 815,854...... ---------------------- 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) 11. Percent of Class Represented by Amount in Row (9) 5.55% ----------------------------------------------------------------------------- 12. Type of Reporting Person (See Instructions) ----------------------------------------------------------------------------- IA........................................................................... .......................................................................... .......................................................................... .......................................................................... .......................................................................... .......................................................................... .......................................................................... CUSIP No. 03070L300 1. Name of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only). Ian P. Ellis ----------------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (See Instructions) (a) [ ]............................................................. ------------------------------------------------------------- (b) .................................................................. ------------------------------------------------------------------ ----------------------------------------------------------------------------- 3. SEC Use Only........................................................... ----------------------------------------------------------- ----------------------------------------------------------------------------- 4. Citizenship or Place of Organization U.K........................... --------------------------------- ----------------------------------------------------------------------------- Number of 5. Sole Voting Power .................................. ---------------------------------------- Shares Beneficially Owned by Each Reporting Person With: --------------------------------------------------------------- ----------------------------------------------------------------------------- 6. Shared Voting Power 815,854......................... -------------------------------------- --------------------------------------------------------------- ----------------------------------------------------------------------------- 7. Sole Dispositive Power ............................. ----------------------------------- --------------------------------------------------------------- ----------------------------------------------------------------------------- 8. Shared Dispositive Power 815,854.................... --------------------------------- --------------------------------------------------------------- ----------------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 815,854 --------- 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) 11. Percent of Class Represented by Amount in Row (9) 5.55% ----------------------------------------------------------------------------- 12. Type of Reporting Person (See Instructions) ----------------------------------------------------------------------------- IN, HC....................................................................... ----------------------------------------------------------------------------- .......................................................................... .......................................................................... .......................................................................... .......................................................................... .......................................................................... .......................................................................... CUSIP No. 03070L300 1. Name of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only). MicroCapital Fund LP 52-2286453 ----------------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (See Instructions) (a) [ ]............................................................. ------------------------------------------------------------- (b) .................................................................. ------------------------------------------------------------------ ----------------------------------------------------------------------------- 3. SEC Use Only........................................................... ----------------------------------------------------------- ----------------------------------------------------------------------------- 4. Citizenship or Place of Organization Delaware...................... --------------------------------- ----------------------------------------------------------------------------- Number of 5. Sole Voting Power .................................. ---------------------------------------- Shares Beneficially Owned by Each Reporting Person With: --------------------------------------------------------------- ----------------------------------------------------------------------------- 6. Shared Voting Power 492,783.......................... -------------------------------------- --------------------------------------------------------------- ----------------------------------------------------------------------------- 7. Sole Dispositive Power ............................. ----------------------------------- --------------------------------------------------------------- ----------------------------------------------------------------------------- 8. Shared Dispositive Power 492,783.................... --------------------------------- --------------------------------------------------------------- ----------------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 492,783..... ---------------------- 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) 11. Percent of Class Represented by Amount in Row (9) 3.35% --------- ----------------------------------------------------------------------------- 12. Type of Reporting Person (See Instructions) ----------------------------------------------------------------------------- PN........................................................................ ----------------------------------------------------------------------------- .......................................................................... .......................................................................... .......................................................................... .......................................................................... .......................................................................... .......................................................................... CUSIP No. 03070L300 1. Name of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only). MicroCapital Fund Ltd. ----------------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (See Instructions) (a) [ ]............................................................. ------------------------------------------------------------- (b) .................................................................. ------------------------------------------------------------------ ----------------------------------------------------------------------------- 3. SEC Use Only........................................................... ----------------------------------------------------------- ----------------------------------------------------------------------------- 4. Citizenship or Place of Organization Cayman Islands................ --------------------------------- ----------------------------------------------------------------------------- Number of 5. Sole Voting Power .................................. ---------------------------------------- Shares Beneficially Owned by Each Reporting Person With: --------------------------------------------------------------- --------------------------------------------------------------- 6. Shared Voting Power 296,931.......................... -------------------------------------- --------------------------------------------------------------- --------------------------------------------------------------- 7. Sole Dispositive Power ............................. ----------------------------------- --------------------------------------------------------------- --------------------------------------------------------------- 8. Shared Dispositive Power 296,931.................... --------------------------------- --------------------------------------------------------------- --------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 296,931..... ---------------------- 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) 11. Percent of Class Represented by Amount in Row (9) 2.02% --------- ----------------------------------------------------------------------------- 12. Type of Reporting Person (See Instructions) ----------------------------------------------------------------------------- OO........................................................................... ----------------------------------------------------------------------------- .......................................................................... .......................................................................... .......................................................................... .......................................................................... .......................................................................... .......................................................................... CUSIP No. 03070L300 1. Name of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only). Price Trust UTA Dated 10/5/84, As Amended ###-##-#### ----------------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (See Instructions) (a) [X]............................................................... --------------------------------------------------------------- (b) .................................................................. ------------------------------------------------------------------ ----------------------------------------------------------------------------- 3. SEC Use Only........................................................... ----------------------------------------------------------- ----------------------------------------------------------------------------- 4. Citizenship or Place of Organization ............................... --------------------------------- ----------------------------------------------------------------------------- Number of 5. Sole Voting Power .................................. ---------------------------------------- Shares Beneficially Owned by Each Reporting Person With: --------------------------------------------------------------- 6. Shared Voting Power 26,140........................... --------------------------------------------------------------- --------------------------------------------------------------- 7. Sole Dispositive Power ............................. --------------------------------------------------------------- --------------------------------------------------------------- 8. Shared Dispositive Power 26,140..................... --------------------------------------------------------------- ----------------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 26,140...... ---------------------- 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) 11. Percent of Class Represented by Amount in Row (9) 0.18% 12. Type of Reporting Person (See Instructions) OO........................................................................... ----------------------------------------------------------------------------- .......................................................................... .......................................................................... .......................................................................... .......................................................................... .......................................................................... .......................................................................... Item 1. (a) Name of Issuer Amerigon, Inc. (b) Address of Issuer's Principal Executive Offices 5462 Irwindale Avenue Irwindale, CA 91760 Item 2. (a) Name of Person Filing This statement is being filed by (i) MicroCapital LLC, a Delaware limited liability company and a registered investment adviser ("IA"), (ii) Ian P. Ellis ("Managing Member"), (iii) MicroCapital Fund LP, (iv) MicroCapital Fund Ltd., and (v) Price Trust UTA Dated 10/5/84, As Amended (collectively, the "Reporting Persons"). Managing Member controls IA by virtue of Managing Member's position as managing member and majority owner of IA. (b) Address of Principal Business office or, if None, Residence IA's principal place of business is located at: 201 Post Street, Suite 1001, San Francisco, California 94108 Managing Member's principal place of business is located at: 201 Post Street, Suite 1001, San Francisco, California 94108 MicroCapital Fund LP's principal place of business is located at: 201 Post Street, Suite 1001, San Francisco, California 94108 MicroCapital Fund Ltd.'s principal place of business is located at: c/o Citco Fund Services (Curacao) N.V., Kaya Flamboyan 9, Curacao, Netherland Antilles Principal place of business of Price Trust UTA Dated 10/5/84, As Amended, is located at: 135 E. Sir Francis Drake Blvd. Larkspur, CA 94939 (c) Citizenship Item 4 of each cover page is incorporated by reference. (d) Title of Class Securities Common (e) CUSIP Number 03070L300 Item 3. If this statement is filed pursuant to ss.ss. 240.13d-1(b), or 240.13d-2(b) or (c), check whether the person filing is a: (a) Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o). (b) Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c). (c) Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c). (d) Investment company registered under section 8 of the Investment Company Act (15 U.S.C. 80a-8). (e) X An investment adviser in accordance with ss. 240.13d-1(b)(1)(ii)(E). (f) An employee benefit plan or endowment fund in accordance with ss. 240.13d-1(b)(ii)(F). (g) A parent holding company or control person in accordance with ss. 240.13d-1(b)(1)(ii)(G). (h) A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813). (i) A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3). (j) Group in accordance with ss. 240.13d-1(b)(ii)(J). Item 4. Ownership Common Stock: (a) Amount Beneficially Owned: 815,854 (b) Percent of Class: 5.55% (c) Number of shares as to which the joint filers have: (i) sole power to vote or to direct the vote: (ii) shared power to vote or to direct the vote: 815,854 (iii) sole power to dispose or to direct the disposition of: (iv) shared power to dispose of or to direct the disposition of: 815,854 Item 5. Ownership of Five Percent or Less of a Class. If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class securities, check the following . Item 6. Ownership of More than Five Percent on Behalf of Another Person. IA, a registered investment adviser, and Managing Member, the majority owner and managing member of IA, have the right or the power to direct the receipt of dividends from Common Stock, and to direct the receipt of proceeds from the sale of Common Stock to IA's investment advisory clients. Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company. Not applicable Item 8. Identification and Classification of Members of the Group. Not applicable Item 9. Notice of Dissolution of Group. Not applicable Item 10. Certification: (a) The following certification shall be included if the statement is filed pursuant to ss. 240.13d-1(b): By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. SIGNATURE Date: February 14, 2005 MICROCAPITAL LLC /s/ Ian P. Ellis ------------------------------------------------ Ian P. Ellis, Managing Member IAN P. ELLIS /s/ Ian P. Ellis ------------------------------------------------ Ian P. Ellis MICROCAPITAL FUND LP /s/ Ian P. Ellis ------------------------------------------------ Ian P. Ellis, Managing Member, MicroCapital LLC, General Partner of MicroCapital Fund LP MICROCAPITAL FUND LTD. /s/ Ian P. Ellis ------------------------------------------------ Ian P. Ellis, Managing Member, MicroCapital LLC, Investment Adviser PRICE TRUST UTA DATED 10/5/84, AS AMENDED /s/ Ian P. Ellis ------------------------------------------------ Ian P. Ellis, Managing Member, MicroCapital LLC, Investment Adviser EXHIBIT A Identification and Classification of Members of the Group Pursuant to Rule 13d-1(b)(ii)(J) and Rule 13d-1(k)(1) under the Securities and Exchange Act of 1934, the members of the group making this joint filing are identified and classified as follows: Name Classification EXHIBIT B Joint Filing Agreement Pursuant to Rule 13d-1 This agreement is made pursuant to Rule 13d-1(b)(ii)(J) and Rule 13d-1(k)(1) under the Securities and Exchange Act of 1934 (the "Act") by and among the parties listed below, each referred to herein as a "Joint Filer." The Joint Filers agree that a statement of beneficial ownership as required by Sections 13(g) or 13(d) of the Act and the Rules thereunder may be filed on each of their behalf on Schedule 13G or Schedule 13D, as appropriate, and that said joint filing may thereafter be amended by further joint filings. The Joint Filers state that they each satisfy the requirements for making a joint filing under Rule 13d-1. SIGNATURE Date: February 14, 2005 MICROCAPITAL LLC /s/ Ian P. Ellis ------------------------------------------------ Ian P. Ellis, Managing Member IAN P. ELLIS /s/ Ian P. Ellis ------------------------------------------------ Ian P. Ellis MICROCAPITAL FUND LP /s/ Ian P. Ellis ------------------------------------------------ Ian P. Ellis, Managing Member, MicroCapital LLC, General Partner of MicroCapital Fund LP MICROCAPITAL FUND LTD. /s/ Ian P. Ellis ------------------------------------------------ Ian P. Ellis, Managing Member, MicroCapital LLC, Investment Adviser PRICE TRUST UTA DATED 10/5/84, AS AMENDED /s/ Ian P. Ellis ------------------------------------------------ Ian P. Ellis, Managing Member, MicroCapital LLC, Investment Adviser