-----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, ERubwvq/D4Kp/JoVP5tu/tZvFrlrRANTIFvUZHMEYGZVYniKeYz7fjuA8MTy+2sr MnnJOd3HRlfj8gAuQXL0Xw== 0000935836-00-000016.txt : 20000202 0000935836-00-000016.hdr.sgml : 20000202 ACCESSION NUMBER: 0000935836-00-000016 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19991230 FILED AS OF DATE: 20000110 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: AUSPEX SYSTEMS INC CENTRAL INDEX KEY: 0000860749 STANDARD INDUSTRIAL CLASSIFICATION: COMPUTER COMMUNICATIONS EQUIPMENT [3576] IRS NUMBER: 930963660 STATE OF INCORPORATION: DE FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: 3 SEC ACT: SEC FILE NUMBER: 000-21432 FILM NUMBER: 504354 BUSINESS ADDRESS: STREET 1: 2300 CENTRAL EXPRESSWAY CITY: SANTA CLARA STATE: CA ZIP: 95050 BUSINESS PHONE: 4085662000 MAIL ADDRESS: STREET 1: 2300 CENTRAL EXPRESSWAY CITY: SANTA CLARA STATE: CA ZIP: 95050 COMPANY DATA: COMPANY CONFORMED NAME: WEST HIGHLAND CAPITAL INC/LHG/WHP/PB/BP CENTRAL INDEX KEY: 0000904938 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] OWNER IRS NUMBER: 680152277 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 BUSINESS ADDRESS: STREET 1: 300 DRAKES LANDING RD SUITE 290 CITY: GREENBRAE STATE: CA ZIP: 94904 BUSINESS PHONE: 4154619453 MAIL ADDRESS: STREET 1: 300 DRAKES LANDING ROAD STREET 2: SUITE 290 CITY: GREENBRAE STATE: CA ZIP: 94904 3 1 OMB Number 3235-0104 Expires: September 30, 1998 Estimated average burden hours per response 0.5 U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 3 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP 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 Gerhard Lang H. (Last) (First) (Middle) 300 Drakes Landing Road, Suite 290, Greenbrae, CA 94904. 2. Date of Event Requiring Statement (Month/Day/Year) 12/30/99 3. IRS or Social Security Number of Reporting Person (Voluntary) ______ 4. Issuer Name and Ticker or Trading Symbol Auspex Systems, Inc. (ASPX) 5. Relationship of reporting person to issuer (Check all applicable) ____ Director XX 10% Owner ____ Officer (give ____ Other (specify title below) below) ______________________ 6. If Amendment, Date of Original (Month/Day/Year) ____________ 7. Individual or Joint/Group Filing (Check Applicable line) ___ Form filed by one Reporting Person _XX__ Form filed by More than One Reporting Person FORM 3 (continued) Page 2 of 5 Pages Table I - Non-Derivative Securities Beneficially Owned 1. Title of Security: Common Stock 2. Amount of Securities Beneficially Owned (Instr. 4) 3,000,000 (1) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) I 4. Nature of Indirect Beneficial Ownership (Instr. 5) By Lang. H. Gerhard, as general partner of investment limited partnerships, as manager of limited liability company that is a general partner of investment limited partnerships, and as sole shareholder of corporation that is a general partner of investment limited partnerships and investment adviser to client accounts. Table I - Non-Derivative Securities Beneficially Owned 1. Title of Security: Common Stock 2. Amount of Securities Beneficially Owned (Instr. 4) 2,283,092 -- by West Highland Partners, L.P. (1) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) D 4. Nature of Indirect Beneficial Ownership (Instr. 5) ____________________ Table I - Non-Derivative Securities Beneficially Owned 1. Title of Security: Common Stock 2. Amount of Securities Beneficially Owned (Instr. 4) 540,895 -- by Buttonwood Partners, L.P. (1) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) D 4. Nature of Indirect Beneficial Ownership (Instr. 5) ___________________________________________________________________________ Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. (Over) * If the form is filed by more than one reporting person, see Instruction 5(b)(v). SEC 1473 (7-96) FORM 3 (continued) Page 3 of 5 Pages Table I - Non-Derivative Securities Beneficially Owned 1. Title of Security: Common Stock 2. Amount of Securities Beneficially Owned (Instr. 4) 2,823,987 -- by Estero Partners, LLC (1) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) I 4. Nature of Indirect Beneficial Ownership (Instr. 5) By Estero Partners, LLC, as general partner of investment limited partnerships. ____________________ Table I - Non-Derivative Securities Beneficially Owned 1. Title of Security: Common Stock 2. Amount of Securities Beneficially Owned (Instr. 4) 3,000,000 -- by West Highland Capital, Inc.(1) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) I 4. Nature of Indirect Beneficial Ownership (Instr. 5) By West Highland Capital, Inc., as general partner of investment limited partnerships and investment adviser to client accounts. ___________________________________________________________________________ Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. (Over) * If the form is filed by more than one reporting person, see Instruction 5(b)(v). SEC 1473 (7-96) FORM 3 (continued) Page 4 of 5 Pages Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) 1. Title of Derivative Security ___________________________________________ 2. Date Exercisable and Expiration Date (Month/Day/Year) Date Exercisable Expiration Date ____________________ ________________________ 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) Title ________________________ Amount or Number of Shares __________ 4. Conversion or Exercise Price of Derivative Security _______________ 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) ____________________ 6. Nature of Indirect Beneficial Ownership (Instr. 5) ______________________________________________________________________ ___________________________________________________________________________ Explanation of Responses: (1) The reporting person has only a pro rata interest in the securities reported and disclaims beneficial ownership in the securities reported except to the extent of the reporting person's pecuniary interest. /s/ Lang H. Gerhard **Signature of Reporting Person Date Lang H. Gerhard 1/10/2000 ** 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 provided is insufficient, See Instruction 6 for procedure. 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 currently valid OMB Number. FORM 3 (continued) Page 5 of 5 Pages Joint Filer Information Name: West Highland Capital, Inc. Address: 300 Drake's Landing Road, Suite 290, Greenbrae, CA 94904 Designated Filer: Lang H. Gerhard Issuer and Ticker Symbol: Auspex Systems, Inc. (ASPX) Date of Event Requiring Statement: 12/30/1999 Signature: West Highland Capital, Inc. By: /s/ Bonnie George, Chief Operating Officer Name: Estero Partners, LLC Address: 300 Drake's Landing Road, Suite 290, Greenbrae, CA 94904 Designated Filer: Lang H. Gerhard Issuer and Ticker Symbol: Auspex Systems, Inc. (ASPX) Date of Event Requiring Statement: 12/30/1999 Signature: Estero Partners, LLC By: West Highland Capital, Inc., Attorney in Fact By: /s/ Bonnie George, Chief Operating Officer Name: West Highland Partners, L.P. Address: 300 Drake's Landing Road, Suite 290, Greenbrae, CA 94904 Designated Filer: Lang H. Gerhard Issuer and Ticker Symbol: Auspex Systems, Inc. (ASPX) Date of Event Requiring Statement: 12/30/1999 Signature: West highland Partners, L.P. By: West Highland Capital, Inc., General Partner By: /s/ Bonnie George, Chief Operating Officer Name: Buttonwood Partners, L.P. Address: 300 Drake's Landing Road, Suite 290, Greenbrae, CA 94904 Designated Filer: Lang H. Gerhard Issuer and Ticker Symbol: Auspex Systems, Inc. (ASPX) Date of Event Requiring Statement: 12/30/1999 Signature: Buttonwood Partners, L.P. By: West Highland Capital, Inc., General Partner By: /s/ Bonnie George, Chief Operating Officer CSR\2463\041\1080943.01 -----END PRIVACY-ENHANCED MESSAGE-----