Home/Filings/4/A/0001209191-03-027254

4/A//SEC Filing

TH LEE PUTNAM FUND ADVISORS LLC 4/A

Accession 0001209191-03-027254

CIK 0001002902other

View on SEC.gov Company Profile

Filed

Oct 28, 7:00 PM ET

Accepted

Oct 29, 6:13 AM ET

Size

46.3 KB

Accession

0001209191-03-027254

Insider Transaction Report

Form 4/AAmended

Period: 2003-10-24

VELOCITY EXPRESS CORPVEXP

TH LEE GLOBAL INTERNET ADVISORS LLC

10% Owner

Transactions

Purchase
Series I Convertible Preferred Stock
2003-10-24$1.50/sh+3,554,435$5,331,653→ 5,554,435 total(indirect: See footnote)
Exercise: $0.15→ Common Stock (55,544,350 underlying)

Holdings

Series G Convertible Preferred Stock
From: 2003-09-18→ Common Stock (1,803,098 underlying)
3,333,333
Series B Convertible Preferred Stock
(indirect: See footnote)
From: 2000-05-31→ Common Stock (10,475,546 underlying)
2,806,797
Series H Convertible Preferred Stock
(indirect: See footnote)
From: 2003-09-18→ Common Stock (4,375,552 underlying)
196,900
Series C Convertible Preferred Stock
(indirect: See footnote)
From: 2000-09-02→ Common Stock (5,154,903 underlying)
2,000,000
Series G Convertible Preferred Stock
(indirect: See footnote)
From: 2003-09-18→ Common Stock (1,803,098 underlying)
3,333,333
Series D Convertible Preferred Stock
(indirect: See footnote)
From: 2001-09-05→ Common Stock (6,346,529 underlying)
1,017,538
Series B Convertible Preferred Stock
From: 2000-05-31→ Common Stock (10,475,546 underlying)
2,806,797
Series C Convertible Preferred Stock
From: 2000-09-22→ Common Stock (5,154,903 underlying)
2,000,000
Series H Convertible Preferred Stock
From: 2003-09-18→ Common Stock (4,375,552 underlying)
196,900
Series D Convertible Preferred Stock
From: 2001-09-05→ Common Stock (6,346,529 underlying)
1,017,538

TH LEE PUTNAM FUND ADVISORS LP

10% Owner

Transactions

Purchase
Series I Convertible Preferred Stock
2003-10-24$1.50/sh+3,554,435$5,331,653→ 5,554,435 total(indirect: See footnote)
Exercise: $0.15→ Common Stock (55,544,350 underlying)

Holdings

Series B Convertible Preferred Stock
(indirect: See footnote)
From: 2000-05-31→ Common Stock (10,475,546 underlying)
2,806,797
Series C Convertible Preferred Stock
(indirect: See footnote)
From: 2000-09-02→ Common Stock (5,154,903 underlying)
2,000,000
Series D Convertible Preferred Stock
(indirect: See footnote)
From: 2001-09-05→ Common Stock (6,346,529 underlying)
1,017,538
Series D Convertible Preferred Stock
From: 2001-09-05→ Common Stock (6,346,529 underlying)
1,017,538
Series C Convertible Preferred Stock
From: 2000-09-22→ Common Stock (5,154,903 underlying)
2,000,000
Series B Convertible Preferred Stock
From: 2000-05-31→ Common Stock (10,475,546 underlying)
2,806,797
Series G Convertible Preferred Stock
From: 2003-09-18→ Common Stock (1,803,098 underlying)
3,333,333
Series G Convertible Preferred Stock
(indirect: See footnote)
From: 2003-09-18→ Common Stock (1,803,098 underlying)
3,333,333
Series H Convertible Preferred Stock
From: 2003-09-18→ Common Stock (4,375,552 underlying)
196,900
Series H Convertible Preferred Stock
(indirect: See footnote)
From: 2003-09-18→ Common Stock (4,375,552 underlying)
196,900

THLI CONIVESTMENT PARTNERS LLC

10% Owner

Transactions

Purchase
Series I Convertible Preferred Stock
2003-10-24$1.50/sh+3,554,435$5,331,653→ 5,554,435 total(indirect: See footnote)
Exercise: $0.15→ Common Stock (55,544,350 underlying)

Holdings

Series D Convertible Preferred Stock
From: 2001-09-05→ Common Stock (6,346,529 underlying)
1,017,538
Series B Convertible Preferred Stock
From: 2000-05-31→ Common Stock (10,475,546 underlying)
2,806,797
Series H Convertible Preferred Stock
From: 2003-09-18→ Common Stock (4,375,552 underlying)
196,900
Series G Convertible Preferred Stock
(indirect: See footnote)
From: 2003-09-18→ Common Stock (1,803,098 underlying)
3,333,333
Series B Convertible Preferred Stock
(indirect: See footnote)
From: 2000-05-31→ Common Stock (10,475,546 underlying)
2,806,797
Series C Convertible Preferred Stock
(indirect: See footnote)
From: 2000-09-02→ Common Stock (5,154,903 underlying)
2,000,000
Series C Convertible Preferred Stock
From: 2000-09-22→ Common Stock (5,154,903 underlying)
2,000,000
Series H Convertible Preferred Stock
(indirect: See footnote)
From: 2003-09-18→ Common Stock (4,375,552 underlying)
196,900
Series G Convertible Preferred Stock
From: 2003-09-18→ Common Stock (1,803,098 underlying)
3,333,333
Series D Convertible Preferred Stock
(indirect: See footnote)
From: 2001-09-05→ Common Stock (6,346,529 underlying)
1,017,538

TH LEE PUTNAM FUND ADVISORS LLC

10% Owner

Transactions

Purchase
Series I Convertible Preferred Stock
2003-10-24$1.50/sh+3,554,435$5,331,653→ 5,554,435 total(indirect: See footnote)
Exercise: $0.15→ Common Stock (55,544,350 underlying)

Holdings

Series C Convertible Preferred Stock
From: 2000-09-22→ Common Stock (5,154,903 underlying)
2,000,000
Series H Convertible Preferred Stock
From: 2003-09-18→ Common Stock (4,375,552 underlying)
196,900
Series D Convertible Preferred Stock
From: 2001-09-05→ Common Stock (6,346,529 underlying)
1,017,538
Series C Convertible Preferred Stock
(indirect: See footnote)
From: 2000-09-02→ Common Stock (5,154,903 underlying)
2,000,000
Series B Convertible Preferred Stock
From: 2000-05-31→ Common Stock (10,475,546 underlying)
2,806,797
Series D Convertible Preferred Stock
(indirect: See footnote)
From: 2001-09-05→ Common Stock (6,346,529 underlying)
1,017,538
Series G Convertible Preferred Stock
From: 2003-09-18→ Common Stock (1,803,098 underlying)
3,333,333
Series G Convertible Preferred Stock
(indirect: See footnote)
From: 2003-09-18→ Common Stock (1,803,098 underlying)
3,333,333
Series H Convertible Preferred Stock
(indirect: See footnote)
From: 2003-09-18→ Common Stock (4,375,552 underlying)
196,900
Series B Convertible Preferred Stock
(indirect: See footnote)
From: 2000-05-31→ Common Stock (10,475,546 underlying)
2,806,797

TH LEE PUTNAM INTERNET PARTNERS LP

10% Owner

Transactions

Purchase
Series I Convertible Preferred Stock
2003-10-24$1.50/sh+3,554,435$5,331,653→ 5,554,435 total(indirect: See footnote)
Exercise: $0.15→ Common Stock (55,544,350 underlying)

Holdings

Series C Convertible Preferred Stock
From: 2000-09-22→ Common Stock (5,154,903 underlying)
2,000,000
Series G Convertible Preferred Stock
(indirect: See footnote)
From: 2003-09-18→ Common Stock (1,803,098 underlying)
3,333,333
Series H Convertible Preferred Stock
(indirect: See footnote)
From: 2003-09-18→ Common Stock (4,375,552 underlying)
196,900
Series D Convertible Preferred Stock
(indirect: See footnote)
From: 2001-09-05→ Common Stock (6,346,529 underlying)
1,017,538
Series D Convertible Preferred Stock
From: 2001-09-05→ Common Stock (6,346,529 underlying)
1,017,538
Series G Convertible Preferred Stock
From: 2003-09-18→ Common Stock (1,803,098 underlying)
3,333,333
Series B Convertible Preferred Stock
(indirect: See footnote)
From: 2000-05-31→ Common Stock (10,475,546 underlying)
2,806,797
Series B Convertible Preferred Stock
From: 2000-05-31→ Common Stock (10,475,546 underlying)
2,806,797
Series H Convertible Preferred Stock
From: 2003-09-18→ Common Stock (4,375,552 underlying)
196,900
Series C Convertible Preferred Stock
(indirect: See footnote)
From: 2000-09-02→ Common Stock (5,154,903 underlying)
2,000,000

TH LEE GLOBAL INTERNET MANAGERS LP

10% Owner

Transactions

Purchase
Series I Convertible Preferred Stock
2003-10-24$1.50/sh+3,554,435$5,331,653→ 5,554,435 total(indirect: See footnote)
Exercise: $0.15→ Common Stock (55,544,350 underlying)

Holdings

Series B Convertible Preferred Stock
(indirect: See footnote)
From: 2000-05-31→ Common Stock (10,475,546 underlying)
2,806,797
Series B Convertible Preferred Stock
From: 2000-05-31→ Common Stock (10,475,546 underlying)
2,806,797
Series G Convertible Preferred Stock
From: 2003-09-18→ Common Stock (1,803,098 underlying)
3,333,333
Series C Convertible Preferred Stock
(indirect: See footnote)
From: 2000-09-02→ Common Stock (5,154,903 underlying)
2,000,000
Series D Convertible Preferred Stock
From: 2001-09-05→ Common Stock (6,346,529 underlying)
1,017,538
Series G Convertible Preferred Stock
(indirect: See footnote)
From: 2003-09-18→ Common Stock (1,803,098 underlying)
3,333,333
Series C Convertible Preferred Stock
From: 2000-09-22→ Common Stock (5,154,903 underlying)
2,000,000
Series H Convertible Preferred Stock
From: 2003-09-18→ Common Stock (4,375,552 underlying)
196,900
Series D Convertible Preferred Stock
(indirect: See footnote)
From: 2001-09-05→ Common Stock (6,346,529 underlying)
1,017,538
Series H Convertible Preferred Stock
(indirect: See footnote)
From: 2003-09-18→ Common Stock (4,375,552 underlying)
196,900

TH LEE PUTNAM PARALLEL VENTURES LP

10% Owner

Transactions

Purchase
Series I Convertible Preferred Stock
2003-10-24$1.50/sh+3,554,435$5,331,653→ 5,554,435 total(indirect: See footnote)
Exercise: $0.15→ Common Stock (55,544,350 underlying)

Holdings

Series G Convertible Preferred Stock
(indirect: See footnote)
From: 2003-09-18→ Common Stock (1,803,098 underlying)
3,333,333
Series C Convertible Preferred Stock
From: 2000-09-22→ Common Stock (5,154,903 underlying)
2,000,000
Series H Convertible Preferred Stock
From: 2003-09-18→ Common Stock (4,375,552 underlying)
196,900
Series C Convertible Preferred Stock
(indirect: See footnote)
From: 2000-09-02→ Common Stock (5,154,903 underlying)
2,000,000
Series B Convertible Preferred Stock
(indirect: See footnote)
From: 2000-05-31→ Common Stock (10,475,546 underlying)
2,806,797
Series H Convertible Preferred Stock
(indirect: See footnote)
From: 2003-09-18→ Common Stock (4,375,552 underlying)
196,900
Series B Convertible Preferred Stock
From: 2000-05-31→ Common Stock (10,475,546 underlying)
2,806,797
Series D Convertible Preferred Stock
From: 2001-09-05→ Common Stock (6,346,529 underlying)
1,017,538
Series G Convertible Preferred Stock
From: 2003-09-18→ Common Stock (1,803,098 underlying)
3,333,333
Series D Convertible Preferred Stock
(indirect: See footnote)
From: 2001-09-05→ Common Stock (6,346,529 underlying)
1,017,538

Footnotes (8)

[F1]This statement is being filed by each of the following persons (the "Reporting Persons") pursuant to Rule 16a-3(j) promulgated by the Securities and Exchange Commission (the "Commission") pursuant to Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"): (continued in footnote (2))
[F2](continued from footnote (1)) TH Lee Putnam Ventures, L.P. (f/k/a TH Lee.Putnam Internet Partners, L.P.), a Delaware limited partnership (the "Fund"), TH Lee Putnam Parallel Ventures, L.P., (f/k/a TH Lee.Putnam Internet Parallel Partners, L.P.), a Delaware limited partnership, (the "Non-U.S. Fund"), THLi Co Investment Partners, LLC, a Delaware limited liability corporation (the "Coinvestor"), Blue Star I, LLC., a Delaware limited liability company ("Blue Star"), TH Lee Putnam Fund Advisors, L.P. a Delaware limited partnership (the "Fund Advisor"), TH Lee Putnam Fund Advisors, LLC, a Delaware limited liability company (the "Fund Advisor GP"), TH Lee Global Internet Managers, L.P., a Delaware limited partnership, TH Lee Global Internet Advisers, LLC, a Delaware limited liability company, TH Lee Putnam Capital, L.P., a Delaware limited partnership, and Thomas H. Lee. (continued in footnote (3))
[F3](continued from footnote (2)) The Fund Advisor is the general partner of the U.S. Fund, the Non-U.S. Fund, and the Coinvestor. The Fund Advisor GP is the general partner of the Fund Advisor. Thomas H. Lee is the sole shareholder of Blue Star. The Fund, the Non-U.S. Fund, Blue Star and the Coinvestor directly hold the securities reported on Form 4. Each of the Fund the Non-U.S. Fund, Blue Star and the Coinvestor disclaim beneficial ownership as defined under Rule 16a-1(a)(2) under the Exchange Act, of the securities reported on this Form 4 except to the extent of their pecuniary interest therein.
[F4]Each of the Fund Manager, the Fund Manager GP, TH Lee Putnam Capital, L.P., the Fund Advisor, the Fund Advisor GP and Thomas H. Lee may be deemed to beneficially own, as defined under Rule 16a-1(a)(2) under the Exchange Act, the securities reported on this Form 4. Each of the Fund Manager, the Fund Manager GP, TH Lee Putnam Capital L.P., the Fund Advisor, the Fund Advisor GP and Thomas H. Lee disclaim beneficial ownership of the securities of the Issuer directly beneficially owned by the Fund, the Non-U.S. Fund, the Coinvestor and Blue Star, except to the extent of their respective pecuniary interests therein.
[F5]As a result of the issuance of Series I Convertible Preferred Stock, the number of shares of Common Stock into which the shares of Series B, Series C, Series D, Series G and Series H Convertible Preferred Stock are convertible upon exercise of such series of Convertible Preferred Stock increased pursuant to antidilution provisions in the preferred instruments.
[F6]Conversion of the Series I Convertible Preferred Stock into Common Stock requires shareholder approval.
[F7]The transaction is not an exercise or a conversion of derivative security.
[F8]None

Documents

2 files

Issuer

VELOCITY EXPRESS CORP

CIK 0001002902

→

Entity typeother

IncorporatedDE

Related Parties

filerCIK 0001268258

Filing Metadata

Form type: 4/A
Filed: Oct 28, 7:00 PM ET
Accepted: Oct 29, 6:13 AM ET
Size: 46.3 KB

View on SEC.gov