Hummer - DeltaPoint Schedule 13G Original - 1996

 

 

UNITED STATES

 

SECURITIES AND EXCHANGE COMMISSION

 

Washington, D.C. 20549

 

SCHEDULE 13G
(Rule 13d-102)

 

INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1 (b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2 (b)
(Amendment No. 1
)*

 

Active Power, Inc.

(Name of Issuer)

 

Common Stock

(Title of Class of Securities)

 

00504W100

(CUSIP Number)

 

December 31, 2001

(Date of Event Which Requires Filing of this Statement)

 

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

o

Rule 13d-1(b)

o

Rule 13d-1(c)

ý

Rule 13d-1(d)

 

*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 the disclosures provided in a prior cover page.

 

The information required in 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 ("Act") 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).

 

(Continued on following pages)

Exhibit Index on Page 12



 

 

CUSIP No.  00504W100

 

 

1.

Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only)
                Austin Ventures IV-A, L.P.
                Tax ID Number:

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

o

 

 

(b)

ý

 

 

3.

SEC Use Only

 

 

4.

Citizenship or Place of Organization
Delaware

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power
0 shares.

 

6.

Shared Voting Power
0 shares.

 

7.

Sole Dispositive Power
0 shares.

 

8.

Shared Dispositive Power
0 shares.

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
0

 

 

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)
o

 

 

11.

Percent of Class Represented by Amount in Row (9)
0.0%

 

 

12.

Type of Reporting Person (See Instructions)
PN

 

 

2



 

CUSIP No.  00504W100

 

 

1.

Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only)
                Austin Ventures IV-B, L.P.
                Tax ID Number:

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

o

 

 

(b)

ý

 

 

3.

SEC Use Only

 

 

4.

Citizenship or Place of Organization
Delaware

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power
0 shares.

 

6.

Shared Voting Power
0 shares.

 

7.

Sole Dispositive Power
0 shares.

 

8.

Shared Dispositive Power
0 shares.

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
0

 

 

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)
o

 

 

11.

Percent of Class Represented by Amount in Row (9)
0.0%

 

 

12.

Type of Reporting Person (See Instructions)
PN

 

 

3



 

 

CUSIP No.  00504W100

 

 

1.

Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only)
                AV Partners IV, L.P.
                Tax ID Number:

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

o

 

 

(b)

ý

 

 

3.

SEC Use Only

 

 

4.

Citizenship or Place of Organization
Delaware

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power
0 shares.

 

6.

Shared Voting Power
0 shares.

 

7.

Sole Dispositive Power
0 shares.

 

8.

Shared Dispositive Power
0 shares.

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
0

 

 

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)
o

 

 

11.

Percent of Class Represented by Amount in Row (9)
0.0%

 

 

12.

Type of Reporting Person (See Instructions)
PN

 

4



 

 

CUSIP No.  00504W100

 

 

1.

Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only)
                Joseph C. Aragona
                Tax ID Number:   

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

o

 

 

(b)

ý

 

 

3.

SEC Use Only

 

 

4.

Citizenship or Place of Organization
U.S. Citizen

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power
0 shares.

 

6.

Shared Voting Power
0 shares.

 

7.

Sole Dispositive Power
0 shares.

 

8.

Shared Dispositive Power
0 shares.

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
0

 

 

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)
o

 

 

11.

Percent of Class Represented by Amount in Row (9)
0.0%

 

 

12.

Type of Reporting Person (See Instructions)
IN

 

5



 

 

CUSIP No.  00504W100

 

 

1.

Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only)
                Kenneth P. DeAngelis
                Tax ID Number:   

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

o

 

 

(b)

ý

 

 

3.

SEC Use Only

 

 

4.

Citizenship or Place of Organization
U.S. Citizen

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power
0 shares.

 

6.

Shared Voting Power
0 shares.

 

7.

Sole Dispositive Power
0 shares.

 

8.

Shared Dispositive Power
0 shares.

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
0

 

 

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)
o

 

 

11.

Percent of Class Represented by Amount in Row (9)
0.0%

 

 

12.

Type of Reporting Person (See Instructions)
IN

 

 

6



 

CUSIP No.  00504W100

 

 

1.

Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only)
                Jeffery C. Garvey
                Tax ID Number:   

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

o

 

 

(b)

ý

 

 

3.

SEC Use Only

 

 

4.

Citizenship or Place of Organization
U.S. Citizen

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power
0 shares.

 

6.

Shared Voting Power
0 shares.

 

7.

Sole Dispositive Power
0 shares.

 

8.

Shared Dispositive Power
0 shares.

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
0

 

 

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)
o

 

 

11.

Percent of Class Represented by Amount in Row (9)
0.0%

 

 

12.

Type of Reporting Person (See Instructions)
IN

 

 

7



 

CUSIP No.  00504W100

 

 

1.

Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only)
                William P. Wood (“Wood”)
                Tax ID Number:   

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

o

 

 

(b)

ý

 

 

3.

SEC Use Only

 

 

4.

Citizenship or Place of Organization
U.S. Citizen

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power
67,517 shares, all of which are directly owned by Silverton Partners, L.P. (“Silverton”), a Texas limited partnership, and Wood, the sole general partner of Silverton, may be deemed to have sole power to vote these shares.

 

6.

Shared Voting Power
0 shares.

 

7.

Sole Dispositive Power
67,517 shares, all of which are directly owned by Silverton, and Wood, the sole general partner of Silverton, may be deemed to have sole power to dispose of these shares.

 

8.

Shared Dispositive Power
0 shares.

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
67,517

 

 

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)
o

 

 

11.

Percent of Class Represented by Amount in Row (9)
0.2%

 

 

12.

Type of Reporting Person (See Instructions)
IN

 

 

8



 

This statement amends the Statement on 13(G) filed by Austin Ventures IV-A, L.P., Austin Ventures IV-B, L.P., AV Partners IV, L.P., Joseph C. Aragona, Kenneth P. DeAngelis, Jeffery C. Garvey and William P. Wood, the general partners of AVP IV.  The foregoing entities and individuals are collectively referred to as the “Reporting Persons.”

 

Item 4.

Ownership.

The following information with respect to the ownership of the Common Stock of the issuer by the persons filing this Statement is provided as of December 31, 2001:

 

(a)

Amount beneficially owned:         

 

 

See Row 9 of cover page for each Reporting Person.

 

(b)

Percent of class:         

 

 

See Row 11 of cover page for each Reporting Person.

 

(c)

Number of shares as to which the person has:

 

 

 

 

 

(i)

Sole power to vote or to direct the vote:         

 

 

 

See Row 5 of cover page for each Reporting Person.

 

 

(ii)

Shared power to vote or to direct the vote:         

 

 

 

See Row 6 of cover page for each Reporting Person.

 

 

(iii)

Sole power to dispose or to direct the disposition of:      

 

 

 

See Row 7 of cover page for each Reporting Person.

 

 

(iv)

Shared power to dispose or to direct the disposition of:         

 

 

 

See Row 8 of cover page for each Reporting Person.

 

Item 5.

Ownership of Five Percent or Less of a Class

If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following:       ý Yes

 

 

9



 

Signatures

                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:  February 11, 2002

 

AUSTIN VENTURES IV-A, L.P.

/s/ John Nicholson

 

 

By AV Partners IV, L.P.,

Signature

 

 

Its General Partner

 

 

 

 

John Nicholson

 

 

 

Chief Financial Officer/Attorney-In-Fact

 

 

 

 

 

 

AUSTIN VENTURES IV-B, L.P.

/s/ John Nicholson

 

 

By AV Partners IV, L.P.,

Signature

 

 

Its General Partner

 

 

 

 

John Nicholson

 

 

 

Chief Financial Officer/Attorney-In-Fact

 

 

 

 

 

 

AV PARTNERS IV, L.P.

/s/ John Nicholson

 

 

Signature

 

 

 

 

 

John Nicholson

 

 

Chief Financial Officer/Attorney-In-Fact

 

 

 

 

JOSEPH C. ARAGONA

/s/ John Nicholson

 

 

Signature

 

 

 

 

 

John Nicholson

 

 

Chief Financial Officer/Attorney-In-Fact

 

 

 

 

KENNETH P. DeANGELIS

/s/ John Nicholson

 

 

Signature

 

 

 

 

 

John Nicholson

 

 

Chief Financial Officer/Attorney-In-Fact

 

 

10



 

JEFFERY C. GARVEY

/s/ John Nicholson

 

 

Signature

 

 

 

 

 

John Nicholson

 

 

Chief Financial Officer/Attorney-In-Fact

 

 

 

 

WILLIAM P. WOOD

/s/ John Nicholson

 

 

Signature

 

 

 

 

 

John Nicholson

 

 

Chief Financial Officer/Attorney-In-Fact

 

 

 

 

 

 

11



 

EXHIBIT INDEX

Exhibit

 

Exhibit A:  Agreement of Joint Filing

 

Exhibit B: Reference to John Nicholson as Attorney-In-Fact

 

 

 

12



 

EXHIBIT A

 

Agreement of Joint Filing

 

                                The Reporting Persons hereby agree that a single Schedule 13G (or any amendment thereto) relating to the Common Stock of Active Power, Inc. shall be filed on behalf of each of the Reporting Persons. Note that copies of the applicable Agreement of Joint Filing are already on file with the appropriate agencies.

 

13



 

EXHIBIT B

REFERENCE TO JOHN NICHOLSON AS ATTORNEY-IN-FACT

 

                John Nicholson has signed the enclosed documents as Attorney-In-Fact. Note that copies of the applicable Power of Attorneys are already on file with the appropriate agencies.

 

 

14