-----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, C1NZ1Nm5Z3wrAh5vpgJX1+I/NUNChCQXkUf2us5dG7+3tQP4e7k9IUlZLkUfYX+F 2SbaxosYB3HIjGr+DcRnqg== 0001021408-02-014648.txt : 20021127 0001021408-02-014648.hdr.sgml : 20021127 20021127115613 ACCESSION NUMBER: 0001021408-02-014648 CONFORMED SUBMISSION TYPE: SC 13D PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20021127 GROUP MEMBERS: MICHAEL W. WYNNE GROUP MEMBERS: NEXTGEN SBS FUND II, L.L.C. GROUP MEMBERS: ZIMRI C. PUTNEY SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: NEXTGEN FUND II LLC CENTRAL INDEX KEY: 0001126610 IRS NUMBER: 541962916 STATE OF INCORPORATION: VA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D SEC ACT: 1934 Act SEC FILE NUMBER: 005-62189 FILM NUMBER: 02842554 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 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: SECURFONE AMERICA INC DATE OF NAME CHANGE: 19971114 FORMER COMPANY: FORMER CONFORMED NAME: MATERIAL TECHNOLOGY INC DATE OF NAME CHANGE: 19970326 FORMER COMPANY: FORMER CONFORMED NAME: MATERIAL TECHNOLOGIES INC DATE OF NAME CHANGE: 19970313 FORMER COMPANY: FORMER CONFORMED NAME: IXATA GROUP INC DATE OF NAME CHANGE: 20000207 SC 13D 1 dsc13d.txt SCHEDULE 13D 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 RULE 13d-2(a) (Amendment No. 6) 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 East 9/th/ Street, 20/th/ Fl., Cleveland, OH 44114 ---------------------------------------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications)
August 15, 2002 ------------------------------------------------------------ (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(b) 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 - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON NextGen Fund II, L.L.C. - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [__] (b) [__] - -------------------------------------------------------------------------------- 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 - -------------------------------------------------------------------------------- NUMBER OF 7 SOLE VOTING POWER SHARES ----------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY 48,522,069.8 ----------------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER REPORTING ----------------------------------------------------- PERSON 10 SHARED DISPOSITIVE POWER WITH 48,522,069.8 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 48,522,069.8 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [__] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 74.3% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* OO - ------------------------------------------------------------------------------- SCHEDULE 13D CUSIP No. 74956R109 Page 3 of 8 - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR 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) [__] (c) [__] - -------------------------------------------------------------------------------- 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 - -------------------------------------------------------------------------------- NUMBER OF 7 SOLE VOTING POWER SHARES --------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY 32,348,033.2 --------------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER REPORTING --------------------------------------------------- PERSON 10 SHARED DISPOSITIVE POWER WITH 32,348,033.2 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 32,348,033.2 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [__] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 65.6% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* OO - -------------------------------------------------------------------------------- SCHEDULE 13D CUSIP No. 74956R109 Page 4 of 8 - -------------------------------------------------------------------------------- 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) [__] (d) [__] - -------------------------------------------------------------------------------- 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 800,000 ------------------------------------------------ BENEFICIALLY 8 SHARED VOTING POWER OWNED BY 80,870,103/1/ ------------------------------------------------ EACH 9 SOLE DISPOSITIVE POWER REPORTING 800,000 ------------------------------------------------ PERSON 10 SHARED DISPOSITIVE POWER WITH 80,870,103/1/ - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 81,670,103/1/ - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [__] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 83.4% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- ______________________________ /1/ 80,870,103 shares held by NextGen and NextGen SBS of which Mr. Putney disclaims beneficial ownership. SCHEDULE 13D CUSIP No. 74956R109 Page 5 of 8 - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Michael W. Wynne - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [_] (e) [_] - -------------------------------------------------------------------------------- 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 4,600,000 ---------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY EACH ---------------------------------- 9 SOLE DISPOSITIVE POWER REPORTING 4,600,000 ---------------------------------- PERSON 10 SHARED DISPOSITIVE POWER WITH - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 4,600,000 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [_] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 21.1% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- CUSIP No. 74956R109 Page 6 of 8 This Amendment No. 6 to Schedule 13D 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, is being filed for the purpose of reporting the issuance of notes to each of NextGen and NextGen SBS which are convertible into shares of Series C Convertible Preferred Stock, par value $0.001 per share (the "Series C Preferred Stock"), of RFP Express Inc., a Delaware corporation ("RFP Express"). Each share of Series C Preferred Stock is convertible without additional consideration into 20 shares of common stock, par value $0.001 per share (the "Common Stock"), of RFP Express, subject to adjustment for stock splits, stock dividends and other recapitalizations and reorganizations. 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 August 15, 2002, RFP Express issued a note to NextGen in the principal amount of $151,826.49, which is convertible at the option of NextGen at any time prior to December 24, 2003 into 151,826.49 shares of Series C Preferred Stock at a price per share of $1.00. Also on August 15, 2002, RFP Express issued a note to NextGen SBS in the principal amount of $101,217.66, which is convertible at the option of NextGen at any time prior to December 24, 2003 into 101,217.66 shares of Series C Preferred Stock at a price per share of $1.00. 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, Series C Preferred Stock, Series C Warrants and a note convertible into 47,622,069.8 shares of Common Stock, or 74.3% of RFP Express' outstanding Common Stock. NextGen SBS is the sole direct beneficial owner of 600,000 shares of Common Stock, Series C Preferred Stock, Series C Warrants and a note convertible into 31,748,033.2 shares of Common Stock, or 65.6% of RFP Express' Common Stock. Mr. Putney is the sole beneficial owner of Series C 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 80,870,103 shares held by NextGen and NextGen SBS, or 83.4% of RFP Express' outstanding Common Stock. Mr. Putney disclaims beneficial ownership of 80,870,103 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 3,600,000 shares of Common Stock and 500,000 options to purchase shares of Common Stock, or 21.1% if 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 17,710,383 shares of RFP Express' Common Stock outstanding as of November 19, 2002, 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 subject to warrants or conversion privileges shall be deemed to be outstanding securities of a class owned by such person. CUSIP No. 74956R109 Page 7 of 8 (c) Except as described herein, none of the reporting persons has effected any transaction in Common Stock in the past 60 days. Item 7. Material to be Filed as Exhibits. Exhibit 7.1 Joint Filing Agreement 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. Date: November 25, 2002 NextGen Fund II, L.L.C. By: NextGen Capital, L.L.C. Managing Member /s/ Zimri C. Putney --------------------------------------- By: Zimri C. Putney, Managing Director NextGen SBS Fund II, L.L.C. By: NextGen Capital, L.L.C. Managing Member /s/ Zimri C. Putney --------------------------------------- By: 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 JOINT FILING AGREEMENT 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. Date: November 25, 2002 NextGen Fund II, L.L.C. By: NextGen Capital, L.L.C. Managing Member /s/ Zimri C. Putney -------------------------------------- By: Zimri C. Putney, Managing Director NextGen SBS Fund II, L.L.C. By: NextGen Capital, L.L.C. Managing Member /s/ Zimri C. Putney -------------------------------------- By: Zimri C. Putney, Managing Director /s/ Zimri C. Putney -------------------------------------- Zimri C. Putney, individually /s/ Michael W. Wynne -------------------------------------- Michael W. Wynne, individually Page 8 of 8 -----END PRIVACY-ENHANCED MESSAGE-----