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UNITED STATES |
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SECURITIES AND EXCHANGE COMMISSION |
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Washington, D.C. 20549 |
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SCHEDULE 13G |
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 |
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1. |
Names of Reporting Persons. I.R.S.
Identification Nos. of above persons (entities only) |
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2. |
Check the Appropriate Box if a Member of a Group (See Instructions) |
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(a) |
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(b) |
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3. |
SEC Use Only |
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4. |
Citizenship or Place of
Organization |
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Number of |
5. |
Sole Voting Power |
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6. |
Shared Voting Power |
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7. |
Sole Dispositive Power |
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8. |
Shared Dispositive
Power |
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9. |
Aggregate Amount Beneficially Owned
by Each Reporting Person |
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10. |
Check if the Aggregate Amount in
Row (9) Excludes Certain Shares (See Instructions) |
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11. |
Percent of Class Represented by
Amount in Row (9) |
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12. |
Type of Reporting Person (See
Instructions) |
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2
CUSIP No. 00504W100 |
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1. |
Names of Reporting Persons. I.R.S.
Identification Nos. of above persons (entities only) |
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2. |
Check the Appropriate Box if a Member of a Group (See Instructions) |
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(a) |
o |
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(b) |
ý |
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3. |
SEC Use Only |
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4. |
Citizenship or Place of
Organization |
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Number of |
5. |
Sole Voting Power |
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6. |
Shared Voting Power |
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7. |
Sole Dispositive Power |
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8. |
Shared Dispositive
Power |
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9. |
Aggregate Amount Beneficially Owned
by Each Reporting Person |
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10. |
Check if the Aggregate Amount in
Row (9) Excludes Certain Shares (See Instructions) |
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11. |
Percent of Class Represented by
Amount in Row (9) |
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12. |
Type of Reporting Person (See
Instructions) |
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3
CUSIP No. 00504W100 |
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1. |
Names of Reporting Persons. I.R.S.
Identification Nos. of above persons (entities only) |
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2. |
Check the Appropriate Box if a Member of a Group (See Instructions) |
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(a) |
o |
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(b) |
ý |
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3. |
SEC Use Only |
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4. |
Citizenship or Place of
Organization |
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Number of |
5. |
Sole Voting Power |
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6. |
Shared Voting Power |
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7. |
Sole Dispositive Power |
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8. |
Shared Dispositive
Power |
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9. |
Aggregate Amount Beneficially Owned
by Each Reporting Person |
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10. |
Check if the Aggregate Amount in
Row (9) Excludes Certain Shares (See Instructions) |
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11. |
Percent of Class Represented by
Amount in Row (9) |
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12. |
Type of Reporting Person (See
Instructions) |
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4
CUSIP No. 00504W100 |
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1. |
Names of Reporting Persons. I.R.S.
Identification Nos. of above persons (entities only) |
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2. |
Check the Appropriate Box if a Member of a Group (See Instructions) |
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(a) |
o |
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(b) |
ý |
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3. |
SEC Use Only |
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4. |
Citizenship or Place of
Organization |
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Number of |
5. |
Sole Voting Power |
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6. |
Shared Voting Power |
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7. |
Sole Dispositive Power |
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8. |
Shared Dispositive
Power |
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9. |
Aggregate Amount Beneficially Owned
by Each Reporting Person |
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10. |
Check if the Aggregate Amount in
Row (9) Excludes Certain Shares (See Instructions) |
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11. |
Percent of Class Represented by
Amount in Row (9) |
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12. |
Type of Reporting Person (See
Instructions) |
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5
CUSIP No. 00504W100 |
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1. |
Names of Reporting Persons. I.R.S.
Identification Nos. of above persons (entities only) |
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2. |
Check the Appropriate Box if a Member of a Group (See Instructions) |
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(a) |
o |
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(b) |
ý |
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3. |
SEC Use Only |
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4. |
Citizenship or Place of
Organization |
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Number of |
5. |
Sole Voting Power |
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6. |
Shared Voting Power |
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7. |
Sole Dispositive Power |
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8. |
Shared Dispositive
Power |
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9. |
Aggregate Amount Beneficially Owned
by Each Reporting Person |
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10. |
Check if the Aggregate Amount in
Row (9) Excludes Certain Shares (See Instructions) |
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11. |
Percent of Class Represented by
Amount in Row (9) |
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12. |
Type of Reporting Person (See
Instructions) |
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6
CUSIP No. 00504W100 |
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1. |
Names of Reporting Persons. I.R.S.
Identification Nos. of above persons (entities only) |
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2. |
Check the Appropriate Box if a Member of a Group (See Instructions) |
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(a) |
o |
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(b) |
ý |
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3. |
SEC Use Only |
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4. |
Citizenship or Place of
Organization |
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Number of |
5. |
Sole Voting Power |
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6. |
Shared Voting Power |
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7. |
Sole Dispositive Power |
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8. |
Shared Dispositive
Power |
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9. |
Aggregate Amount Beneficially Owned
by Each Reporting Person |
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10. |
Check if the Aggregate Amount in Row
(9) Excludes Certain Shares (See Instructions) |
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11. |
Percent of Class Represented by
Amount in Row (9) |
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12. |
Type of Reporting Person (See
Instructions) |
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7
CUSIP No. 00504W100 |
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1. |
Names of Reporting Persons. I.R.S.
Identification Nos. of above persons (entities only) |
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|
2. |
Check the Appropriate Box if a Member of a Group (See Instructions) |
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(a) |
o |
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(b) |
ý |
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3. |
SEC Use Only |
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4. |
Citizenship or Place of
Organization |
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Number of |
5. |
Sole Voting Power |
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6. |
Shared Voting Power |
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7. |
Sole Dispositive Power |
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8. |
Shared Dispositive
Power |
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9. |
Aggregate Amount Beneficially Owned
by Each Reporting Person |
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10. |
Check if the Aggregate Amount in
Row (9) Excludes Certain Shares (See Instructions) |
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11. |
Percent of Class Represented by
Amount in Row (9) |
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12. |
Type of Reporting Person (See
Instructions) |
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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. |
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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: |
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(a) |
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See Row 9 of cover page for each Reporting Person. |
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(b) |
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See Row 11 of cover page for each Reporting Person. |
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(c) |
Number of shares as to which the person has: |
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(i) |
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See Row 5 of cover page for each Reporting Person. |
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(ii) |
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See Row 6 of cover page for each Reporting Person. |
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(iii) |
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See Row 7 of cover page for each Reporting Person. |
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(iv) |
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See Row 8 of cover page for each Reporting Person. |
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Item 5. |
Ownership of Five Percent or Less of a Class |
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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 |
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By AV Partners IV, L.P., |
Signature |
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Its General Partner |
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John Nicholson |
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Chief Financial Officer/Attorney-In-Fact |
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AUSTIN VENTURES IV-B, L.P. |
/s/ John Nicholson |
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By AV Partners IV, L.P., |
Signature |
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Its General Partner |
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John Nicholson |
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Chief Financial Officer/Attorney-In-Fact |
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AV PARTNERS IV, L.P. |
/s/ John Nicholson |
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Signature |
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John Nicholson |
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Chief Financial Officer/Attorney-In-Fact |
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JOSEPH C. ARAGONA |
/s/ John Nicholson |
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Signature |
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John Nicholson |
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Chief Financial Officer/Attorney-In-Fact |
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KENNETH P. DeANGELIS |
/s/ John Nicholson |
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Signature |
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John Nicholson |
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Chief Financial Officer/Attorney-In-Fact |
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JEFFERY C. GARVEY |
/s/ John Nicholson |
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Signature |
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John Nicholson |
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Chief Financial Officer/Attorney-In-Fact |
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WILLIAM P. WOOD |
/s/ John Nicholson |
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Signature |
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John Nicholson |
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Chief Financial Officer/Attorney-In-Fact |
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11
EXHIBIT INDEX
Exhibit |
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Exhibit A: Agreement of Joint Filing |
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Exhibit B: Reference to John Nicholson as Attorney-In-Fact |
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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.
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