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4//SEC Filing

NEEDHAM CAPITAL PARTNERS II BERMUDA L P 4

Accession 0000919574-11-006529

CIK 0000813619other
View on SEC.govCompany Profile

Filed

Nov 24, 7:00 PM ET

Accepted

Nov 25, 3:06 PM ET

Size

70.9 KB

Accession

0000919574-11-006529

Insider Transaction Report

Form 4
Period: 2011-11-23
SOUTHWALL TECHNOLOGIES INC /DE/SWTX
NEEDHAM CAPITAL PARTNERS IIIA LP
10% Owner
Transactions
  • Conversion

    Series A 10% Cumulative Preferred Stock

    2011-11-23−0→ 0 total(indirect: See Footnote)
    → Common Stock (0 underlying)
  • Conversion

    Series A 10% Cumulative Preferred Stock

    2011-11-23−133,665→ 0 total
    → Common Stock (45,102 underlying)
  • Conversion

    Series A 10% Cumulative Preferred Stock

    2011-11-23−953,557→ 0 total
    → Common Stock (321,754 underlying)
  • Conversion

    Series A 10% Cumulative Preferred Stock

    2011-11-23−0→ 0 total(indirect: See Footnote)
    → Common Stock (0 underlying)
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23$13.60/sh−109,709$1,492,042→ 0 total
  • Conversion

    Common Stock, par value $0.001 per share

    2011-11-23+0→ 273,076 total(indirect: See Footnote)
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23−0→ 0 total(indirect: See Footnote)
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23$13.60/sh−1,370,152$18,634,067→ 0 total
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23−0→ 0 total(indirect: See Footnote)
  • Conversion

    Series A 10% Cumulative Preferred Stock

    2011-11-23−332,704→ 0 total
    → Common Stock (112,263 underlying)
  • Conversion

    Common Stock, par value $0.001 per share

    2011-11-23+321,754→ 782,657 total
  • Conversion

    Common Stock, par value $0.001 per share

    2011-11-23+563,276→ 1,370,152 total
  • Conversion

    Common Stock, par value $0.001 per share

    2011-11-23+58,173→ 141,504 total
  • Conversion

    Common Stock, par value $0.001 per share

    2011-11-23+0→ 141,504 total(indirect: See Footnote)
  • Conversion

    Common Stock, par value $0.001 per share

    2011-11-23+112,263→ 273,076 total
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23$13.60/sh−782,657$10,644,135→ 0 total
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23$13.60/sh−141,504$1,924,454→ 0 total
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23−0→ 0 total(indirect: See Footnote)
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23$13.60/sh−273,076$3,713,834→ 0 total
  • Conversion

    Series A 10% Cumulative Preferred Stock

    2011-11-23−172,402→ 0 total
    → Common Stock (58,173 underlying)
  • Conversion

    Series A 10% Cumulative Preferred Stock

    2011-11-23−0→ 0 total(indirect: See Footnote)
    → Common Stock (0 underlying)
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23−0→ 0 total(indirect: See Footnote)
  • Conversion

    Series A 10% Cumulative Preferred Stock

    2011-11-23−0→ 0 total(indirect: See Footnote)
    → Common Stock (0 underlying)
  • Conversion

    Common Stock, par value $0.001 per share

    2011-11-23+0→ 782,657 total(indirect: See Footnote)
  • Conversion

    Common Stock, par value $0.001 per share

    2011-11-23+0→ 1,370,152 total(indirect: See Footnote)
  • Conversion

    Common Stock, par value $0.001 per share

    2011-11-23+45,102→ 109,709 total
  • Conversion

    Common Stock, par value $0.001 per share

    2011-11-23+0→ 109,709 total(indirect: See Footnote)
  • Conversion

    Series A 10% Cumulative Preferred Stock

    2011-11-23−1,669,338→ 0 total
    → Common Stock (563,276 underlying)
  • Conversion

    Series A 10% Cumulative Preferred Stock

    2011-11-23−0→ 0 total(indirect: See Footnote)
    → Common Stock (0 underlying)
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23−0→ 0 total(indirect: See Footnote)
NEEDHAM CAPITAL MANAGEMENT BERMUDA LLC
10% Owner
Transactions
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23−0→ 0 total(indirect: See Footnote)
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23−0→ 0 total(indirect: See Footnote)
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23−0→ 0 total(indirect: See Footnote)
  • Conversion

    Series A 10% Cumulative Preferred Stock

    2011-11-23−953,557→ 0 total
    → Common Stock (321,754 underlying)
  • Conversion

    Series A 10% Cumulative Preferred Stock

    2011-11-23−0→ 0 total(indirect: See Footnote)
    → Common Stock (0 underlying)
  • Conversion

    Series A 10% Cumulative Preferred Stock

    2011-11-23−133,665→ 0 total
    → Common Stock (45,102 underlying)
  • Conversion

    Common Stock, par value $0.001 per share

    2011-11-23+58,173→ 141,504 total
  • Conversion

    Common Stock, par value $0.001 per share

    2011-11-23+45,102→ 109,709 total
  • Conversion

    Common Stock, par value $0.001 per share

    2011-11-23+0→ 273,076 total(indirect: See Footnote)
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23−0→ 0 total(indirect: See Footnote)
  • Conversion

    Series A 10% Cumulative Preferred Stock

    2011-11-23−1,669,338→ 0 total
    → Common Stock (563,276 underlying)
  • Conversion

    Common Stock, par value $0.001 per share

    2011-11-23+321,754→ 782,657 total
  • Conversion

    Common Stock, par value $0.001 per share

    2011-11-23+0→ 782,657 total(indirect: See Footnote)
  • Conversion

    Common Stock, par value $0.001 per share

    2011-11-23+0→ 1,370,152 total(indirect: See Footnote)
  • Conversion

    Common Stock, par value $0.001 per share

    2011-11-23+0→ 141,504 total(indirect: See Footnote)
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23−0→ 0 total(indirect: See Footnote)
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23$13.60/sh−141,504$1,924,454→ 0 total
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23$13.60/sh−109,709$1,492,042→ 0 total
  • Conversion

    Series A 10% Cumulative Preferred Stock

    2011-11-23−172,402→ 0 total
    → Common Stock (58,173 underlying)
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23$13.60/sh−1,370,152$18,634,067→ 0 total
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23$13.60/sh−273,076$3,713,834→ 0 total
  • Conversion

    Series A 10% Cumulative Preferred Stock

    2011-11-23−0→ 0 total(indirect: See Footnote)
    → Common Stock (0 underlying)
  • Conversion

    Series A 10% Cumulative Preferred Stock

    2011-11-23−332,704→ 0 total
    → Common Stock (112,263 underlying)
  • Conversion

    Common Stock, par value $0.001 per share

    2011-11-23+0→ 109,709 total(indirect: See Footnote)
  • Conversion

    Common Stock, par value $0.001 per share

    2011-11-23+112,263→ 273,076 total
  • Conversion

    Series A 10% Cumulative Preferred Stock

    2011-11-23−0→ 0 total(indirect: See Footnote)
    → Common Stock (0 underlying)
  • Conversion

    Common Stock, par value $0.001 per share

    2011-11-23+563,276→ 1,370,152 total
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23$13.60/sh−782,657$10,644,135→ 0 total
  • Conversion

    Series A 10% Cumulative Preferred Stock

    2011-11-23−0→ 0 total(indirect: See Footnote)
    → Common Stock (0 underlying)
  • Conversion

    Series A 10% Cumulative Preferred Stock

    2011-11-23−0→ 0 total(indirect: See Footnote)
    → Common Stock (0 underlying)
NEEDHAM CAPITAL PARTNERS II BERMUDA L P
10% Owner
Transactions
  • Conversion

    Common Stock, par value $0.001 per share

    2011-11-23+45,102→ 109,709 total
  • Conversion

    Common Stock, par value $0.001 per share

    2011-11-23+112,263→ 273,076 total
  • Conversion

    Common Stock, par value $0.001 per share

    2011-11-23+0→ 273,076 total(indirect: See Footnote)
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23−0→ 0 total(indirect: See Footnote)
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23−0→ 0 total(indirect: See Footnote)
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23$13.60/sh−141,504$1,924,454→ 0 total
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23$13.60/sh−109,709$1,492,042→ 0 total
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23$13.60/sh−273,076$3,713,834→ 0 total
  • Conversion

    Series A 10% Cumulative Preferred Stock

    2011-11-23−0→ 0 total(indirect: See Footnote)
    → Common Stock (0 underlying)
  • Conversion

    Common Stock, par value $0.001 per share

    2011-11-23+321,754→ 782,657 total
  • Conversion

    Common Stock, par value $0.001 per share

    2011-11-23+0→ 782,657 total(indirect: See Footnote)
  • Conversion

    Common Stock, par value $0.001 per share

    2011-11-23+0→ 1,370,152 total(indirect: See Footnote)
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23$13.60/sh−782,657$10,644,135→ 0 total
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23$13.60/sh−1,370,152$18,634,067→ 0 total
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23−0→ 0 total(indirect: See Footnote)
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23−0→ 0 total(indirect: See Footnote)
  • Conversion

    Series A 10% Cumulative Preferred Stock

    2011-11-23−953,557→ 0 total
    → Common Stock (321,754 underlying)
  • Conversion

    Series A 10% Cumulative Preferred Stock

    2011-11-23−1,669,338→ 0 total
    → Common Stock (563,276 underlying)
  • Conversion

    Series A 10% Cumulative Preferred Stock

    2011-11-23−0→ 0 total(indirect: See Footnote)
    → Common Stock (0 underlying)
  • Conversion

    Series A 10% Cumulative Preferred Stock

    2011-11-23−332,704→ 0 total
    → Common Stock (112,263 underlying)
  • Conversion

    Series A 10% Cumulative Preferred Stock

    2011-11-23−0→ 0 total(indirect: See Footnote)
    → Common Stock (0 underlying)
  • Conversion

    Series A 10% Cumulative Preferred Stock

    2011-11-23−0→ 0 total(indirect: See Footnote)
    → Common Stock (0 underlying)
  • Conversion

    Common Stock, par value $0.001 per share

    2011-11-23+563,276→ 1,370,152 total
  • Conversion

    Common Stock, par value $0.001 per share

    2011-11-23+58,173→ 141,504 total
  • Conversion

    Common Stock, par value $0.001 per share

    2011-11-23+0→ 141,504 total(indirect: See Footnote)
  • Conversion

    Common Stock, par value $0.001 per share

    2011-11-23+0→ 109,709 total(indirect: See Footnote)
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23−0→ 0 total(indirect: See Footnote)
  • Conversion

    Series A 10% Cumulative Preferred Stock

    2011-11-23−0→ 0 total(indirect: See Footnote)
    → Common Stock (0 underlying)
  • Conversion

    Series A 10% Cumulative Preferred Stock

    2011-11-23−172,402→ 0 total
    → Common Stock (58,173 underlying)
  • Conversion

    Series A 10% Cumulative Preferred Stock

    2011-11-23−133,665→ 0 total
    → Common Stock (45,102 underlying)
NEEDHAM CAPITAL PARTNERS III BERMUDA LP
10% Owner
Transactions
  • Conversion

    Common Stock, par value $0.001 per share

    2011-11-23+0→ 782,657 total(indirect: See Footnote)
  • Conversion

    Common Stock, par value $0.001 per share

    2011-11-23+58,173→ 141,504 total
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23$13.60/sh−109,709$1,492,042→ 0 total
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23$13.60/sh−273,076$3,713,834→ 0 total
  • Conversion

    Series A 10% Cumulative Preferred Stock

    2011-11-23−133,665→ 0 total
    → Common Stock (45,102 underlying)
  • Conversion

    Series A 10% Cumulative Preferred Stock

    2011-11-23−0→ 0 total(indirect: See Footnote)
    → Common Stock (0 underlying)
  • Conversion

    Common Stock, par value $0.001 per share

    2011-11-23+0→ 141,504 total(indirect: See Footnote)
  • Conversion

    Common Stock, par value $0.001 per share

    2011-11-23+0→ 109,709 total(indirect: See Footnote)
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23$13.60/sh−1,370,152$18,634,067→ 0 total
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23$13.60/sh−141,504$1,924,454→ 0 total
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23−0→ 0 total(indirect: See Footnote)
  • Conversion

    Series A 10% Cumulative Preferred Stock

    2011-11-23−953,557→ 0 total
    → Common Stock (321,754 underlying)
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23−0→ 0 total(indirect: See Footnote)
  • Conversion

    Common Stock, par value $0.001 per share

    2011-11-23+563,276→ 1,370,152 total
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23−0→ 0 total(indirect: See Footnote)
  • Conversion

    Series A 10% Cumulative Preferred Stock

    2011-11-23−0→ 0 total(indirect: See Footnote)
    → Common Stock (0 underlying)
  • Conversion

    Series A 10% Cumulative Preferred Stock

    2011-11-23−1,669,338→ 0 total
    → Common Stock (563,276 underlying)
  • Conversion

    Common Stock, par value $0.001 per share

    2011-11-23+321,754→ 782,657 total
  • Conversion

    Common Stock, par value $0.001 per share

    2011-11-23+45,102→ 109,709 total
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23$13.60/sh−782,657$10,644,135→ 0 total
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23−0→ 0 total(indirect: See Footnote)
  • Conversion

    Common Stock, par value $0.001 per share

    2011-11-23+0→ 1,370,152 total(indirect: See Footnote)
  • Conversion

    Common Stock, par value $0.001 per share

    2011-11-23+112,263→ 273,076 total
  • Conversion

    Common Stock, par value $0.001 per share

    2011-11-23+0→ 273,076 total(indirect: See Footnote)
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23−0→ 0 total(indirect: See Footnote)
  • Conversion

    Series A 10% Cumulative Preferred Stock

    2011-11-23−0→ 0 total(indirect: See Footnote)
    → Common Stock (0 underlying)
  • Conversion

    Series A 10% Cumulative Preferred Stock

    2011-11-23−172,402→ 0 total
    → Common Stock (58,173 underlying)
  • Conversion

    Series A 10% Cumulative Preferred Stock

    2011-11-23−0→ 0 total(indirect: See Footnote)
    → Common Stock (0 underlying)
  • Conversion

    Series A 10% Cumulative Preferred Stock

    2011-11-23−0→ 0 total(indirect: See Footnote)
    → Common Stock (0 underlying)
  • Conversion

    Series A 10% Cumulative Preferred Stock

    2011-11-23−332,704→ 0 total
    → Common Stock (112,263 underlying)
NEEDHAM CAPITAL MANAGMENT LLC
10% Owner
Transactions
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23−0→ 0 total(indirect: See Footnote)
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23$13.60/sh−141,504$1,924,454→ 0 total
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23$13.60/sh−273,076$3,713,834→ 0 total
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23−0→ 0 total(indirect: See Footnote)
  • Conversion

    Series A 10% Cumulative Preferred Stock

    2011-11-23−953,557→ 0 total
    → Common Stock (321,754 underlying)
  • Conversion

    Series A 10% Cumulative Preferred Stock

    2011-11-23−0→ 0 total(indirect: See Footnote)
    → Common Stock (0 underlying)
  • Conversion

    Series A 10% Cumulative Preferred Stock

    2011-11-23−0→ 0 total(indirect: See Footnote)
    → Common Stock (0 underlying)
  • Conversion

    Series A 10% Cumulative Preferred Stock

    2011-11-23−0→ 0 total(indirect: See Footnote)
    → Common Stock (0 underlying)
  • Conversion

    Series A 10% Cumulative Preferred Stock

    2011-11-23−332,704→ 0 total
    → Common Stock (112,263 underlying)
  • Conversion

    Common Stock, par value $0.001 per share

    2011-11-23+0→ 782,657 total(indirect: See Footnote)
  • Conversion

    Common Stock, par value $0.001 per share

    2011-11-23+563,276→ 1,370,152 total
  • Conversion

    Common Stock, par value $0.001 per share

    2011-11-23+58,173→ 141,504 total
  • Conversion

    Common Stock, par value $0.001 per share

    2011-11-23+45,102→ 109,709 total
  • Conversion

    Common Stock, par value $0.001 per share

    2011-11-23+0→ 109,709 total(indirect: See Footnote)
  • Conversion

    Common Stock, par value $0.001 per share

    2011-11-23+112,263→ 273,076 total
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23$13.60/sh−782,657$10,644,135→ 0 total
  • Conversion

    Series A 10% Cumulative Preferred Stock

    2011-11-23−0→ 0 total(indirect: See Footnote)
    → Common Stock (0 underlying)
  • Conversion

    Series A 10% Cumulative Preferred Stock

    2011-11-23−172,402→ 0 total
    → Common Stock (58,173 underlying)
  • Conversion

    Common Stock, par value $0.001 per share

    2011-11-23+321,754→ 782,657 total
  • Conversion

    Common Stock, par value $0.001 per share

    2011-11-23+0→ 1,370,152 total(indirect: See Footnote)
  • Conversion

    Common Stock, par value $0.001 per share

    2011-11-23+0→ 141,504 total(indirect: See Footnote)
  • Conversion

    Common Stock, par value $0.001 per share

    2011-11-23+0→ 273,076 total(indirect: See Footnote)
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23−0→ 0 total(indirect: See Footnote)
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23$13.60/sh−1,370,152$18,634,067→ 0 total
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23−0→ 0 total(indirect: See Footnote)
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23$13.60/sh−109,709$1,492,042→ 0 total
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23−0→ 0 total(indirect: See Footnote)
  • Conversion

    Series A 10% Cumulative Preferred Stock

    2011-11-23−1,669,338→ 0 total
    → Common Stock (563,276 underlying)
  • Conversion

    Series A 10% Cumulative Preferred Stock

    2011-11-23−133,665→ 0 total
    → Common Stock (45,102 underlying)
  • Conversion

    Series A 10% Cumulative Preferred Stock

    2011-11-23−0→ 0 total(indirect: See Footnote)
    → Common Stock (0 underlying)
NEEDHAM CAPITAL PARTNERS II L P
10% Owner
Transactions
  • Conversion

    Common Stock, par value $0.001 per share

    2011-11-23+563,276→ 1,370,152 total
  • Conversion

    Common Stock, par value $0.001 per share

    2011-11-23+0→ 1,370,152 total(indirect: See Footnote)
  • Conversion

    Common Stock, par value $0.001 per share

    2011-11-23+0→ 109,709 total(indirect: See Footnote)
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23−0→ 0 total(indirect: See Footnote)
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23−0→ 0 total(indirect: See Footnote)
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23$13.60/sh−273,076$3,713,834→ 0 total
  • Conversion

    Series A 10% Cumulative Preferred Stock

    2011-11-23−0→ 0 total(indirect: See Footnote)
    → Common Stock (0 underlying)
  • Conversion

    Series A 10% Cumulative Preferred Stock

    2011-11-23−1,669,338→ 0 total
    → Common Stock (563,276 underlying)
  • Conversion

    Common Stock, par value $0.001 per share

    2011-11-23+0→ 141,504 total(indirect: See Footnote)
  • Conversion

    Common Stock, par value $0.001 per share

    2011-11-23+45,102→ 109,709 total
  • Conversion

    Common Stock, par value $0.001 per share

    2011-11-23+0→ 273,076 total(indirect: See Footnote)
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23−0→ 0 total(indirect: See Footnote)
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23$13.60/sh−109,709$1,492,042→ 0 total
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23−0→ 0 total(indirect: See Footnote)
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23−0→ 0 total(indirect: See Footnote)
  • Conversion

    Common Stock, par value $0.001 per share

    2011-11-23+0→ 782,657 total(indirect: See Footnote)
  • Conversion

    Series A 10% Cumulative Preferred Stock

    2011-11-23−0→ 0 total(indirect: See Footnote)
    → Common Stock (0 underlying)
  • Conversion

    Series A 10% Cumulative Preferred Stock

    2011-11-23−953,557→ 0 total
    → Common Stock (321,754 underlying)
  • Conversion

    Series A 10% Cumulative Preferred Stock

    2011-11-23−0→ 0 total(indirect: See Footnote)
    → Common Stock (0 underlying)
  • Conversion

    Series A 10% Cumulative Preferred Stock

    2011-11-23−133,665→ 0 total
    → Common Stock (45,102 underlying)
  • Conversion

    Series A 10% Cumulative Preferred Stock

    2011-11-23−0→ 0 total(indirect: See Footnote)
    → Common Stock (0 underlying)
  • Conversion

    Series A 10% Cumulative Preferred Stock

    2011-11-23−0→ 0 total(indirect: See Footnote)
    → Common Stock (0 underlying)
  • Conversion

    Common Stock, par value $0.001 per share

    2011-11-23+321,754→ 782,657 total
  • Conversion

    Common Stock, par value $0.001 per share

    2011-11-23+58,173→ 141,504 total
  • Conversion

    Common Stock, par value $0.001 per share

    2011-11-23+112,263→ 273,076 total
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23$13.60/sh−782,657$10,644,135→ 0 total
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23$13.60/sh−1,370,152$18,634,067→ 0 total
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23$13.60/sh−141,504$1,924,454→ 0 total
  • Conversion

    Series A 10% Cumulative Preferred Stock

    2011-11-23−172,402→ 0 total
    → Common Stock (58,173 underlying)
  • Conversion

    Series A 10% Cumulative Preferred Stock

    2011-11-23−332,704→ 0 total
    → Common Stock (112,263 underlying)
NEEDHAM CAPITAL PARTNERS III LP
10% Owner
Transactions
  • Conversion

    Common Stock, par value $0.001 per share

    2011-11-23+321,754→ 782,657 total
  • Conversion

    Common Stock, par value $0.001 per share

    2011-11-23+0→ 273,076 total(indirect: See Footnote)
  • Conversion

    Common Stock, par value $0.001 per share

    2011-11-23+0→ 109,709 total(indirect: See Footnote)
  • Conversion

    Series A 10% Cumulative Preferred Stock

    2011-11-23−0→ 0 total(indirect: See Footnote)
    → Common Stock (0 underlying)
  • Conversion

    Series A 10% Cumulative Preferred Stock

    2011-11-23−332,704→ 0 total
    → Common Stock (112,263 underlying)
  • Conversion

    Series A 10% Cumulative Preferred Stock

    2011-11-23−0→ 0 total(indirect: See Footnote)
    → Common Stock (0 underlying)
  • Conversion

    Common Stock, par value $0.001 per share

    2011-11-23+58,173→ 141,504 total
  • Conversion

    Common Stock, par value $0.001 per share

    2011-11-23+0→ 141,504 total(indirect: See Footnote)
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23$13.60/sh−782,657$10,644,135→ 0 total
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23−0→ 0 total(indirect: See Footnote)
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23$13.60/sh−141,504$1,924,454→ 0 total
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23−0→ 0 total(indirect: See Footnote)
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23−0→ 0 total(indirect: See Footnote)
  • Conversion

    Series A 10% Cumulative Preferred Stock

    2011-11-23−953,557→ 0 total
    → Common Stock (321,754 underlying)
  • Conversion

    Series A 10% Cumulative Preferred Stock

    2011-11-23−1,669,338→ 0 total
    → Common Stock (563,276 underlying)
  • Conversion

    Series A 10% Cumulative Preferred Stock

    2011-11-23−172,402→ 0 total
    → Common Stock (58,173 underlying)
  • Conversion

    Series A 10% Cumulative Preferred Stock

    2011-11-23−133,665→ 0 total
    → Common Stock (45,102 underlying)
  • Conversion

    Common Stock, par value $0.001 per share

    2011-11-23+0→ 1,370,152 total(indirect: See Footnote)
  • Conversion

    Common Stock, par value $0.001 per share

    2011-11-23+112,263→ 273,076 total
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23$13.60/sh−1,370,152$18,634,067→ 0 total
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23−0→ 0 total(indirect: See Footnote)
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23$13.60/sh−109,709$1,492,042→ 0 total
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23$13.60/sh−273,076$3,713,834→ 0 total
  • Disposition from Tender

    Common Stock, par value $0.001 per share

    2011-11-23−0→ 0 total(indirect: See Footnote)
  • Conversion

    Series A 10% Cumulative Preferred Stock

    2011-11-23−0→ 0 total(indirect: See Footnote)
    → Common Stock (0 underlying)
  • Conversion

    Series A 10% Cumulative Preferred Stock

    2011-11-23−0→ 0 total(indirect: See Footnote)
    → Common Stock (0 underlying)
  • Conversion

    Series A 10% Cumulative Preferred Stock

    2011-11-23−0→ 0 total(indirect: See Footnote)
    → Common Stock (0 underlying)
  • Conversion

    Common Stock, par value $0.001 per share

    2011-11-23+0→ 782,657 total(indirect: See Footnote)
  • Conversion

    Common Stock, par value $0.001 per share

    2011-11-23+563,276→ 1,370,152 total
  • Conversion

    Common Stock, par value $0.001 per share

    2011-11-23+45,102→ 109,709 total
Footnotes (8)
  • [F1]The conversion is for an effective rate of 0.337426 shares of Southwall Technologies Inc.'s Common Stock, par value $.001 per share.
  • [F2]The reported securities are directly owned by Needham Capital Partners II, L.P., and may be deemed to be beneficially owned by Needham Capital Management, LLC ("NCM") by virtue of it serving as investment manager of Needham Capital Partners II, L.P. Mr. Needham may be deemed to beneficially own the reported securities by virtue of his position as Managing Member of NCM. NCM and Mr. Needham each disclaim beneficial ownership over the securities reported herein except to the extent of such Reporting Person's pecuniary interest therein.
  • [F3]The reported securities are directly owned by Needham Capital Partners III, L.P., and may be deemed to be beneficially owned by NCM by virtue of it serving as investment manager of Needham Capital Partners III, L.P. Mr. Needham may be deemed to beneficially own the reported securities by virtue of his position as Managing Member of NCM. NCM and Mr. Needham each disclaim beneficial ownership over the securities reported herein except to the extent of such Reporting Person's pecuniary interest therein.
  • [F4]The reported securities are directly owned by Needham Capital Partners IIIA, L.P., and may be deemed to be beneficially owned by NCM by virtue of it serving as investment manager of Needham Capital Partners IIIA, L.P. Mr. Needham may be deemed to beneficially own the reported securities by virtue of his position as Managing Member of NCM. NCM and Mr. Needham each disclaim beneficial ownership over the securities reported herein except to the extent of such Reporting Person's pecuniary interest therein.
  • [F5]The reported securities are directly owned by Needham Capital Partners II (Bermuda), L.P., and may be deemed to be beneficially owned by Needham Capital Management (Bermuda), LLC ("NCMB") by virtue of it serving as investment manager of Needham Capital Partners II (Bermuda), L.P. Mr. Needham may be deemed to beneficially own the reported securities by virtue of his position as Managing Member of NCMB. NCMB and Mr. Needham each disclaim beneficial ownership over the securities reported herein except to the extent of such Reporting Person's pecuniary interest therein.
  • [F6]The reported securities are directly owned by Needham Capital Partners III (Bermuda), L.P., and may be deemed to be beneficially owned by NCMB by virtue of it serving as investment manager of Needham Capital Partners III (Bermuda), L.P. Mr. Needham may be deemed to beneficially own the reported securities by virtue of his position as Managing Member of NCMB. NCMB and Mr. Needham each disclaim beneficial ownership over the securities reported herein except to the extent of such Reporting Person's pecuniary interest therein.
  • [F7]The Series A 10% Cumulative Preferred Stock is presently exercisable.
  • [F8]The Series A 10% Cumulative Preferred Stock does not have an expiration date for conversion.

Documents

1 file

Issuer

SOUTHWALL TECHNOLOGIES INC /DE/

CIK 0000813619

→
Entity typeother

Related Parties

1
  • filerCIK 0001280465

Filing Metadata

Form type
4
Filed
Nov 24, 7:00 PM ET
Accepted
Nov 25, 3:06 PM ET
Size
70.9 KB
View on SEC.gov