NEEDHAM & CO INC 4

Accession 0001012975-04-000131

CIK 0000813619other

Filed

Apr 22, 8:00 PM ET

Accepted

Apr 23, 4:34 PM ET

Size

27.6 KB

Accession

0001012975-04-000131

Form 4

Period: 2003-12-18

10% Owner

Transactions

Other
Warrant (right to buy)
2004-01-30−1,235→ 3,467 total
Exercise: $0.01Exp: 2009-01-30→ Common Stock (1,235 underlying)
Award
Warrant (right to buy)
2004-01-30+4,702→ 4,702 total
Exercise: $0.01Exp: 2009-01-30→ Common Stock (4,702 underlying)
Other
Warrant (right to buy)
2003-12-18−5,772→ 648,189 total
Exercise: $0.01Exp: 2008-12-18→ Common Stock (5,772 underlying)
Award
Warrant (right to buy)
2004-01-15+941,115→ 941,115 total
Exercise: $0.01Exp: 2009-01-15→ Common Stock (941,114 underlying)
Award
Warrant (right to buy)
2004-01-19+10,082→ 10,082 total
Exercise: $0.01Exp: 2009-01-19→ Common Stock (10,082 underlying)
Other
Warrant (right to buy)
2004-01-19−2,649→ 7,433 total
Exercise: $0.01Exp: 2009-01-19→ Common Stock (2,649 underlying)
Other
Warrant (right to buy)
2003-12-18−313,705→ 627,410 total
Exercise: $0.01Exp: 2008-12-18→ Common Stock (313,705 underlying)
Other
Warrant (right to buy)
2004-01-15−313,705→ 627,410 total
Exercise: $0.01Exp: 2009-01-15→ Common Stock (313,705 underlying)
Award
Warrant (right to buy)
2003-12-18+26,551→ 653,961 total
Exercise: $0.01Exp: 2008-12-18→ Common Stock (26,551 underlying)

10% Owner

Transactions

Other
Warrant (right to buy)
2004-01-19−2,649→ 7,433 total
Exercise: $0.01Exp: 2009-01-19→ Common Stock (2,649 underlying)
Award
Warrant (right to buy)
2004-01-30+4,702→ 4,702 total
Exercise: $0.01Exp: 2009-01-30→ Common Stock (4,702 underlying)
Award
Warrant (right to buy)
2003-12-18+26,551→ 653,961 total
Exercise: $0.01Exp: 2008-12-18→ Common Stock (26,551 underlying)
Other
Warrant (right to buy)
2004-01-15−313,705→ 627,410 total
Exercise: $0.01Exp: 2009-01-15→ Common Stock (313,705 underlying)
Award
Warrant (right to buy)
2004-01-19+10,082→ 10,082 total
Exercise: $0.01Exp: 2009-01-19→ Common Stock (10,082 underlying)
Other
Warrant (right to buy)
2003-12-18−5,772→ 648,189 total
Exercise: $0.01Exp: 2008-12-18→ Common Stock (5,772 underlying)
Award
Warrant (right to buy)
2004-01-15+941,115→ 941,115 total
Exercise: $0.01Exp: 2009-01-15→ Common Stock (941,114 underlying)
Other
Warrant (right to buy)
2003-12-18−313,705→ 627,410 total
Exercise: $0.01Exp: 2008-12-18→ Common Stock (313,705 underlying)
Other
Warrant (right to buy)
2004-01-30−1,235→ 3,467 total
Exercise: $0.01Exp: 2009-01-30→ Common Stock (1,235 underlying)

10% Owner

Transactions

Other
Warrant (right to buy)
2003-12-18−5,772→ 648,189 total
Exercise: $0.01Exp: 2008-12-18→ Common Stock (5,772 underlying)
Award
Warrant (right to buy)
2004-01-19+10,082→ 10,082 total
Exercise: $0.01Exp: 2009-01-19→ Common Stock (10,082 underlying)
Other
Warrant (right to buy)
2004-01-15−313,705→ 627,410 total
Exercise: $0.01Exp: 2009-01-15→ Common Stock (313,705 underlying)
Award
Warrant (right to buy)
2003-12-18+26,551→ 653,961 total
Exercise: $0.01Exp: 2008-12-18→ Common Stock (26,551 underlying)
Award
Warrant (right to buy)
2004-01-30+4,702→ 4,702 total
Exercise: $0.01Exp: 2009-01-30→ Common Stock (4,702 underlying)
Other
Warrant (right to buy)
2004-01-19−2,649→ 7,433 total
Exercise: $0.01Exp: 2009-01-19→ Common Stock (2,649 underlying)
Other
Warrant (right to buy)
2003-12-18−313,705→ 627,410 total
Exercise: $0.01Exp: 2008-12-18→ Common Stock (313,705 underlying)
Award
Warrant (right to buy)
2004-01-15+941,115→ 941,115 total
Exercise: $0.01Exp: 2009-01-15→ Common Stock (941,114 underlying)
Other
Warrant (right to buy)
2004-01-30−1,235→ 3,467 total
Exercise: $0.01Exp: 2009-01-30→ Common Stock (1,235 underlying)

10% Owner

Transactions

Other
Warrant (right to buy)
2004-01-15−313,705→ 627,410 total
Exercise: $0.01Exp: 2009-01-15→ Common Stock (313,705 underlying)
Award
Warrant (right to buy)
2003-12-18+26,551→ 653,961 total
Exercise: $0.01Exp: 2008-12-18→ Common Stock (26,551 underlying)
Award
Warrant (right to buy)
2004-01-15+941,115→ 941,115 total
Exercise: $0.01Exp: 2009-01-15→ Common Stock (941,114 underlying)
Other
Warrant (right to buy)
2003-12-18−5,772→ 648,189 total
Exercise: $0.01Exp: 2008-12-18→ Common Stock (5,772 underlying)
Other
Warrant (right to buy)
2004-01-19−2,649→ 7,433 total
Exercise: $0.01Exp: 2009-01-19→ Common Stock (2,649 underlying)
Award
Warrant (right to buy)
2004-01-30+4,702→ 4,702 total
Exercise: $0.01Exp: 2009-01-30→ Common Stock (4,702 underlying)
Other
Warrant (right to buy)
2004-01-30−1,235→ 3,467 total
Exercise: $0.01Exp: 2009-01-30→ Common Stock (1,235 underlying)
Other
Warrant (right to buy)
2003-12-18−313,705→ 627,410 total
Exercise: $0.01Exp: 2008-12-18→ Common Stock (313,705 underlying)
Award
Warrant (right to buy)
2004-01-19+10,082→ 10,082 total
Exercise: $0.01Exp: 2009-01-19→ Common Stock (10,082 underlying)

Footnotes (2)

[F1]This Form 4 is filed by Needham & Company, Inc. ("Needham") on behalf of itself and the joint filers identified on the signature pages hereto to disclose that Needham: (a) obtained the reported warrants pursuant to loan guaranties it provided to the Issuer and (b) transferred one-third of such warrants to Dolphin Equity Partners, L.P. ("Dolphin") at Needham's cost in connection with Dolphin's agreement to provide funds in connection with such loan guaranties. Needham disclaims beneficial ownership of the portion of the warrants obtained and transferred to Dolphin.
[F2]Immediately exercisable.

Documents

1 file

SOUTHWALL TECHNOLOGIES INC /DE/

CIK 0000813619

Entity typeother

IncorporatedDE