-----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, JVBKzj3u7+o0i1yUTgy3nnBj5wclisnSmr0Ia5HmVO+Ef8VjVAihhOZnig4bCuPF Uho7faNnUl/7sEtbfzPJCA== 0000898432-04-000160.txt : 20040213 0000898432-04-000160.hdr.sgml : 20040213 20040213151349 ACCESSION NUMBER: 0000898432-04-000160 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20031209 FILED AS OF DATE: 20040213 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: HOME DIRECTOR INC CENTRAL INDEX KEY: 0000715031 STANDARD INDUSTRIAL CLASSIFICATION: COMMUNICATIONS EQUIPMENT, NEC [3669] IRS NUMBER: 522143430 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 2525 COLLIER CANYON ROAD STREET 2: - CITY: LIVERMORE STATE: CA ZIP: 94551 BUSINESS PHONE: (925) 373 - 0438 MAIL ADDRESS: STREET 1: 2525 COLLIER CANYON ROAD STREET 2: - CITY: LIVERMORE STATE: CA ZIP: 94551 FORMER COMPANY: FORMER CONFORMED NAME: HOME DIRECTOR INC DATE OF NAME CHANGE: 20030205 FORMER COMPANY: FORMER CONFORMED NAME: NETWORD INC DATE OF NAME CHANGE: 19920703 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: KIMBERLIN KEVIN CENTRAL INDEX KEY: 0000904841 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 000-12284 FILM NUMBER: 04598300 BUSINESS ADDRESS: STREET 1: SPENCER TRASK SECURITIES INC STREET 2: 535 MADISON AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2123555565 4/A 1 primary_doc.xml PRIMARY DOCUMENT X0201 4/A 2003-12-09 2004-01-23 0 0000715031 HOME DIRECTOR INC HMDR 0000904841 KIMBERLIN KEVIN 535 MADISON AVENUE 18TH FLOOR NEW YORK NY 10022 0 0 1 0 Warrant 1.068 2003-12-09 4 J 0 657845 A 2008-12-09 Common Stock 657845 657845 I See Note Warrant 1.178 2003-12-19 4 J 0 306795 A 2008-12-19 Common Stock 306795 306795 I See Note Warrant 1.298 2004-01-21 4 J 0 423630 A 2009-01-21 Common Stock 423630 423630 I See Note Warrant 44.28 2010-04-03 Common Stock 203074 203074 I See Notes Warrant 44.28 2010-07-06 Common Stock 45175 45175 I See Notes Warrant 1.01 2007-12-18 Common Stock 1458717 1458717 I See Notes Warrant 10.29 2005-02-05 Common Stock 26227 26227 I See Notes Warrants are currently exercisable. Warrants were earned as compensation for placement agent services. This revised Form 4 amends the information reported in Table II, Column 4 of the Form 4 filed 01/23/2004. Holdings of Spencer Trask Ventures, Inc. ("STVI"), a Delaware corporation and wholly-owned subsidiary of Spencer Trask & Co., a Delaware corporation, of which the reporting person is the controlling shareholder. This revised Form 4 amends the information reported in Table II, Columns 2, 7, 8, 9 and 11 of the Form 4 filed 01/23/2004. Of this total, 78,178 warrants were acquired by exchange of warrants of a predecessor company upon merger of the predecessor company into the Issuer on 12/19/2002 and first reported when the Reporting Person became subject to reporting obligations under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), upon the filing of the Issuer's Form 8-A on 03/28/2003; and the exercise price was adjusted and STVI became entitled to an additional 124,896 warrants by operation of anti-dilution provisions on 01/21/2004. Of this total, 17,391 warrants were acquired by exchange of warrants of a predecessor company upon merger of the predecessor company into the Issuer on 12/19/2002 and first reported when the Reporting Person became subject to reporting obligations under the Exchange Act upon the filing of the Issuer's Form 8-A on 03/28/2003; and the exercise price was adjusted and STVI became entitled to an additional 27,784 warrants by operation of anti-dilution provisions on 01/21/2004. Of this total, 407,323 warrants were acquired by exchange of warrants of a predecessor company upon merger of the predecessor company into the Issuer on 12/19/2002 and first reported when the Reporting Person became subject to reporting obligations under the Exchange Act upon the filing of the Issuer's Form 8-A on 03/28/2003; and the exercise price was adjusted and STVI became entitled to an additional 1,051,394 warrants by operation of anti-dilution provisions on 01/21/2004. Holdings of Spencer Trask Investment Partners LLC ("STIP"), a Delaware limited liability company, of which the reporting person is the non-member manager. Of this total, 10,630 warrants were acquired by exchange of warrants of a predecessor company upon merger of the predecessor company into the Issuer on 12/19/2002 and first reported when the Reporting Person became subject to reporting obligations under the Exchange Act upon the filing of the Issuer's Form 8-A on 03/28/2003; and the exercise price was adjusted and STIP became entitled to an additional 15,597 warrants by operation of anti-dilution provisions on 01/21/2004. /S/ KEVIN B. KIMBERLIN 2004-02-11 -----END PRIVACY-ENHANCED MESSAGE-----