-----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, Fv+s7XJ5Syu/09y14M/uzp9spmN1oCg5Rb2FL7Bi5K3TzHEYDHDoYd4wJOHS8//x pE2QX2wfJA/mC+eTAbIfKQ== 0000950109-01-504885.txt : 20020410 0000950109-01-504885.hdr.sgml : 20020410 ACCESSION NUMBER: 0000950109-01-504885 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20011113 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: NEXTGEN FUND II LLC CENTRAL INDEX KEY: 0001126610 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 541962916 STATE OF INCORPORATION: VA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-62189 FILM NUMBER: 1781489 BUSINESS ADDRESS: STREET 1: 12701 FAIR LAKES CIRCLE CITY: FAIRFAX STATE: VA ZIP: 22033 BUSINESS PHONE: 7038030544 MAIL ADDRESS: STREET 1: 12701 FAIR LAKES CIRCLE CITY: FAIRFAX STATE: VA ZIP: 22033 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: RFP EXPRESS INC CENTRAL INDEX KEY: 0000929425 STANDARD INDUSTRIAL CLASSIFICATION: INDUSTRIAL INSTRUMENTS FOR MEASUREMENT, DISPLAY, AND CONTROL [3823] IRS NUMBER: 944453386 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 8080 DAGGETT STREET SUITE 220 CITY: SAN DIEGO STATE: CA ZIP: 92111 BUSINESS PHONE: 6196775580 MAIL ADDRESS: STREET 1: 8080 DAGGETT STREET SUITE 220 CITY: SAN DIEGO STATE: CA ZIP: 92111 FORMER COMPANY: FORMER CONFORMED NAME: IXATA GROUP INC DATE OF NAME CHANGE: 20000207 FORMER COMPANY: FORMER CONFORMED NAME: MATERIAL TECHNOLOGIES INC DATE OF NAME CHANGE: 19970313 FORMER COMPANY: FORMER CONFORMED NAME: MATERIAL TECHNOLOGY INC DATE OF NAME CHANGE: 19970326 FORMER COMPANY: FORMER CONFORMED NAME: SECURFONE AMERICA INC DATE OF NAME CHANGE: 19971114 SC 13D/A 1 dsc13da.txt SCHEDULE 13D/AMENDMENT #5 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (Amendment No. 5)* RFP Express Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock - -------------------------------------------------------------------------------- (Title of Class of Securities) 74956R109 - -------------------------------------------------------------------------------- (CUSIP Number) Christopher J. Hubbert, Kohrman Jackson & Krantz P.L.L., 1375 E. 9th St., 20th Floor, Cleveland, OH 44114, 216-736-7215 - -------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) October 12, 2001 - -------------------------------------------------------------------------------- (Date of Event which Requires Filing of this Statement) If the filing person has previously filed a statement on Schedule 13G to report the acquisition which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(e), 13d-1(f) or 13d-1(g), check the following box. [_] Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Rule 13d-7 for other parties to whom copies are to be sent. *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 disclosures provided in a prior cover page. The information required on 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 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). Page 1 of 8 Pages SCHEDULE 13D CUSIP No. 74956R109 Page 2 of 8 Pages - ------------------------------------------------------------------------------ 1 NAME OF REPORTING PERSON S.S OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS NextGen Fund II, L.L.C. - ------------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [_] (b) [x] - ------------------------------------------------------------------------------ 3 SEC USE ONLY - ------------------------------------------------------------------------------ 4 SOURCE OF FUNDS* WC - ------------------------------------------------------------------------------ 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [_] - ------------------------------------------------------------------------------ 6 CITIZENSHIP OR PLACE OF ORGANIZATION Virginia - ------------------------------------------------------------------------------ 7 SOLE VOTING POWER NUMBER OF SHARES ----------------------------------------------------------- 8 SHARED VOTING POWER BENEFICIALLY OWNED BY 23,192,770 ----------------------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER REPORTING PERSON ----------------------------------------------------------- 10 SHARED DISPOSITIVE POWER WITH 23,192,770 - ------------------------------------------------------------------------------ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 23,192,770 - ------------------------------------------------------------------------------ 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* - ------------------------------------------------------------------------------ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 60.1% - ------------------------------------------------------------------------------ 14 TYPE OF REPORTING PERSON* OO - ------------------------------------------------------------------------------ SCHEDULE 13D CUSIP NO. 74956R109 Page 3 of 8 Pages - ------------------------------------------------------------------------------ 1 NAME OF REPORTING PERSON S.S. I.R.S. IDENTIFICATION NO. OF ABOVE PERSON. NextGen SBS Fund II, L.L.C. - ------------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [_] (b) [X] - ------------------------------------------------------------------------------ 3 SEC USE ONLY - ------------------------------------------------------------------------------ 4 SOURCE OF FUNDS* WC - ------------------------------------------------------------------------------ 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [_] - ------------------------------------------------------------------------------ 6 CITIZENSHIP OR PLACE OF ORGANIZATION Virginia - ------------------------------------------------------------------------------ 7 SOLE VOTING POWER NUMBER OF SHARES ----------------------------------------------------------- 8 SHARED VOTING POWER BENEFICIALLY OWNED BY 15,461,840 ----------------------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER REPORTING PERSON ----------------------------------------------------------- 10 SHARED DISPOSITIVE POWER WITH 15,461,840 - ------------------------------------------------------------------------------ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 15,461,840 - ------------------------------------------------------------------------------ 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [_] - ------------------------------------------------------------------------------ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 49.6% - ------------------------------------------------------------------------------ 14 TYPE OF REPORTING PERSON* OO - ------------------------------------------------------------------------------ SCHEDULE 13D CUSIP NO. 74956R109 Page 4 of 8 Pages - ------------------------------------------------------------------------------ 1 NAME OF REPORTING PERSON S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Zimri C. Putney - ------------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [_] (b) [X] - ------------------------------------------------------------------------------ 3 SEC USE ONLY ------------------------------------------------------------------------------ 4 SOURCE OF FUNDS* - ------------------------------------------------------------------------------ 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [_] - ------------------------------------------------------------------------------ 6 CITIZENSHIP OR PLACE OF ORGANIZATION United States of America - ------------------------------------------------------------------------------ NUMBER OF 7 SOLE VOTING POWER SHARES 400,000 ----------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY 38,654,610 ----------------------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER REPORTING 400,000 ----------------------------------------------------------- PERSON 10 SHARED DISPOSITIVE POWER WITH 38,654,610 - ------------------------------------------------------------------------------ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 39,054,610 - ------------------------------------------------------------------------------ 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [_] - ------------------------------------------------------------------------------ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 72.5% - ------------------------------------------------------------------------------ 14 TYPE OF REPORTING PERSON* IN - ------------------------------------------------------------------------------ SCHEDULE 13D CUSIP No. 74956R109 Page 5 of 8 Pages =============================================================================== NAMES OF REPORTING PERSONS 1 S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Michael W. Wynne - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [_] 2 (b) [x] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ SOURCE OF FUNDS* 4 oo - ------------------------------------------------------------------------------ 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [_] - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 6 United States of America - ------------------------------------------------------------------------------ SOLE VOTING POWER 7 NUMBER OF 2,800,000 SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 8 OWNED BY ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 9 REPORTING 2,800,000 PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 10 - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 11 2,800,000 - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN 12 SHARES* [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 13 15.0% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* 14 IN - ------------------------------------------------------------------------------ CUSIP No. 74956R109 Page 6 of 8 Pages This Amendment No. 5 to Schedule 13D ("Amendment No. 5") is filed on behalf of NextGen Fund II, L.L.C., a Virginia limited liability company ("NextGen"), NextGen SBS Fund II, L.L.C., a Virginia limited liability company ("NextGen SBS"), Zimri C. Putney, an individual, and Michael W. Wynne, an individual, for the purpose of reporting the exercise by NextGen and NextGen SBS of warrants to purchase a total of 1,500,000 shares of common stock, par value $0.001 per share (the "Common Stock"), of RFP Express Inc., a Delaware corporation previously known as The IXATA Group, Inc. ("RFP Express"). This Amendment No. 5 amends Schedule 13D, dated October 13, 2000, Amendment No. 1 to Schedule 13D, dated December 5, 2000, Amendment No. 2 to Schedule 13D, dated January 3, 2001, Amendment No. 3 to Schedule 13D, dated March 9, 2001, and Amendment No. 4 to Schedule 13D, dated June 15, 2001, of NextGen, NextGen SBS, Mr. Putney and Mr. Wynne. Item 3. Source and Amount of Funds or Other Consideration. Item 3 of Schedule 13D, as amended, is hereby amended and supplemented as follows: On October 12, 2001, NextGen exercised warrants to purchase 900,000 shares of Common Stock and NextGen SBS exercised warrants to purchase 600,000 shares of Common Stock at a price of $0.03 per share. Item 5. Interest in Securities of the Issuer. Items 5(a ) and 5(c) of Schedule 13D, as amended, are hereby amended and supplemented as follows: (a) NextGen is the sole direct beneficial owner of 900,000 shares of Common Stock and Series C Preferred Stock and Series C Warrants convertible into 22,292,770 shares of Common Stock, or 60.1% of RFP Express' outstanding Common Stock. NextGen SBS is the sole direct beneficial owner 600,000 shares of Common Stock and Series C Preferred Stock and Series C Warrants convertible into 14,861,840 shares of Common Stock, or 49.6% of RFP Express' outstanding Common Stock. Mr. Putney is the sole beneficial owner of Series C Preferred Stock and Series C Warrants convertible into 400,000 shares of Common Stock and may be deemed to be the indirect beneficial owner of the 38,654,610 shares held by NextGen and NextGen SBS, or 72.5% of RFP Express' outstanding Common Stock. Mr. Putney disclaims beneficial ownership of the 38,654,610 shares held by NextGen and NextGen SBS. Mr. Wynne is the sole beneficial owner of 500,000 shares of Common Stock, Series C Preferred Stock and Series C Warrants convertible into 1,800,000 shares of Common Stock and 500,000 options to purchase shares of Common Stock, or 15.0% of RFP Express' outstanding Common Stock. The percentage of Common Stock reported to be beneficially owned by NextGen, NextGen SBS, Mr. Putney and Mr. Wynne is based on 16,325,543 shares of RFP Express' Common Stock outstanding as of October 31, 2001, and is calculated in accordance with the Securities Exchange Act Rule 13d-3, which states that securities held by a person which are not outstanding but are CUSIP No. 74956R109 Page 7 of 8 Pages subject to warrants or conversion privileges shall be deemed to be outstanding for the purpose of computing the percentage of outstanding securities of a class owned by such person. (c) Except as described herein, none of the reporting persons has effected any transaction in Common Stock during the past 60 days. Item 7. Material to be Filed as Exhibits. Exhibit 7.1 Joint Filing Agreement CUSIP No. 74956R109 Page 8 of 8 Pages After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Dated: November 1, 2001 NEXTGEN FUND II, L.L.C. By: NextGen Capital, L.L.C. Managing Member By: /s/ Zimri C. Putney ---------------------------------- Zimri C. Putney, Managing Director NEXTGEN SBS FUND II, L.L.C. By: NextGen Capital, L.L.C. Managing Member By: /s/ Zimri C. Putney ---------------------------------- Zimri C. Putney, Managing Director /s/ Zimri C. Putney ---------------------------------- Zimri C. Putney, Individually /s/ Michael W. Wynne ---------------------------------- Michael W. Wynne, Individually EX-7.1 3 dex71.txt AGREEMENT OF JOINT FILING EXHIBIT 7.1 AGREEMENT OF JOINT FILING Pursuant to Rule 13d-1(k) promulgated under the Securities Exchange Act of 1934, as amended, the undersigned persons hereby agree to file with the Securities and Exchange Commission, the Statement on Schedule 13D (the "Statement") to which this Agreement is attached as an exhibit, and agree that such Statement, as so filed, is filed on behalf of each of them. This Agreement may be executed in counterparts, each of which when so executed shall be deemed to be an original, and all of which together shall be deemed to constitute one and the same instrument. IN WITNESS WHEREOF, the undersigned have executed this Agreement. Dated: November 1, 2001 NEXTGEN FUND II, L.L.C. By: NextGen Capital, L.L.C. Managing Member By: /s/ Zimri C. Putney ------------------------------------- Zimri C. Putney, Managing Director NEXTGEN SBS FUND II, L.L.C. By: NextGen Capital, L.L.C. Managing Member By: /s/ Zimri C. Putney ------------------------------------- Zimri C. Putney, Managing Director /s/ Zimri C. Putney ---------------------------------------- Zimri C. Putney, Individually /s/ Michael W. Wynne ---------------------------------------- Michael W. Wynne, Individually -----END PRIVACY-ENHANCED MESSAGE-----