- Amended Statement of Beneficial Ownership (SC 13D/A)
26 March 2010 - 6:35AM
Edgar (US Regulatory)
UNITED
STATES
SECURITIES AND EXCHANGE
COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE
13D/A
UNDER THE SECURITIES
EXCHANGE ACT OF 1934
(AMENDMENT NO. 5)*
VOXWARE, INC.
|
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(Name of Issuer)
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Common Stock, $0.001 par value per
share
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(Title of Class of
Securities)
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|
92906L105
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(CUSIP Number)
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Donald R. Caldwell
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Cross Atlantic Capital
Partners
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Five Radnor Corporate Center, Suite
555
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100 Matsonford Road
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Radnor, PA 19087
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610-971-6180
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(Name, Address and Telephone Number of
Person
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Authorized to Receive Notices and
Communications)
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February 26, 2010
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(Date of Event which Requires Filing of
this Statement)
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If the filing person has
previously filed a statement on Schedule 13G to report the acquisition that is
the subject of this Schedule 13D, and is filing this schedule because of
ss.ss.240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box.
[_]
NOTE
: Schedules filed in paper format shall
include a signed original and five copies of the schedule, including all
exhibits. See ss.240.13d-7 for other parties to whom copies are to be
sent.
*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 disclosures provided in a
prior cover page.
The information required
on 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).
CUSIP NO. 92906L105
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13D/A
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PAGE 2
OF 7
PAGES
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1.
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NAMES OF REPORTING
PERSONS.
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I.R.S. IDENTIFICATION NOS. OF ABOVE
PERSONS (ENTITIES ONLY).
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Cross Atlantic Technology Fund II,
L.P.
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2.
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CHECK THE APPROPRIATE BOX IF A MEMBER OF
A GROUP (SEE INSTRUCTIONS)
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(a)
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X
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(b)
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o
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3.
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SEC USE ONLY
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4.
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SOURCE OF FUNDS (SEE
INSTRUCTIONS)
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WC
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5.
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CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(e)
o
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6.
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CITIZENSHIP OR PLACE OF
ORGANIZATION
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Delaware Limited
Partnership
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NUMBER OF
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7.
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SOLE VOTING
POWER
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SHARES
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0 shares
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BENEFICIALLY
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8.
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SHARED VOTING POWER
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OWNED BY
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1,162,085 shares
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EACH
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9.
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SOLE DISPOSITIVE POWER
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REPORTING
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0 shares
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PERSON
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10.
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SHARED DISPOSITIVE POWER
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WITH
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1,162,085 shares
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11.
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AGGREGATE AMOUNT
BENEFICIALLY OWNED BY EACH REPORTING PERSON
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1,162,085 shares
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12.
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CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
(SEE INSTRUCTIONS)
o
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13.
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
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14.0%
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14.
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TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
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PN
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CUSIP NO. 92906L105
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13D/A
|
PAGE 3
OF 7
PAGES
|
1.
|
|
NAMES OF REPORTING
PERSONS.
|
|
|
I.R.S. IDENTIFICATION NOS. OF ABOVE
PERSONS (ENTITIES ONLY).
|
|
|
|
|
|
Cross Atlantic Technology
Partners II, Inc.
|
|
|
|
2.
|
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CHECK THE APPROPRIATE BOX IF A MEMBER OF
A GROUP (SEE INSTRUCTIONS)
|
|
|
(a)
|
X
|
|
|
(b)
|
o
|
|
|
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3.
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SEC USE ONLY
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|
|
|
|
|
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4.
|
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SOURCE OF FUNDS (SEE
INSTRUCTIONS)
|
|
|
|
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AF
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|
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5.
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|
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(e)
o
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|
|
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6.
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CITIZENSHIP OR PLACE OF
ORGANIZATION
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Delaware
Corporation
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NUMBER OF
|
|
7.
|
|
SOLE VOTING
POWER
|
|
|
|
|
|
SHARES
|
|
|
|
0 shares
|
|
|
|
|
|
BENEFICIALLY
|
|
8.
|
|
SHARED VOTING POWER
|
|
|
|
|
|
OWNED BY
|
|
|
|
1,162,085 shares
|
|
|
|
|
|
EACH
|
|
9.
|
|
SOLE DISPOSITIVE POWER
|
|
|
|
|
|
REPORTING
|
|
|
|
0 shares
|
|
|
|
|
|
PERSON
|
|
10.
|
|
SHARED DISPOSITIVE POWER
|
|
|
|
|
|
WITH
|
|
|
|
1,162,085 shares
|
11.
|
|
AGGREGATE AMOUNT
BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
|
|
|
1,162,085 shares
|
|
|
|
12.
|
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
(SEE INSTRUCTIONS)
o
|
|
|
|
13.
|
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
|
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14.0%
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14.
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TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
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CO
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CUSIP NO. 92906L105
|
13D/A
|
PAGE 4
OF 7
PAGES
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1.
|
|
NAMES OF REPORTING
PERSONS.
|
|
|
I.R.S. IDENTIFICATION NOS. OF ABOVE
PERSONS (ENTITIES ONLY).
|
|
|
|
|
|
XATF Management II, L.P.
|
|
|
|
2.
|
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF
A GROUP (SEE INSTRUCTIONS)
|
|
|
(a)
|
X
|
|
|
(b)
|
o
|
|
|
|
3.
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SEC USE ONLY
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|
|
|
|
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4.
|
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SOURCE OF FUNDS (SEE
INSTRUCTIONS)
|
|
|
|
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AF
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|
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5.
|
|
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(e)
o
|
|
|
|
6.
|
|
CITIZENSHIP OR PLACE OF
ORGANIZATION
|
|
|
|
|
|
Delaware Limited
Partnership
|
NUMBER OF
|
|
7.
|
|
SOLE VOTING
POWER
|
|
|
|
|
|
SHARES
|
|
|
|
0 shares
|
|
|
|
|
|
BENEFICIALLY
|
|
8.
|
|
SHARED VOTING POWER
|
|
|
|
|
|
OWNED BY
|
|
|
|
1,162,085 shares
|
|
|
|
|
|
EACH
|
|
9.
|
|
SOLE DISPOSITIVE POWER
|
|
|
|
|
|
REPORTING
|
|
|
|
0 shares
|
|
|
|
|
|
PERSON
|
|
10.
|
|
SHARED DISPOSITIVE POWER
|
|
|
|
|
|
WITH
|
|
|
|
1,162,085 shares
|
11.
|
|
AGGREGATE AMOUNT
BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
|
|
|
1,162,085 shares
|
|
|
|
12.
|
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
(SEE INSTRUCTIONS)
o
|
|
|
|
13.
|
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
|
|
|
|
|
|
14.0%
|
|
|
|
14.
|
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
|
|
|
|
|
|
PN
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CUSIP NO. 92906L105
|
13D/A
|
PAGE 5
OF 7
PAGES
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NAME OF REPORTING PERSON
|
1
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Donald R.
Caldwell
|
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
|
|
2
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(a) X
|
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(b)
¨
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SEC USE ONLY
|
3
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SOURCE OF FUNDS
|
4
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|
OO
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CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT
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TO ITEMS 2(d) OR 2(e)
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5
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¨
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CITIZENSHIP OR PLACE OF ORGANIZATION
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6
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United States of
America
|
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SOLE VOTING POWER
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7
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NUMBER OF
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9,378
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SHARES
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SHARED VOTING POWER
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BENEFICIALLY
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8
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OWNED BY
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2,419,228
|
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EACH
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SOLE DISPOSITIVE POWER
|
REPORTING
|
9
|
|
PERSON
|
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9,378
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|
|
|
WITH
|
|
SHARED DISPOSITIVE POWER
|
|
10
|
|
|
|
2,419,228
|
|
|
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING
PERSON
|
11
|
|
|
2,428,606
|
|
|
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES
|
|
(SEE INSTRUCTIONS)
|
12
|
|
|
¨
|
|
|
|
PERCENT OF CLASS REPRESENTED BY AMOUNT
IN ROW (11)
|
13
|
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28.8%
|
|
|
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
|
14
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|
IN
|
CUSIP NO. 92906L105
|
13D/A
|
PAGE 6
OF 7
PAGES
|
EXPLANATORY NOTE
This Amendment No. 5 amends the Statement on Schedule 13D/A filed on
August 30, 2005, by and on behalf of Cross Atlantic Technology Fund II, L.P.
(the "Statement"), with respect to the beneficial ownership of common stock, par
value $0.001 per share, of the Issuer. This Statement, as amended by this
Amendment No. 5, is referred to herein as "Schedule 13D." This Schedule 13D is
being filed to report a change in the percentage of beneficial ownership of
Cross Atlantic solely as a result of an increase in the number of shares of the
Issuer’s common stock outstanding.
Capitalized terms used and not defined
herein have the meanings set forth in the Statement. Except as specifically set
forth herein, the Schedule 13D remains unmodified.
Item 5. Interest in Securities of the
Issuer.
(a) Cross Atlantic is the record owner of
1,162,085 shares of the Issuer’s Common Stock. As the sole general partner of
Cross Atlantic, XATF may be deemed to own beneficially the shares of Issuer
Common Stock owned by Cross Atlantic. As the sole general partner of XATF, Cross
Atlantic Partners may be deemed to own beneficially the shares of Issuer Common
Stock owned by Cross Atlantic. As the Chairman and Chief Executive Officer of
Cross Atlantic, Donald R. Caldwell may be deemed to own beneficially the shares
of Issuer Common Stock owned by Cross Atlantic.
Cross Atlantic holds warrants to purchase
257,605 shares of Common Stock. As the sole general partner of Cross Atlantic,
XATF may be deemed to own beneficially the Cross Atlantic Common Stock Warrant
Shares. As the sole general partner of XATF, Cross Atlantic Partners may be
deemed to own beneficially the Cross Atlantic Common Stock Warrant Shares. As
the Chairman and Chief Executive Officer of Cross Atlantic, Donald R. Caldwell
may be deemed to own beneficially the Cross Atlantic Common Stock Warrant
Shares.
Donald R. Caldwell has been issued
options to purchase 9,378 shares of Common Stock of the Issuer in connection
with his service as a member of the board of directors of the Issuer, which are
exercisable within 60 days of the date of this Schedule 13D.
Each of the Reporting Persons, with the
exception of Donald R. Caldwell who may be deemed to beneficially own 28.8% of
the Common Stock of the Issuer, may be deemed to own beneficially 14.0% of the
Common Stock of the Issuer, which percentage is calculated based upon 8,062,893
shares of Common Stock reported to be outstanding by the Issuer as of February
28, 2010, as adjusted pursuant to Rule 13d-3(d)(1). Each of the Reporting
Persons, except Cross Atlantic, disclaims beneficial ownership of the shares of
Issuer Common Stock owned by Cross Atlantic and the Cross Atlantic Common Stock
Warrant Shares.
(b) See rows (7) through (10) of the
cover page for each Reporting Person at the beginning of this Schedule 13D,
which are incorporated herein by reference.
(c) Except as set forth above, none of
the Reporting Persons has effected any transaction in the Issuer Common Stock or
Common Stock Warrant Shares during the last 60 days.
(d) No other person is known to have the
right to receive or the power to direct the receipt of dividends from, or any
proceeds from the sale of, the shares of Issuer Common Stock or Common Stock
Warrant Shares beneficially owned by any of the Reporting Persons.
(e) Not applicable.
CUSIP NO. 92906L105
|
13D/A
|
PAGE 7
OF 7
PAGES
|
SIGNATURE
After reasonable inquiry and to the best of its knowledge and belief,
each of the undersigned certifies that the information set forth in this
statement is true, complete and correct.
Date:
|
March 25, 2010
|
CROSS ATLANTIC TECHNOLOGY FUND II,
L.P.
|
|
|
|
By:
XATF MANAGEMENT II, L.P.,
its General Partner
|
|
|
|
By:
CROSS ATLANTIC CAPITAL
PARTNERS II, INC., its General Partner
|
|
|
|
|
|
/s/ Brian
Adamsky
|
|
|
|
Name: Brian Adamsky
|
|
|
Title: Chief Financial
Officer
|
|
|
Date:
|
March 25, 2010
|
/s/ Donald R.
Caldwell
|
|
|
|
Donald R.
Caldwell
|
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