-----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, ThnynnvK+QvXdfPonjCc1tGvTkykjRWSx6NaKsSY3bL3CMnnkQ+4NZYv2H3MtQDw K7hdgpPwoZ5PlJoHeLMOuQ== 0001144204-03-001252.txt : 20030328 0001144204-03-001252.hdr.sgml : 20030328 20030328171002 ACCESSION NUMBER: 0001144204-03-001252 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20030326 FILED AS OF DATE: 20030328 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: KIMBERLIN KEVIN CENTRAL INDEX KEY: 0000904841 RELATIONSHIP: OWNER FILING VALUES: FORM TYPE: 3 BUSINESS ADDRESS: STREET 1: SPENCER TRASK SECURITIES INC STREET 2: 535 MADISON AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2123555565 SUBJECT COMPANY: 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 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-12284 FILM NUMBER: 03626153 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: NETWORD INC DATE OF NAME CHANGE: 19920703 FORMER COMPANY: FORMER CONFORMED NAME: HOME DIRECTOR INC DATE OF NAME CHANGE: 20030205 3 1 doc1.txt ------------------------------ OMB APPROVAL ------------------------------ OMB Number: 3235-0104 Expires: January 31, 2005 Estimated average burden hours per response.........0.5 ------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 3 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(h) of the Investment Company Act of 1940 (Print of Type Responses) ________________________________________________________________________________ 1. Name and Address of Reporting Person* Kimberlin Kevin B. - -------------------------------------------------------------------------------- (Last) (First) (Middle) 535 Madison Avenue - -------------------------------------------------------------------------------- (Street) New York New York 10011 - -------------------------------------------------------------------------------- (City) (State) (Zip) ________________________________________________________________________________ 2. Date of Event Requiring Statement (Month/Day/Year) March 27 2003 ________________________________________________________________________________ 3. I.R.S. Identification Number of Reporting Person, if an entity (voluntary) ________________________________________________________________________________ 4. Issuer Name and Ticker or Trading Symbol Home Director, Inc. (HMDR.OB) ________________________________________________________________________________ 5. Relationship of Reporting Person(s) to Issuer (Check all applicable) | | Director |X| 10% Owner | | Officer (give title below) |_| Other (specify below) ____________________________________________________________________ ________________________________________________________________________________ 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 ================================================================================
3. Ownership Form: 2. Amount of Securities Direct (D) or 1. Title of Security Beneficially Owned Indirect (I) 4. Nature of Indirect Beneficial Ownership (Instr. 4) (Instr. 4) (Instr. 5) (Instr. 5) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock 78,546 I See Note (1) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock 8,727 I See Note (2) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock 74,412 I See Note (3) ===================================================================================================================================
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. (Print or Type Responses) * If the form is filed by more than one reporting person, see Instruction 5(b)(v). Page 1 of 2 FORM 3 (continued) Table II -- Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
- ----------------------------------------------------------------------------------------------------------------------------------- 5. Owner- 3. Title and Amount of Securities ship Underlying Derivative Security Form of 2. Date Exercisable (Instr. 4) Derivative and Expiration Date --------------------------------- 4. Conver- Securities: (Month/Day/Year) Amount sion or Direct 6. Nature of ---------------------- or Exercise (D) or Indirect Date Expira- Number Price of Indirect Beneficial 1. Title of Derivative Exer- tion of Derivative (I) Ownership Security (Instr. 4) cisable Date Title Shares Security (Instr. 5) (Instr. 5) - ----------------------------------------------------------------------------------------------------------------------------------- Warrant Currently Apr. 3, 2010 Common Stock 78,187 $115.01 I See Note (2) - ----------------------------------------------------------------------------------------------------------------------------------- Warrant Currently July 6, 2010 Common Stock 17,391 $115.01 I See Note (2) - ----------------------------------------------------------------------------------------------------------------------------------- Warrant Currently Dec. 18, 2007 Common Stock 407,323 $ 3.63 I See Note (2) - ----------------------------------------------------------------------------------------------------------------------------------- Warrant Currently Oct. 11, 2010 Common Stock 2,565 $ 0.36 I See Note (2) - ----------------------------------------------------------------------------------------------------------------------------------- Warrant Currently Feb. 5, 2005 Common Stock 10,630 $25.40 I See Note (3) =================================================================================================================================== Explanation of Responses: (1) Held by Spencer Trask Intellectual Capital Company, LLC, a Delaware limited liability company, of which the reporting person is the non-member manager. (2) Held by Spencer Trask Ventures, Inc., a Delaware corporation and wholly-owned subsidiary of Spencer Trask & Co., a Delaware corporation, of which the reporting person is the controlling shareholder. (3) Held by Spencer Trask Investment Partners LLC, a Delaware limited liability company, of which the reporting person is the non-member manager.
/s/ Kevin B. Kimberlin March 27, 2003 - ---------------------------------------------- ----------------------- **Signature of Reporting Person Date ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. Page 2 of 2 -----END PRIVACY-ENHANCED MESSAGE-----