-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, TVpRHkkxVehLcf2DUBiuMyfZc1GVfe/QlB8Nl7An3B7eF+tkKPyabg5shFooWG4j SPSERkcBsUgZRpACne1WkQ== 0000902664-00-000355.txt : 20000511 0000902664-00-000355.hdr.sgml : 20000511 ACCESSION NUMBER: 0000902664-00-000355 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20000510 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: COVOL TECHNOLOGIES INC CENTRAL INDEX KEY: 0001003344 STANDARD INDUSTRIAL CLASSIFICATION: BITUMINOUS COAL & LIGNITE MINING [1220] IRS NUMBER: 870547337 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: SEC FILE NUMBER: 005-50887 FILM NUMBER: 625150 BUSINESS ADDRESS: STREET 1: 3280 N FRONTAGE RD CITY: LEHI STATE: UT ZIP: 84043 BUSINESS PHONE: 8017684481 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: OZ MANAGEMENT LLC CENTRAL INDEX KEY: 0001054587 STANDARD INDUSTRIAL CLASSIFICATION: [] STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 153 EAST 53RD STREET, 43RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2122925900 SC 13D/A 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 12)* Covol Technologies, Inc. (Name of Issuer) Common Stock, $.001 par value (Title of Class of Securities) 223575-10-1 (CUSIP Number) Joel Frank OZ Management, L.L.C. 153 E. 53rd Street, 44th Floor New York, New York 10022 212-292-5956 (Name, Address, and Telephone Number of Person Authorized to Receive Notices and Communications) May 4, 2000 (Date of Event Which Requires Filing of this Statement) If the filing person has previously filed a statement on Schedule 13G to report the acquisition which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(e), 13d-1(f)or 13-1(g), check the following box [ ] * 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. 223575-10-1 13D/A Page 2 of 7 Pages 1. NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS OZ Management, L.L.C. 2. CHECK THE APPROPRIATE ROW IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) [ ] (b) [ ] 3. SEC USE ONLY 4. SOURCE OF FUNDS (SEE INSTRUCTIONS) AF 5. CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2 (E) [ ] 6. CITIZENSHIP OR PLACE OF ORGANIZATION Delaware 7. SOLE VOTING POWER 0 Shares 8. SHARED VOTING POWER 582,692 (including 571,430 Shares issuable under immediately exercisable warrants) 9. SOLE DISPOSITIVE POWER 0 Shares 10. SHARED DISPOSITIVE POWER 582,692 Shares (including 571,430 Shares issuable under immediately exercisable warrants) 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 582,692 Shares (including 571,430 Shares issuable under immediately exercisable warrants) 12. CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRICTIONS) 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 2.6% 14. TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) 00 CUSIP No. 223575-10-1 13D/A Page 3 of 7 Pages 1. NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS OZ Master Fund, Ltd. 2. CHECK THE APPROPRIATE ROW IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) [ ] (b) [ ] 3. SEC USE ONLY 4. SOURCE OF FUNDS (SEE INSTRUCTIONS) WC 5. CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E) [ ] 6. CITIZENSHIP OR PLACE OF ORGANIZATION Cayman Islands 7. SOLE VOTING POWER 0 Shares 8. SHARED VOTING POWER 582,692 (including 571,430 Shares issuable under immediately exercisable warrants) 9. SOLE DISPOSITIVE POWER 0 Shares 10. SHARED DISPOSITIVE POWER 582,692 Shares (including 571,430 Shares issuable under immediately exercisable warrants) 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 582,692 Shares (including 571,430 Shares issuable under immediately exercisable warrants) 12. CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 2.6% 14. TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) CO CUSIP No. 223575-10-1 13D/A Page 4 of 7 Pages This Amendment No. 12 to Schedule 13D is being filed on behalf of OZ Master Fund, Ltd. and OZ Management, L.L.C. (the "Reporting Persons") relating to shares of Common Stock, par value $0.001 per share (the "Shares"), of Covol Technologies, Inc., a Delaware corporation (the "Company"). Capitalized terms not otherwise defined herein have the meanings given in the statement on Schedule 13D originally filed as of the reporting date of November 19, 1999. This Amendment is being filed pursuant to Rule 13d-2 of the Securities Exchange Act of 1934 as amended. Item 5 of the Schedule 13D is hereby deleted and the following is substituted therefor: Item 5. Interest in Securities of the Issuer (a) - (b) As of May 10, 2000, OZ Master Fund is the record owner of Series C Warrants exercisable for 228,572 Shares (at $5.25 per Share), Series D Warrants exercisable for 342,858 Shares (at $6.56 per Share) and 11,262 Shares. The Series C Warrants and the Series D Warrants are immediately exercisable for 571,430 Shares at the exercise prices set forth in the preceding sentence. OZ Master Fund, and indirectly through its advisory relationship, OZ Management, may each be considered beneficially to own 582,692 Shares, or 2.6% of the Company's outstanding shares as of the reporting date. The percentage ownership of the Reporting Persons is based upon Company's outstanding shares, after giving effect to Shares issuable upon the exercise of the Warrants owned by the Reporting Persons. Each of the Reporting Persons may be deemed to share the power to vote or direct the vote, and to dispose or to direct the disposition of, the Shares beneficially owned by each other. In addition, Daniel S. Och, as managing member of OZ Management, may be deemed to beneficially and indirectly own the Shares that OZ Management may be deemed to indirectly and beneficially own. (c) As previously reported, OZ Master Fund was the record owner of shares of the Company's Preferred Stock convertible into Shares. Schedule I lists two sales by OZ Master Fund of the Preferred Stock, the second of which reflects the sale of the balance of such shares owned by OZ Master Fund as reported in Amendment No. 11 to Schedule 13D. The Preferred Stock was sold in private transactions. As a result of the latter sale, the Reporting Persons are no longer deemed the beneficial owners of more than 5% of the Shares. There were no other transactions in the Shares by the Reporting Persons since the date of the most recently filed Schedule 13D Amendment. (d) No person is known by the Reporting Persons to have the right to receive or the power to direct the receipt of dividends from, -----END PRIVACY-ENHANCED MESSAGE-----