CUSIP No. |
37245R107 |
Page | 2 |
of | 16 |
1 | NAME OF REPORTING PERSON I. R. S. Identification No. of Above Person (entities only) Mercury Fund VI, Ltd. I.R.S. Identification No. 20-2196404 |
||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* |
||||
(a) o | |||||
(b) o | |||||
3 | SEC USE ONLY | ||||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||
Texas | |||||
5 | SOLE VOTING POWER | ||||
NUMBER OF | 114,000(1) | ||||
SHARES | 6 | SHARED VOTING POWER | |||
BENEFICIALLY | |||||
OWNED BY | -0- | ||||
EACH | 7 | SOLE DISPOSITIVE POWER | |||
REPORTING | |||||
PERSON | 114,000(1) | ||||
WITH | 8 | SHARED DISPOSITIVE POWER | |||
-0- | |||||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||
114,000(1) | |||||
10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* | ||||
o | |||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | ||||
1.93%(2) | |||||
12 | TYPE OF REPORTING PERSON* | ||||
PN |
CUSIP No. |
37245R107 |
Page | 3 |
of | 16 |
1 | NAME OF REPORTING PERSON I. R. S. Identification No. of Above Person (entities only) Mercury Fund VII, Ltd. I.R.S. Identification No. 20-4881368 |
||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* |
||||
(a) o | |||||
(b) o | |||||
3 | SEC USE ONLY | ||||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||
Texas | |||||
5 | SOLE VOTING POWER | ||||
NUMBER OF | 225,461(1) | ||||
SHARES | 6 | SHARED VOTING POWER | |||
BENEFICIALLY | |||||
OWNED BY | -0- | ||||
EACH | 7 | SOLE DISPOSITIVE POWER | |||
REPORTING | |||||
PERSON | 225,461(1) | ||||
WITH | 8 | SHARED DISPOSITIVE POWER | |||
-0- | |||||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||
225,461(1) | |||||
10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* | ||||
o | |||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | ||||
3.81%(2) | |||||
12 | TYPE OF REPORTING PERSON* | ||||
PN |
CUSIP No. |
37245R107 |
Page | 4 |
of | 16 |
1 | NAME OF REPORTING PERSON I. R. S. Identification No. of Above Person (entities only) Mercury Fund VIII, Ltd. I.R.S. Identification No. 26-1440289 |
||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* |
||||
(a) o | |||||
(b) o | |||||
3 | SEC USE ONLY | ||||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||
Texas | |||||
5 | SOLE VOTING POWER | ||||
NUMBER OF | 242,471(1) | ||||
SHARES | 6 | SHARED VOTING POWER | |||
BENEFICIALLY | |||||
OWNED BY | -0- | ||||
EACH | 7 | SOLE DISPOSITIVE POWER | |||
REPORTING | |||||
PERSON | 242,471(1) | ||||
WITH | 8 | SHARED DISPOSITIVE POWER | |||
-0- | |||||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||
242,471(1) | |||||
10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* | ||||
o | |||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | ||||
4.10%(2) | |||||
12 | TYPE OF REPORTING PERSON* | ||||
PN |
CUSIP No. |
37245R107 |
Page | 5 |
of | 16 |
1 | NAME OF REPORTING PERSON I. R. S. Identification No. of Above Person (entities only) Mercury Ventures, Ltd. I.R.S. Identification No. 75-2796235 |
||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* |
||||
(a) o | |||||
(b) o | |||||
3 | SEC USE ONLY | ||||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||
Texas | |||||
5 | SOLE VOTING POWER | ||||
NUMBER OF | 114,000 (1) | ||||
SHARES | 6 | SHARED VOTING POWER | |||
BENEFICIALLY | |||||
OWNED BY | -0- | ||||
EACH | 7 | SOLE DISPOSITIVE POWER | |||
REPORTING | |||||
PERSON | 114,000 (1) | ||||
WITH | 8 | SHARED DISPOSITIVE POWER | |||
-0- | |||||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||
114,000 (1) | |||||
10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* | ||||
o | |||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | ||||
1.93%(2) | |||||
12 | TYPE OF REPORTING PERSON* | ||||
PN |
CUSIP No. |
37245R107 |
Page | 6 |
of | 16 |
1 | NAME OF REPORTING PERSON I. R. S. Identification No. of Above Person (entities only) Mercury Ventures II, Ltd. I.R.S. Identification No. 20-4736567 |
||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* |
||||
(a) o | |||||
(b) o | |||||
3 | SEC USE ONLY | ||||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||
Texas | |||||
5 | SOLE VOTING POWER | ||||
NUMBER OF | 467,932 (1) | ||||
SHARES | 6 | SHARED VOTING POWER | |||
BENEFICIALLY | |||||
OWNED BY | -0- | ||||
EACH | 7 | SOLE DISPOSITIVE POWER | |||
REPORTING | |||||
PERSON | 467,932 (1) | ||||
WITH | 8 | SHARED DISPOSITIVE POWER | |||
-0- | |||||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||
467,932 (1) | |||||
10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* | ||||
o | |||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | ||||
7.91%(2) | |||||
12 | TYPE OF REPORTING PERSON* | ||||
PN |
CUSIP No. |
37245R107 |
Page | 7 |
of | 16 |
1 | NAME OF REPORTING PERSON I. R. S. Identification No. of Above Person (entities only) Mercury Management, L.L.C. I.R.S. Identification No. 75-2796232 |
||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* |
||||
(a) o | |||||
(b) o | |||||
3 | SEC USE ONLY | ||||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||
Texas | |||||
5 | SOLE VOTING POWER | ||||
NUMBER OF | 581,932 (1) | ||||
SHARES | 6 | SHARED VOTING POWER | |||
BENEFICIALLY | |||||
OWNED BY | -0- | ||||
EACH | 7 | SOLE DISPOSITIVE POWER | |||
REPORTING | |||||
PERSON | 581,932 (1) | ||||
WITH | 8 | SHARED DISPOSITIVE POWER | |||
-0- | |||||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||
581,932 (1) | |||||
10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* | ||||
o | |||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | ||||
9.84%(2) | |||||
12 | TYPE OF REPORTING PERSON* | ||||
OO |
CUSIP No. |
37245R107 |
Page | 8 |
of | 16 |
1 | NAME OF REPORTING PERSON I. R. S. Identification No. of Above Person (entities only) Kevin C. Howe |
||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* |
||||
(a) o | |||||
(b) o | |||||
3 | SEC USE ONLY | ||||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION | ||||
United States | |||||
5 | SOLE VOTING POWER | ||||
NUMBER OF | 581,932 (1) | ||||
SHARES | 6 | SHARED VOTING POWER | |||
BENEFICIALLY | |||||
OWNED BY | -0- | ||||
EACH | 7 | SOLE DISPOSITIVE POWER | |||
REPORTING | |||||
PERSON | 581,932 (1) | ||||
WITH | 8 | SHARED DISPOSITIVE POWER | |||
-0- | |||||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||||
581,932 (1) | |||||
10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* | ||||
o | |||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | ||||
9.84%(2) | |||||
12 | TYPE OF REPORTING PERSON* | ||||
IN |
CUSIP No. |
37245R107 |
Page | 9 |
of | 16 |
CUSIP No. |
37245R107 |
Page | 10 |
of | 16 |
Item 3. | If this statement is filed pursuant to Rules 13d-1(b), or 13d-2(b) or (c), check whether the person filing is a: |
Mercury VI | ||||||
(a) Amount beneficially owned: | 114,000 | (1) | ||||
(b) Percent of class: | 1.93 | %(2) | ||||
(c) Number of shares as to which the person has: | ||||||
(i) Sole power to vote or direct the vote | 114,000 | (1) | ||||
(ii) Shared power to vote or direct the vote | -0- | |||||
(iii) Sole power to dispose or to direct the disposition of | 114,000 | (1) | ||||
(iv) Shared power to dispose or to direct the disposition of | -0- |
(1) | Mr. Howe exercises voting and disposition power over such shares on behalf of Mercury Management, the General Partner of Mercury Ventures, which is the General Partner of Mercury VI. | |
(2) | Assumes a total of 5,914,358 shares of common stock outstanding based on Datawatch Corporations Annual Report on Form 10-K for the fiscal year ended September 30, 2007 filed on December 24, 2008. |
CUSIP No. |
37245R107 |
Page | 11 |
of | 16 |
Mercury VII | ||||||
(a) Amount beneficially owned: | 225,461 | (1) | ||||
(b) Percent of class: | 3.81 | %(2) | ||||
(c) Number of shares as to which the person has: | ||||||
(i) Sole power to vote or direct the vote | 225,461 | (1) | ||||
(ii) Shared power to vote or direct the vote | -0- | |||||
(iii) Sole power to dispose or to direct the disposition of | 225,461 | (1) | ||||
(iv) Shared power to dispose or the disposition of | -0- |
(1) | Mr. Howe exercises voting and disposition power over such shares on behalf of Mercury Management, the General Partner of Mercury Ventures II, which is the General Partner of Mercury VII. | |
(2) | Assumes a total of 5,914,358 shares of common stock outstanding based on Datawatch Corporations Annual Report on Form 10-K for the fiscal year ended September 30, 2008 filed on December 24, 2008. |
Mercury VIII | ||||||
(a) Amount beneficially owned: | 242,471 | (1) | ||||
(b) Percent of class: | 4.10 | %(2) | ||||
(c) Number of shares as to which the person has: | ||||||
(i) Sole power to vote or direct the vote | 242,471 | (1) | ||||
(ii) Shared power to vote or direct the vote | -0- | |||||
(iii) Sole power to dispose or to direct the disposition of | 242,471 | (1) | ||||
(iv) Shared power to dispose or the disposition of | -0- |
(1) | Mr. Howe exercises voting and disposition power over such shares on behalf of Mercury Management, the General Partner of Mercury Ventures II, which is the General Partner of Mercury VIII. | |
(2) | Assumes a total of 5,914,358 shares of common stock outstanding based on Datawatch Corporations Annual Report on Form 10-K for the fiscal year ended September 30, 2008 filed on December 24, 2008. |
CUSIP No. |
37245R107 |
Page | 12 |
of | 16 |
Mercury Ventures | ||||||
(a) Amount beneficially owned: | 114,000 | (1) | ||||
(b) Percent of class: | 1.93 | %(2) | ||||
(c) Number of shares as to which the person has: | ||||||
(i) Sole power to vote or direct the vote | 114,000 | (1) | ||||
(ii) Shared power to vote or direct the vote | -0- | |||||
(iii) Sole power to dispose or to direct the disposition of | 114,000 | (1) | ||||
(iv) Shared power to dispose or to direct the disposition of | -0- |
(1) | Mr. Howe exercises voting and disposition power over such shares on behalf of Mercury Management, the General Partner of Mercury Ventures, which is the General Partner of Mercury VI, the owner of 114,000 shares. | |
(2) | Assumes a total of 5,914,358 shares of common stock outstanding based on Datawatch Corporations Annual Report on Form 10-K for the fiscal year ended September 30, 2008 filed on December 24, 2008. |
Mercury Ventures II | ||||||
(a) Amount beneficially owned: | 467,932 | (1) | ||||
(b) Percent of class: | 7.91 | %(2) | ||||
(c) Number of shares as to which the person has: | ||||||
(i) Sole power to vote or direct the vote | 467,932 | (1) | ||||
(ii) Shared power to vote or direct the vote | -0- | |||||
(iii) Sole power to dispose or to direct the disposition of | 467,932 | (1) | ||||
(iv) Shared power to dispose or to direct the disposition of | -0- |
(1) | Mr. Howe exercises voting and disposition power over such shares on behalf of Mercury Management, the General Partner of Mercury Ventures II, which is the General Partner of Mercury VII and Mercury VIII, the owners of 225,461 and 242,471 shares, respectively. | |
(2) | Assumes a total of 5,914,358 shares of common stock outstanding based on Datawatch Corporations Annual Report on Form 10-K for the fiscal year ended September 30, 2008 filed on December 24, 2008. |
Mercury Management | ||||||
(a) Amount beneficially owned: | 581,932 | (1) | ||||
(b) Percent of class: | 9.84 | %(2) | ||||
(c) Number of shares as to which the person has: | ||||||
(i) Sole power to vote or direct the vote | 581,932 | (1) |
CUSIP No. |
37245R107 |
Page | 13 |
of | 16 |
(ii) Shared power to vote or direct the vote | -0- | |||||
(iii) Sole power to dispose or to direct the disposition of | 581,932 | (1) | ||||
(iv) Shared power to dispose or to direct the disposition of | -0- |
(1) | Mr. Howe exercises voting and disposition power over such shares on behalf of Mercury Management, the General Partner of Mercury Ventures and Mercury Ventures II. Mercury Ventures is the General Partner of Mercury VI. Mercury Ventures II is the General Partner of Mercury VII and Mercury VIII. Includes 114,000 shares owned by Mercury VI, 225,461 shares owned by Mercury VII and 242,471 shares owned by Mercury VIII. | |
(2) | Assumes a total of 5,763,215 shares of common stock outstanding based on Datawatch Corporations Annual Report on Form 10-K for the fiscal year ended September 30, 2008 filed on December 24, 2008, of which 1.93% is owned by Mercury VI, 3.81% is owned by Mercury VII and 4.10% is owned by Mercury VIII. |
Mr. Howe | ||||||
(a) Amount beneficially owned: | 581,932 | (1) | ||||
(b) Percent of class: | 9.84 | %(2) | ||||
(c) Number of shares as to which the person has: | ||||||
(i) Sole power to vote or direct the vote | 581,932 | (1) | ||||
(ii) Shared power to vote or direct the vote | -0- | |||||
(iii) Sole power to dispose or to direct the disposition of | 581,932 | (1) | ||||
(iv) Shared power to dispose or to direct the disposition of | -0- |
(1) | Mr. Howe exercises voting and disposition power over such shares on behalf of Mercury Management, the General Partner of Mercury Ventures and Mercury Ventures II. Mercury Ventures is the General Partner of Mercury VI. Mercury Ventures II is the General Partner of Mercury VII and Mercury VIII. Includes 114,000 shares owned by Mercury VI, 225,461 shares owned by Mercury VII and 242,471 shares owned by Mercury VIII. | |
(2) | Assumes a total of 5,914,358 shares of common stock outstanding based on Datawatch Corporations Annual Report on Form 10-K for the fiscal year ended September 30, 2008, filed on December 24, 2008 of which 1.93% is owned by Mercury VI, and 3.81% is owned by Mercury VII and 4.10% is owned by Mercury VIII. |
CUSIP No. |
37245R107 |
Page | 14 |
of | 16 |
Item 7. | Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company: |
CUSIP No. |
37245R107 |
Page | 15 |
of | 16 |
January 22, 2009 | MERCURY FUND VI, LTD. | |||||||
By: | MERCURY VENTURES, LTD. | |||||||
General Partner | ||||||||
By: | MERCURY MANAGEMENT, L.L.C. | |||||||
General Partner | ||||||||
By: | /s/ Kevin C. Howe | |||||||
Name: | Kevin C. Howe | |||||||
Title: | Manager | |||||||
January 22, 2009 | MERCURY FUND VII, LTD. | |||||||
By: | MERCURY VENTURES II, LTD. | |||||||
General Partner | ||||||||
By: | MERCURY MANAGEMENT, L.L.C. | |||||||
General Partner | ||||||||
By: | /s/ Kevin C. Howe | |||||||
Name: | Kevin C. Howe | |||||||
Title: | Manager | |||||||
January 22, 2009 | MERCURY FUND VIII, LTD. | |||||||
By: | MERCURY VENTURES II, LTD. | |||||||
General Partner | ||||||||
By: | /s/ Kevin C. Howe
|
|||||||
Name: | Kevin C. Howe | |||||||
Title: | Manager | |||||||
By: | MERCURY MANAGEMENT, L.L.C. | |||||||
General Partner | ||||||||
By: | /s/ Kevin C. Howe
|
|||||||
Name: | Kevin C. Howe | |||||||
Title: | Manager |
CUSIP No. |
37245R107 |
Page | 16 |
of | 16 |
January 22, 2009 | MERCURY VENTURES, LTD. | |||||||
By: | MERCURY MANAGEMENT, L.L.C. | |||||||
General Partner | ||||||||
By: | /s/ Kevin C. Howe
|
|||||||
Name: | Kevin C. Howe | |||||||
Title: | Manager | |||||||
January 22, 2009 | MERCURY VENTURES II, LTD. | |||||||
By: | MERCURY MANAGEMENT, L.L.C. | |||||||
General Partner | ||||||||
By: | /s/ Kevin C. Howe
|
|||||||
Name: | Kevin C. Howe | |||||||
Title: | Manager | |||||||
January 22, 2009 | MERCURY MANAGEMENT, L.L.C. | |||||||
By: | /s/ Kevin C. Howe
|
|||||||
Name: | Kevin C. Howe | |||||||
Title: | Manager | |||||||
January 22, 2009 | /s/ Kevin C. Howe | |||||||
Name: Kevin C. Howe |