Home/Filings/4/0001181431-03-024487

4//SEC Filing

BATTERY INVESTMENT PARTNERS V LLC 4

Accession 0001181431-03-024487

CIK 0001043639other

View on SEC.gov Company Profile

Filed

Sep 25, 8:00 PM ET

Accepted

Sep 26, 2:26 PM ET

Size

69.7 KB

Accession

0001181431-03-024487

Insider Transaction Report

Form 4

Period: 2003-09-24

SIGMATEL INCSGTL

BATTERY VENTURES V LP

Director10% Owner

Transactions

Conversion
Common Stock
2003-09-24+2,934,219→ 2,934,219 total
Conversion
10% Convertible Debentures due 2006
2003-09-24−208,086→ 0 total
Exercise: $2.57From: 2001-04-10Exp: 2006-04-10→ Common Stock (208,086 underlying)
Conversion
Series H Convertible Preferred Stock
2003-09-24−374,537→ 0 total
Exercise: $0.00From: 2000-08-15Exp: 1988-08-08→ Common Stock (284,925 underlying)
Conversion
Common Stock
2003-09-24+28,828→ 28,828 total
Exercise of In-Money
Common Stock
2003-09-24+2,795→ 2,795 total
Conversion
Series J Convertible Preferred Stock
2003-09-24−52,180→ 0 total
Exercise: $0.00From: 2003-02-21Exp: 1988-08-08→ Common Stock (43,483 underlying)
Conversion
Common Stock
2003-09-24+2,002,870→ 2,002,870 total
Exercise of In-Money
Common Stock
2003-09-24+12,289→ 12,289 total
Conversion
10% Convertible Debentures due 2006
2003-09-24−21,054→ 0 total
Exercise: $2.57From: 2001-04-10Exp: 2006-04-10→ Common Stock (21,054 underlying)
Conversion
Series F Convertible Preferred Stock
2003-09-24−76,022→ 0 total
Exercise: $0.00From: 1999-08-06Exp: 1988-08-08→ Common Stock (67,540 underlying)
Conversion
Common Stock
2003-09-24+296,877→ 296,877 total
Conversion
Common Stock
2003-09-24+21,054→ 21,054 total
Exercise of In-Money
Warrant right to buy
2003-09-24−12,289→ 0 total
Exercise: $2.57From: 2001-04-10Exp: 2006-04-10→ Common Stock (12,289 underlying)
Exercise of In-Money
Warrant right to buy
2003-09-24−2,795→ 0 total
Exercise: $2.57From: 2001-04-10Exp: 2006-04-10→ Common Stock (2,795 underlying)
Conversion
Series J Convertible Preferred Stock
2003-09-24−2,403,444→ 0 total
Exercise: $0.00From: 2003-02-21Exp: 1988-08-08→ Common Stock (2,002,870 underlying)
Conversion
Common Stock
2003-09-24+208,086→ 208,086 total
Exercise of In-Money
Common Stock
2003-09-24+121,467→ 121,467 total
Conversion
Series F Convertible Preferred Stock
2003-09-24−3,302,691→ 0 total
Exercise: $0.00From: 1999-08-06Exp: 1988-08-08→ Common Stock (2,934,219 underlying)
Exercise of In-Money
Warrant right to buy
2003-09-24−121,467→ 0 total
Exercise: $2.57From: 2001-04-10Exp: 2006-04-10→ Common Stock (121,467 underlying)
Conversion
Common Stock
2003-09-24+67,540→ 67,540 total
Conversion
Common Stock
2003-09-24+284,925→ 284,925 total
Conversion
Common Stock
2003-09-24+6,558→ 6,558 total
Conversion
Common Stock
2003-09-24+4,790→ 4,790 total
Conversion
Series F Convertible Preferred Stock
2003-09-24−334,158→ 0 total
Exercise: $0.00From: 1999-08-06Exp: 1988-08-08→ Common Stock (296,877 underlying)
Conversion
Series H Convertible Preferred Stock
2003-09-24−37,895→ 0 total
Exercise: $0.00From: 2000-08-15Exp: 1988-08-08→ Common Stock (28,828 underlying)
Conversion
Common Stock
2003-09-24+127,843→ 127,843 total
Conversion
Common Stock
2003-09-24+43,483→ 43,483 total
Conversion
10% Convertible Debentures due 2006
2003-09-24−4,790→ 0 total
Exercise: $2.57From: 2001-04-10Exp: 2006-04-10→ Common Stock (4,790 underlying)
Conversion
Series J Convertible Preferred Stock
2003-09-24−153,412→ 0 total
Exercise: $0.00From: 2003-02-21Exp: 1988-08-08→ Common Stock (127,843 underlying)
Conversion
Series H Convertible Preferred Stock
2003-09-24−8,621→ 0 total
Exercise: $0.00From: 2000-08-15Exp: 1988-08-08→ Common Stock (6,558 underlying)

Holdings

Common Stock
48,502
Common Stock
3,096
Common Stock
1,053

ANDERSON HOWARD

Director10% Owner

Transactions

Exercise of In-Money
Warrant right to buy
2003-09-24−2,795→ 0 total
Exercise: $2.57From: 2001-04-10Exp: 2006-04-10→ Common Stock (2,795 underlying)
Conversion
Common Stock
2003-09-24+208,086→ 208,086 total
Conversion
Common Stock
2003-09-24+284,925→ 284,925 total
Conversion
Common Stock
2003-09-24+6,558→ 6,558 total
Conversion
Common Stock
2003-09-24+28,828→ 28,828 total
Exercise of In-Money
Common Stock
2003-09-24+12,289→ 12,289 total
Exercise of In-Money
Warrant right to buy
2003-09-24−121,467→ 0 total
Exercise: $2.57From: 2001-04-10Exp: 2006-04-10→ Common Stock (121,467 underlying)
Conversion
10% Convertible Debentures due 2006
2003-09-24−4,790→ 0 total
Exercise: $2.57From: 2001-04-10Exp: 2006-04-10→ Common Stock (4,790 underlying)
Conversion
10% Convertible Debentures due 2006
2003-09-24−21,054→ 0 total
Exercise: $2.57From: 2001-04-10Exp: 2006-04-10→ Common Stock (21,054 underlying)
Conversion
Series F Convertible Preferred Stock
2003-09-24−334,158→ 0 total
Exercise: $0.00From: 1999-08-06Exp: 1988-08-08→ Common Stock (296,877 underlying)
Conversion
Series J Convertible Preferred Stock
2003-09-24−52,180→ 0 total
Exercise: $0.00From: 2003-02-21Exp: 1988-08-08→ Common Stock (43,483 underlying)
Conversion
Common Stock
2003-09-24+2,002,870→ 2,002,870 total
Conversion
Common Stock
2003-09-24+127,843→ 127,843 total
Conversion
10% Convertible Debentures due 2006
2003-09-24−208,086→ 0 total
Exercise: $2.57From: 2001-04-10Exp: 2006-04-10→ Common Stock (208,086 underlying)
Conversion
Common Stock
2003-09-24+296,877→ 296,877 total
Conversion
Common Stock
2003-09-24+21,054→ 21,054 total
Conversion
Series J Convertible Preferred Stock
2003-09-24−153,412→ 0 total
Exercise: $0.00From: 2003-02-21Exp: 1988-08-08→ Common Stock (127,843 underlying)
Conversion
Common Stock
2003-09-24+2,934,219→ 2,934,219 total
Conversion
Common Stock
2003-09-24+67,540→ 67,540 total
Exercise of In-Money
Common Stock
2003-09-24+121,467→ 121,467 total
Conversion
Series F Convertible Preferred Stock
2003-09-24−76,022→ 0 total
Exercise: $0.00From: 1999-08-06Exp: 1988-08-08→ Common Stock (67,540 underlying)
Conversion
Common Stock
2003-09-24+4,790→ 4,790 total
Exercise of In-Money
Common Stock
2003-09-24+2,795→ 2,795 total
Conversion
Series H Convertible Preferred Stock
2003-09-24−8,621→ 0 total
Exercise: $0.00From: 2000-08-15Exp: 1988-08-08→ Common Stock (6,558 underlying)
Conversion
Series J Convertible Preferred Stock
2003-09-24−2,403,444→ 0 total
Exercise: $0.00From: 2003-02-21Exp: 1988-08-08→ Common Stock (2,002,870 underlying)
Exercise of In-Money
Warrant right to buy
2003-09-24−12,289→ 0 total
Exercise: $2.57From: 2001-04-10Exp: 2006-04-10→ Common Stock (12,289 underlying)
Conversion
Common Stock
2003-09-24+43,483→ 43,483 total
Conversion
Series H Convertible Preferred Stock
2003-09-24−374,537→ 0 total
Exercise: $0.00From: 2000-08-15Exp: 1988-08-08→ Common Stock (284,925 underlying)
Conversion
Series F Convertible Preferred Stock
2003-09-24−3,302,691→ 0 total
Exercise: $0.00From: 1999-08-06Exp: 1988-08-08→ Common Stock (2,934,219 underlying)
Conversion
Series H Convertible Preferred Stock
2003-09-24−37,895→ 0 total
Exercise: $0.00From: 2000-08-15Exp: 1988-08-08→ Common Stock (28,828 underlying)

Holdings

Common Stock
3,096
Common Stock
1,053
Common Stock
48,502

BATTERY INVESTMENT PARTNERS V LLC

Director10% Owner

Transactions

Conversion
Common Stock
2003-09-24+284,925→ 284,925 total
Conversion
Common Stock
2003-09-24+6,558→ 6,558 total
Conversion
Common Stock
2003-09-24+21,054→ 21,054 total
Conversion
Series J Convertible Preferred Stock
2003-09-24−52,180→ 0 total
Exercise: $0.00From: 2003-02-21Exp: 1988-08-08→ Common Stock (43,483 underlying)
Conversion
Common Stock
2003-09-24+2,934,219→ 2,934,219 total
Exercise of In-Money
Common Stock
2003-09-24+12,289→ 12,289 total
Conversion
10% Convertible Debentures due 2006
2003-09-24−21,054→ 0 total
Exercise: $2.57From: 2001-04-10Exp: 2006-04-10→ Common Stock (21,054 underlying)
Conversion
Series J Convertible Preferred Stock
2003-09-24−2,403,444→ 0 total
Exercise: $0.00From: 2003-02-21Exp: 1988-08-08→ Common Stock (2,002,870 underlying)
Conversion
Common Stock
2003-09-24+67,540→ 67,540 total
Conversion
Common Stock
2003-09-24+28,828→ 28,828 total
Exercise of In-Money
Common Stock
2003-09-24+121,467→ 121,467 total
Conversion
10% Convertible Debentures due 2006
2003-09-24−208,086→ 0 total
Exercise: $2.57From: 2001-04-10Exp: 2006-04-10→ Common Stock (208,086 underlying)
Conversion
Common Stock
2003-09-24+208,086→ 208,086 total
Exercise of In-Money
Common Stock
2003-09-24+2,795→ 2,795 total
Exercise of In-Money
Warrant right to buy
2003-09-24−2,795→ 0 total
Exercise: $2.57From: 2001-04-10Exp: 2006-04-10→ Common Stock (2,795 underlying)
Conversion
Common Stock
2003-09-24+127,843→ 127,843 total
Exercise of In-Money
Warrant right to buy
2003-09-24−12,289→ 0 total
Exercise: $2.57From: 2001-04-10Exp: 2006-04-10→ Common Stock (12,289 underlying)
Conversion
Series H Convertible Preferred Stock
2003-09-24−8,621→ 0 total
Exercise: $0.00From: 2000-08-15Exp: 1988-08-08→ Common Stock (6,558 underlying)
Conversion
Common Stock
2003-09-24+4,790→ 4,790 total
Conversion
Common Stock
2003-09-24+2,002,870→ 2,002,870 total
Conversion
Series F Convertible Preferred Stock
2003-09-24−334,158→ 0 total
Exercise: $0.00From: 1999-08-06Exp: 1988-08-08→ Common Stock (296,877 underlying)
Conversion
Common Stock
2003-09-24+296,877→ 296,877 total
Conversion
Series H Convertible Preferred Stock
2003-09-24−374,537→ 0 total
Exercise: $0.00From: 2000-08-15Exp: 1988-08-08→ Common Stock (284,925 underlying)
Conversion
Series F Convertible Preferred Stock
2003-09-24−76,022→ 0 total
Exercise: $0.00From: 1999-08-06Exp: 1988-08-08→ Common Stock (67,540 underlying)
Conversion
Series H Convertible Preferred Stock
2003-09-24−37,895→ 0 total
Exercise: $0.00From: 2000-08-15Exp: 1988-08-08→ Common Stock (28,828 underlying)
Conversion
Common Stock
2003-09-24+43,483→ 43,483 total
Conversion
10% Convertible Debentures due 2006
2003-09-24−4,790→ 0 total
Exercise: $2.57From: 2001-04-10Exp: 2006-04-10→ Common Stock (4,790 underlying)
Conversion
Series J Convertible Preferred Stock
2003-09-24−153,412→ 0 total
Exercise: $0.00From: 2003-02-21Exp: 1988-08-08→ Common Stock (127,843 underlying)
Exercise of In-Money
Warrant right to buy
2003-09-24−121,467→ 0 total
Exercise: $2.57From: 2001-04-10Exp: 2006-04-10→ Common Stock (121,467 underlying)
Conversion
Series F Convertible Preferred Stock
2003-09-24−3,302,691→ 0 total
Exercise: $0.00From: 1999-08-06Exp: 1988-08-08→ Common Stock (2,934,219 underlying)

Holdings

Common Stock
3,096
Common Stock
1,053
Common Stock
48,502

LAWLER KENNETH P

Director

Transactions

Conversion
Common Stock
2003-09-24+2,934,219→ 2,934,219 total
Exercise of In-Money
Warrant right to buy
2003-09-24−121,467→ 0 total
Exercise: $2.57From: 2001-04-10Exp: 2006-04-10→ Common Stock (121,467 underlying)
Exercise of In-Money
Warrant right to buy
2003-09-24−2,795→ 0 total
Exercise: $2.57From: 2001-04-10Exp: 2006-04-10→ Common Stock (2,795 underlying)
Exercise of In-Money
Common Stock
2003-09-24+12,289→ 12,289 total
Exercise of In-Money
Warrant right to buy
2003-09-24−12,289→ 0 total
Exercise: $2.57From: 2001-04-10Exp: 2006-04-10→ Common Stock (12,289 underlying)
Conversion
Series H Convertible Preferred Stock
2003-09-24−8,621→ 0 total
Exercise: $0.00From: 2000-08-15Exp: 1988-08-08→ Common Stock (6,558 underlying)
Conversion
Common Stock
2003-09-24+28,828→ 28,828 total
Exercise of In-Money
Common Stock
2003-09-24+121,467→ 121,467 total
Conversion
Common Stock
2003-09-24+67,540→ 67,540 total
Conversion
Common Stock
2003-09-24+43,483→ 43,483 total
Conversion
Series H Convertible Preferred Stock
2003-09-24−374,537→ 0 total
Exercise: $0.00From: 2000-08-15Exp: 1988-08-08→ Common Stock (284,925 underlying)
Conversion
10% Convertible Debentures due 2006
2003-09-24−208,086→ 0 total
Exercise: $2.57From: 2001-04-10Exp: 2006-04-10→ Common Stock (208,086 underlying)
Conversion
10% Convertible Debentures due 2006
2003-09-24−21,054→ 0 total
Exercise: $2.57From: 2001-04-10Exp: 2006-04-10→ Common Stock (21,054 underlying)
Conversion
Series F Convertible Preferred Stock
2003-09-24−76,022→ 0 total
Exercise: $0.00From: 1999-08-06Exp: 1988-08-08→ Common Stock (67,540 underlying)
Conversion
Common Stock
2003-09-24+284,925→ 284,925 total
Conversion
Common Stock
2003-09-24+6,558→ 6,558 total
Conversion
Common Stock
2003-09-24+21,054→ 21,054 total
Exercise of In-Money
Common Stock
2003-09-24+2,795→ 2,795 total
Conversion
Series J Convertible Preferred Stock
2003-09-24−2,403,444→ 0 total
Exercise: $0.00From: 2003-02-21Exp: 1988-08-08→ Common Stock (2,002,870 underlying)
Conversion
Series H Convertible Preferred Stock
2003-09-24−37,895→ 0 total
Exercise: $0.00From: 2000-08-15Exp: 1988-08-08→ Common Stock (28,828 underlying)
Conversion
Series J Convertible Preferred Stock
2003-09-24−52,180→ 0 total
Exercise: $0.00From: 2003-02-21Exp: 1988-08-08→ Common Stock (43,483 underlying)
Conversion
Common Stock
2003-09-24+208,086→ 208,086 total
Conversion
Series F Convertible Preferred Stock
2003-09-24−3,302,691→ 0 total
Exercise: $0.00From: 1999-08-06Exp: 1988-08-08→ Common Stock (2,934,219 underlying)
Conversion
Common Stock
2003-09-24+2,002,870→ 2,002,870 total
Conversion
Series F Convertible Preferred Stock
2003-09-24−334,158→ 0 total
Exercise: $0.00From: 1999-08-06Exp: 1988-08-08→ Common Stock (296,877 underlying)
Conversion
Common Stock
2003-09-24+296,877→ 296,877 total
Conversion
Common Stock
2003-09-24+4,790→ 4,790 total
Conversion
Common Stock
2003-09-24+127,843→ 127,843 total
Conversion
10% Convertible Debentures due 2006
2003-09-24−4,790→ 0 total
Exercise: $2.57From: 2001-04-10Exp: 2006-04-10→ Common Stock (4,790 underlying)
Conversion
Series J Convertible Preferred Stock
2003-09-24−153,412→ 0 total
Exercise: $0.00From: 2003-02-21Exp: 1988-08-08→ Common Stock (127,843 underlying)

Holdings

Common Stock
1,053
Common Stock
48,502
Common Stock
3,096

FRISBIE RICHARD D

Director10% Owner

Transactions

Conversion
Series F Convertible Preferred Stock
2003-09-24−334,158→ 0 total
Exercise: $0.00From: 1999-08-06Exp: 1988-08-08→ Common Stock (296,877 underlying)
Conversion
10% Convertible Debentures due 2006
2003-09-24−21,054→ 0 total
Exercise: $2.57From: 2001-04-10Exp: 2006-04-10→ Common Stock (21,054 underlying)
Conversion
Series H Convertible Preferred Stock
2003-09-24−8,621→ 0 total
Exercise: $0.00From: 2000-08-15Exp: 1988-08-08→ Common Stock (6,558 underlying)
Conversion
Series J Convertible Preferred Stock
2003-09-24−153,412→ 0 total
Exercise: $0.00From: 2003-02-21Exp: 1988-08-08→ Common Stock (127,843 underlying)
Conversion
Common Stock
2003-09-24+284,925→ 284,925 total
Conversion
Series F Convertible Preferred Stock
2003-09-24−3,302,691→ 0 total
Exercise: $0.00From: 1999-08-06Exp: 1988-08-08→ Common Stock (2,934,219 underlying)
Conversion
Series H Convertible Preferred Stock
2003-09-24−37,895→ 0 total
Exercise: $0.00From: 2000-08-15Exp: 1988-08-08→ Common Stock (28,828 underlying)
Conversion
Common Stock
2003-09-24+296,877→ 296,877 total
Conversion
Common Stock
2003-09-24+43,483→ 43,483 total
Conversion
Common Stock
2003-09-24+2,934,219→ 2,934,219 total
Conversion
Common Stock
2003-09-24+2,002,870→ 2,002,870 total
Conversion
10% Convertible Debentures due 2006
2003-09-24−4,790→ 0 total
Exercise: $2.57From: 2001-04-10Exp: 2006-04-10→ Common Stock (4,790 underlying)
Conversion
Series J Convertible Preferred Stock
2003-09-24−52,180→ 0 total
Exercise: $0.00From: 2003-02-21Exp: 1988-08-08→ Common Stock (43,483 underlying)
Conversion
Common Stock
2003-09-24+67,540→ 67,540 total
Conversion
Common Stock
2003-09-24+127,843→ 127,843 total
Exercise of In-Money
Common Stock
2003-09-24+12,289→ 12,289 total
Conversion
Common Stock
2003-09-24+6,558→ 6,558 total
Exercise of In-Money
Common Stock
2003-09-24+121,467→ 121,467 total
Exercise of In-Money
Warrant right to buy
2003-09-24−121,467→ 0 total
Exercise: $2.57From: 2001-04-10Exp: 2006-04-10→ Common Stock (121,467 underlying)
Exercise of In-Money
Warrant right to buy
2003-09-24−2,795→ 0 total
Exercise: $2.57From: 2001-04-10Exp: 2006-04-10→ Common Stock (2,795 underlying)
Conversion
10% Convertible Debentures due 2006
2003-09-24−208,086→ 0 total
Exercise: $2.57From: 2001-04-10Exp: 2006-04-10→ Common Stock (208,086 underlying)
Conversion
Common Stock
2003-09-24+28,828→ 28,828 total
Conversion
Common Stock
2003-09-24+208,086→ 208,086 total
Conversion
Common Stock
2003-09-24+21,054→ 21,054 total
Exercise of In-Money
Warrant right to buy
2003-09-24−12,289→ 0 total
Exercise: $2.57From: 2001-04-10Exp: 2006-04-10→ Common Stock (12,289 underlying)
Conversion
Series F Convertible Preferred Stock
2003-09-24−76,022→ 0 total
Exercise: $0.00From: 1999-08-06Exp: 1988-08-08→ Common Stock (67,540 underlying)
Conversion
Common Stock
2003-09-24+4,790→ 4,790 total
Exercise of In-Money
Common Stock
2003-09-24+2,795→ 2,795 total
Conversion
Series H Convertible Preferred Stock
2003-09-24−374,537→ 0 total
Exercise: $0.00From: 2000-08-15Exp: 1988-08-08→ Common Stock (284,925 underlying)
Conversion
Series J Convertible Preferred Stock
2003-09-24−2,403,444→ 0 total
Exercise: $0.00From: 2003-02-21Exp: 1988-08-08→ Common Stock (2,002,870 underlying)

Holdings

Common Stock
1,053
Common Stock
48,502
Common Stock
3,096

DAGRES TODD A

Director10% Owner

Transactions

Exercise of In-Money
Common Stock
2003-09-24+121,467→ 121,467 total
Exercise of In-Money
Warrant right to buy
2003-09-24−12,289→ 0 total
Exercise: $2.57From: 2001-04-10Exp: 2006-04-10→ Common Stock (12,289 underlying)
Conversion
Series H Convertible Preferred Stock
2003-09-24−37,895→ 0 total
Exercise: $0.00From: 2000-08-15Exp: 1988-08-08→ Common Stock (28,828 underlying)
Conversion
Series J Convertible Preferred Stock
2003-09-24−2,403,444→ 0 total
Exercise: $0.00From: 2003-02-21Exp: 1988-08-08→ Common Stock (2,002,870 underlying)
Conversion
Common Stock
2003-09-24+4,790→ 4,790 total
Conversion
10% Convertible Debentures due 2006
2003-09-24−21,054→ 0 total
Exercise: $2.57From: 2001-04-10Exp: 2006-04-10→ Common Stock (21,054 underlying)
Conversion
10% Convertible Debentures due 2006
2003-09-24−4,790→ 0 total
Exercise: $2.57From: 2001-04-10Exp: 2006-04-10→ Common Stock (4,790 underlying)
Conversion
Series J Convertible Preferred Stock
2003-09-24−52,180→ 0 total
Exercise: $0.00From: 2003-02-21Exp: 1988-08-08→ Common Stock (43,483 underlying)
Conversion
Common Stock
2003-09-24+28,828→ 28,828 total
Conversion
Common Stock
2003-09-24+21,054→ 21,054 total
Conversion
Series J Convertible Preferred Stock
2003-09-24−153,412→ 0 total
Exercise: $0.00From: 2003-02-21Exp: 1988-08-08→ Common Stock (127,843 underlying)
Exercise of In-Money
Warrant right to buy
2003-09-24−2,795→ 0 total
Exercise: $2.57From: 2001-04-10Exp: 2006-04-10→ Common Stock (2,795 underlying)
Conversion
Common Stock
2003-09-24+2,002,870→ 2,002,870 total
Exercise of In-Money
Common Stock
2003-09-24+12,289→ 12,289 total
Exercise of In-Money
Common Stock
2003-09-24+2,795→ 2,795 total
Exercise of In-Money
Warrant right to buy
2003-09-24−121,467→ 0 total
Exercise: $2.57From: 2001-04-10Exp: 2006-04-10→ Common Stock (121,467 underlying)
Conversion
Common Stock
2003-09-24+208,086→ 208,086 total
Conversion
Common Stock
2003-09-24+43,483→ 43,483 total
Conversion
Series F Convertible Preferred Stock
2003-09-24−76,022→ 0 total
Exercise: $0.00From: 1999-08-06Exp: 1988-08-08→ Common Stock (67,540 underlying)
Conversion
Series H Convertible Preferred Stock
2003-09-24−374,537→ 0 total
Exercise: $0.00From: 2000-08-15Exp: 1988-08-08→ Common Stock (284,925 underlying)
Conversion
Common Stock
2003-09-24+6,558→ 6,558 total
Conversion
Series F Convertible Preferred Stock
2003-09-24−334,158→ 0 total
Exercise: $0.00From: 1999-08-06Exp: 1988-08-08→ Common Stock (296,877 underlying)
Conversion
Common Stock
2003-09-24+2,934,219→ 2,934,219 total
Conversion
Common Stock
2003-09-24+296,877→ 296,877 total
Conversion
Common Stock
2003-09-24+284,925→ 284,925 total
Conversion
Common Stock
2003-09-24+67,540→ 67,540 total
Conversion
Common Stock
2003-09-24+127,843→ 127,843 total
Conversion
Series F Convertible Preferred Stock
2003-09-24−3,302,691→ 0 total
Exercise: $0.00From: 1999-08-06Exp: 1988-08-08→ Common Stock (2,934,219 underlying)
Conversion
10% Convertible Debentures due 2006
2003-09-24−208,086→ 0 total
Exercise: $2.57From: 2001-04-10Exp: 2006-04-10→ Common Stock (208,086 underlying)
Conversion
Series H Convertible Preferred Stock
2003-09-24−8,621→ 0 total
Exercise: $0.00From: 2000-08-15Exp: 1988-08-08→ Common Stock (6,558 underlying)

Holdings

Common Stock
48,502
Common Stock
3,096
Common Stock
1,053

CROTTY THOMAS J

Director10% Owner

Transactions

Conversion
Common Stock
2003-09-24+2,934,219→ 2,934,219 total
Exercise of In-Money
Common Stock
2003-09-24+2,795→ 2,795 total
Conversion
Series J Convertible Preferred Stock
2003-09-24−153,412→ 0 total
Exercise: $0.00From: 2003-02-21Exp: 1988-08-08→ Common Stock (127,843 underlying)
Conversion
Common Stock
2003-09-24+4,790→ 4,790 total
Exercise of In-Money
Warrant right to buy
2003-09-24−121,467→ 0 total
Exercise: $2.57From: 2001-04-10Exp: 2006-04-10→ Common Stock (121,467 underlying)
Conversion
10% Convertible Debentures due 2006
2003-09-24−21,054→ 0 total
Exercise: $2.57From: 2001-04-10Exp: 2006-04-10→ Common Stock (21,054 underlying)
Conversion
10% Convertible Debentures due 2006
2003-09-24−4,790→ 0 total
Exercise: $2.57From: 2001-04-10Exp: 2006-04-10→ Common Stock (4,790 underlying)
Conversion
Series J Convertible Preferred Stock
2003-09-24−2,403,444→ 0 total
Exercise: $0.00From: 2003-02-21Exp: 1988-08-08→ Common Stock (2,002,870 underlying)
Conversion
Common Stock
2003-09-24+43,483→ 43,483 total
Conversion
Series H Convertible Preferred Stock
2003-09-24−37,895→ 0 total
Exercise: $0.00From: 2000-08-15Exp: 1988-08-08→ Common Stock (28,828 underlying)
Conversion
Common Stock
2003-09-24+208,086→ 208,086 total
Conversion
Common Stock
2003-09-24+284,925→ 284,925 total
Conversion
Common Stock
2003-09-24+2,002,870→ 2,002,870 total
Conversion
Common Stock
2003-09-24+21,054→ 21,054 total
Conversion
10% Convertible Debentures due 2006
2003-09-24−208,086→ 0 total
Exercise: $2.57From: 2001-04-10Exp: 2006-04-10→ Common Stock (208,086 underlying)
Conversion
Series F Convertible Preferred Stock
2003-09-24−334,158→ 0 total
Exercise: $0.00From: 1999-08-06Exp: 1988-08-08→ Common Stock (296,877 underlying)
Conversion
Series H Convertible Preferred Stock
2003-09-24−374,537→ 0 total
Exercise: $0.00From: 2000-08-15Exp: 1988-08-08→ Common Stock (284,925 underlying)
Conversion
Common Stock
2003-09-24+67,540→ 67,540 total
Exercise of In-Money
Common Stock
2003-09-24+12,289→ 12,289 total
Exercise of In-Money
Common Stock
2003-09-24+121,467→ 121,467 total
Conversion
Series J Convertible Preferred Stock
2003-09-24−52,180→ 0 total
Exercise: $0.00From: 2003-02-21Exp: 1988-08-08→ Common Stock (43,483 underlying)
Conversion
Common Stock
2003-09-24+296,877→ 296,877 total
Conversion
Common Stock
2003-09-24+28,828→ 28,828 total
Conversion
Common Stock
2003-09-24+6,558→ 6,558 total
Conversion
Common Stock
2003-09-24+127,843→ 127,843 total
Conversion
Series H Convertible Preferred Stock
2003-09-24−8,621→ 0 total
Exercise: $0.00From: 2000-08-15Exp: 1988-08-08→ Common Stock (6,558 underlying)
Conversion
Series F Convertible Preferred Stock
2003-09-24−76,022→ 0 total
Exercise: $0.00From: 1999-08-06Exp: 1988-08-08→ Common Stock (67,540 underlying)
Exercise of In-Money
Warrant right to buy
2003-09-24−12,289→ 0 total
Exercise: $2.57From: 2001-04-10Exp: 2006-04-10→ Common Stock (12,289 underlying)
Exercise of In-Money
Warrant right to buy
2003-09-24−2,795→ 0 total
Exercise: $2.57From: 2001-04-10Exp: 2006-04-10→ Common Stock (2,795 underlying)
Conversion
Series F Convertible Preferred Stock
2003-09-24−3,302,691→ 0 total
Exercise: $0.00From: 1999-08-06Exp: 1988-08-08→ Common Stock (2,934,219 underlying)

Holdings

Common Stock
48,502
Common Stock
3,096
Common Stock
1,053

CURME OLIVER D

Director10% Owner

Transactions

Conversion
Common Stock
2003-09-24+28,828→ 28,828 total
Conversion
Common Stock
2003-09-24+2,002,870→ 2,002,870 total
Conversion
Common Stock
2003-09-24+67,540→ 67,540 total
Conversion
Common Stock
2003-09-24+6,558→ 6,558 total
Exercise of In-Money
Warrant right to buy
2003-09-24−121,467→ 0 total
Exercise: $2.57From: 2001-04-10Exp: 2006-04-10→ Common Stock (121,467 underlying)
Conversion
Series H Convertible Preferred Stock
2003-09-24−37,895→ 0 total
Exercise: $0.00From: 2000-08-15Exp: 1988-08-08→ Common Stock (28,828 underlying)
Conversion
Series J Convertible Preferred Stock
2003-09-24−153,412→ 0 total
Exercise: $0.00From: 2003-02-21Exp: 1988-08-08→ Common Stock (127,843 underlying)
Conversion
Series F Convertible Preferred Stock
2003-09-24−3,302,691→ 0 total
Exercise: $0.00From: 1999-08-06Exp: 1988-08-08→ Common Stock (2,934,219 underlying)
Conversion
Common Stock
2003-09-24+296,877→ 296,877 total
Conversion
Common Stock
2003-09-24+43,483→ 43,483 total
Conversion
Series F Convertible Preferred Stock
2003-09-24−76,022→ 0 total
Exercise: $0.00From: 1999-08-06Exp: 1988-08-08→ Common Stock (67,540 underlying)
Conversion
Series H Convertible Preferred Stock
2003-09-24−8,621→ 0 total
Exercise: $0.00From: 2000-08-15Exp: 1988-08-08→ Common Stock (6,558 underlying)
Conversion
Series J Convertible Preferred Stock
2003-09-24−2,403,444→ 0 total
Exercise: $0.00From: 2003-02-21Exp: 1988-08-08→ Common Stock (2,002,870 underlying)
Conversion
Common Stock
2003-09-24+208,086→ 208,086 total
Conversion
Common Stock
2003-09-24+2,934,219→ 2,934,219 total
Conversion
Common Stock
2003-09-24+284,925→ 284,925 total
Conversion
Common Stock
2003-09-24+4,790→ 4,790 total
Exercise of In-Money
Common Stock
2003-09-24+12,289→ 12,289 total
Conversion
10% Convertible Debentures due 2006
2003-09-24−4,790→ 0 total
Exercise: $2.57From: 2001-04-10Exp: 2006-04-10→ Common Stock (4,790 underlying)
Conversion
Common Stock
2003-09-24+21,054→ 21,054 total
Conversion
10% Convertible Debentures due 2006
2003-09-24−21,054→ 0 total
Exercise: $2.57From: 2001-04-10Exp: 2006-04-10→ Common Stock (21,054 underlying)
Conversion
Series F Convertible Preferred Stock
2003-09-24−334,158→ 0 total
Exercise: $0.00From: 1999-08-06Exp: 1988-08-08→ Common Stock (296,877 underlying)
Conversion
Series J Convertible Preferred Stock
2003-09-24−52,180→ 0 total
Exercise: $0.00From: 2003-02-21Exp: 1988-08-08→ Common Stock (43,483 underlying)
Conversion
Series H Convertible Preferred Stock
2003-09-24−374,537→ 0 total
Exercise: $0.00From: 2000-08-15Exp: 1988-08-08→ Common Stock (284,925 underlying)
Exercise of In-Money
Warrant right to buy
2003-09-24−2,795→ 0 total
Exercise: $2.57From: 2001-04-10Exp: 2006-04-10→ Common Stock (2,795 underlying)
Exercise of In-Money
Common Stock
2003-09-24+121,467→ 121,467 total
Exercise of In-Money
Common Stock
2003-09-24+2,795→ 2,795 total
Conversion
10% Convertible Debentures due 2006
2003-09-24−208,086→ 0 total
Exercise: $2.57From: 2001-04-10Exp: 2006-04-10→ Common Stock (208,086 underlying)
Conversion
Common Stock
2003-09-24+127,843→ 127,843 total
Exercise of In-Money
Warrant right to buy
2003-09-24−12,289→ 0 total
Exercise: $2.57From: 2001-04-10Exp: 2006-04-10→ Common Stock (12,289 underlying)

Holdings

Common Stock
1,053
Common Stock
3,096
Common Stock
48,502

BATTERY VENTURES CONVERGENCE FUND L P

Director10% Owner

Transactions

Exercise of In-Money
Warrant right to buy
2003-09-24−121,467→ 0 total
Exercise: $2.57From: 2001-04-10Exp: 2006-04-10→ Common Stock (121,467 underlying)
Conversion
Common Stock
2003-09-24+296,877→ 296,877 total
Conversion
Common Stock
2003-09-24+28,828→ 28,828 total
Conversion
Series F Convertible Preferred Stock
2003-09-24−3,302,691→ 0 total
Exercise: $0.00From: 1999-08-06Exp: 1988-08-08→ Common Stock (2,934,219 underlying)
Conversion
Series H Convertible Preferred Stock
2003-09-24−37,895→ 0 total
Exercise: $0.00From: 2000-08-15Exp: 1988-08-08→ Common Stock (28,828 underlying)
Exercise of In-Money
Common Stock
2003-09-24+12,289→ 12,289 total
Exercise of In-Money
Common Stock
2003-09-24+2,795→ 2,795 total
Conversion
Series F Convertible Preferred Stock
2003-09-24−76,022→ 0 total
Exercise: $0.00From: 1999-08-06Exp: 1988-08-08→ Common Stock (67,540 underlying)
Conversion
Common Stock
2003-09-24+6,558→ 6,558 total
Exercise of In-Money
Common Stock
2003-09-24+121,467→ 121,467 total
Conversion
10% Convertible Debentures due 2006
2003-09-24−208,086→ 0 total
Exercise: $2.57From: 2001-04-10Exp: 2006-04-10→ Common Stock (208,086 underlying)
Conversion
Series J Convertible Preferred Stock
2003-09-24−2,403,444→ 0 total
Exercise: $0.00From: 2003-02-21Exp: 1988-08-08→ Common Stock (2,002,870 underlying)
Conversion
Common Stock
2003-09-24+208,086→ 208,086 total
Conversion
Common Stock
2003-09-24+4,790→ 4,790 total
Conversion
Common Stock
2003-09-24+127,843→ 127,843 total
Conversion
Series H Convertible Preferred Stock
2003-09-24−374,537→ 0 total
Exercise: $0.00From: 2000-08-15Exp: 1988-08-08→ Common Stock (284,925 underlying)
Conversion
10% Convertible Debentures due 2006
2003-09-24−21,054→ 0 total
Exercise: $2.57From: 2001-04-10Exp: 2006-04-10→ Common Stock (21,054 underlying)
Conversion
Common Stock
2003-09-24+21,054→ 21,054 total
Conversion
Common Stock
2003-09-24+2,002,870→ 2,002,870 total
Conversion
Common Stock
2003-09-24+43,483→ 43,483 total
Conversion
Series H Convertible Preferred Stock
2003-09-24−8,621→ 0 total
Exercise: $0.00From: 2000-08-15Exp: 1988-08-08→ Common Stock (6,558 underlying)
Conversion
Common Stock
2003-09-24+67,540→ 67,540 total
Exercise of In-Money
Warrant right to buy
2003-09-24−2,795→ 0 total
Exercise: $2.57From: 2001-04-10Exp: 2006-04-10→ Common Stock (2,795 underlying)
Conversion
Series F Convertible Preferred Stock
2003-09-24−334,158→ 0 total
Exercise: $0.00From: 1999-08-06Exp: 1988-08-08→ Common Stock (296,877 underlying)
Conversion
Series J Convertible Preferred Stock
2003-09-24−52,180→ 0 total
Exercise: $0.00From: 2003-02-21Exp: 1988-08-08→ Common Stock (43,483 underlying)
Conversion
Common Stock
2003-09-24+2,934,219→ 2,934,219 total
Conversion
Common Stock
2003-09-24+284,925→ 284,925 total
Conversion
Series J Convertible Preferred Stock
2003-09-24−153,412→ 0 total
Exercise: $0.00From: 2003-02-21Exp: 1988-08-08→ Common Stock (127,843 underlying)
Exercise of In-Money
Warrant right to buy
2003-09-24−12,289→ 0 total
Exercise: $2.57From: 2001-04-10Exp: 2006-04-10→ Common Stock (12,289 underlying)
Conversion
10% Convertible Debentures due 2006
2003-09-24−4,790→ 0 total
Exercise: $2.57From: 2001-04-10Exp: 2006-04-10→ Common Stock (4,790 underlying)

Holdings

Common Stock
3,096
Common Stock
48,502
Common Stock
1,053

Footnotes (11)

[F1]This report is filed jointly by the following entities and individuals, all of which are direct or indirect 10% owners, and all of which are members of a "group" for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended: Battery Ventures V, L.P., Battery Ventures Convergence Fund, L.P., Battery Investment Partners V, L.L.C. (collectively, the "funds"), Battery Partners V, LLC, Battery Convergence Partners, LLC, Howard Anderson, Richard D. Frisbie, Oliver D. Curme, Thomas J. Crotty, Kenneth P. Lawler and Todd A. Dagres. In addition, Kenneth P. Lawler currently serves as a representative on SigmaTel, Inc.'s board of directors.
[F10]The securities converted into Common Stock at a ratio of .83 shares of Common Stock for each share of Series J Convertible Preferred Stock.
[F11]There is no stated purchase or sales price related to the reported transaction. The reported transaction is an exercise or conversion of a derivative security.
[F2]These securities were received upon the automatic conversion of shares of preferred stock held by the reporting person upon the closing of SigmaTel's initial public offering.
[F3]The reported securities are owned directly by Battery Ventures V, L.P., and indirectly by Battery Partners V, LLC, as general partner of Battery Ventures V, L.P. The managing members of Battery Partners V, LLC are Richard D. Frisbie, Oliver D. Curme, Thomas J. Crotty, Kenneth P. Lawler, and Todd A. Dagres, who hold voting and dispositive power for the securities held by Battery Ventures V, L.P. Each of Mr. Frisbie, Curme, Crotty, Lawler, and Dagres disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.
[F4]The reported securities are owned directly by Battery Ventures Convergence Fund, L.P., and indirectly by Battery Convergence Partners, LLC, as general partner of Battery Ventures Convergence Fund, L.P. The managing members of Battery Convergence Partners, LLC are Howard Anderson, Richard D. Frisbie, Oliver D. Curme, Thomas J. Crotty, Kenneth P. Lawler, and Todd A. Dagres who hold voting and dispositive power for the securities held by Battery Ventures Convergence Fund, L.P. Each of Mr. Anderson, Frisbie, Curme, Crotty, Lawler, and Dagres disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.
[F5]The reported securities are owned directly by Battery Investment Partners V, L.L.C. The managers of Battery Investment Partners V, L.L.C. are Richard D. Frisbie, Oliver D. Curme, and Thomas J. Crotty who hold voting and dispositive power for the securities held by Battery Investment Partners V, L.L.C. Each of Mr. Frisbie, Curme, and Crotty disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.
[F6]These warrants were exercised pursuant to a net exercise provision which allowed the holders to exercise the warrants without making a cash payment and instead to receive an amount of shares determined by subtracting from the total number of shares for which the warrants were exercisable, the number of shares which had an aggregate value equal to the aggregate exercise price for the warrants at the time of exercise.
[F7]The data "08/08/1988" was entered in this box pursuant to instructions from the Securities and Exchange Commission because this particular box may not be left blank. These securities are Serial Preferred Stock of SigmaTel and do not expire on a specified date. As is reported in this Form 4, these securities automatically converted into shares of SigmaTel's Common Stock upon the effectiveness of SigmaTel's initial public offering.
[F8]The securities converted into Common Stock at a ratio of .89 shares of Common Stock for each share of Series F Convertible Preferred Stock.
[F9]The securities converted into Common Stock at a ratio of .76 shares of Common Stock for each share of Series H Convertible Preferred Stock.

Documents

2 files

Issuer

SIGMATEL INC

CIK 0001043639

→

Entity typeother

Related Parties

filerCIK 0001192466

Filing Metadata

Form type: 4
Filed: Sep 25, 8:00 PM ET
Accepted: Sep 26, 2:26 PM ET
Size: 69.7 KB

View on SEC.gov