-----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, StGf3XVQkcYZxlUqiwRC6Pbi4VrPOsGssiV00oxyNDOwMv1bvIc7CqYEV08LN0Zk P6yt9td7cBfkmCgtj4y0xw== 0001047469-00-000100.txt : 20000214 0001047469-00-000100.hdr.sgml : 20000214 ACCESSION NUMBER: 0001047469-00-000100 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20000211 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: NETOPIA INC CENTRAL INDEX KEY: 0001012482 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMPUTER INTEGRATED SYSTEMS DESIGN [7373] IRS NUMBER: 943033136 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-49573 FILM NUMBER: 535844 BUSINESS ADDRESS: STREET 1: 2470 MARINER SQUARE LOOP CITY: ALAMEDA STATE: CA ZIP: 94501 BUSINESS PHONE: 5108145100 MAIL ADDRESS: STREET 1: 2470 MARINER SQUARE LOOP CITY: ALAMEDA STATE: CA ZIP: 94501 FORMER COMPANY: FORMER CONFORMED NAME: FARALLON COMMUNICATIONS INC DATE OF NAME CHANGE: 19960422 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: NICHOLAS APPLEGATE CAPITAL MANAGEMENT CENTRAL INDEX KEY: 0000914540 STANDARD INDUSTRIAL CLASSIFICATION: [] STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 600 WEST BROADWAY STREET 2: 32ND FL CITY: SAN DIEGO STATE: CA ZIP: 92101 BUSINESS PHONE: 6196872834 MAIL ADDRESS: STREET 1: 600 WEST BROADWAY STREET 2: 32ND FL CITY: SAN DIEGO STATE: CA ZIP: 92101 SC 13G 1 SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* --- NETOPIA INC - -------------------------------------------------------------------------------- (Name of Issuer) COMMON - -------------------------------------------------------------------------------- (Title of Class of Securities) 64114K104 ---------------------------------- (CUSIP Number) December 31, 1999 - -------------------------------------------------------------------------------- (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: /X/ Rule 13d-1(b) / / Rule 13d-1(c) / / 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). CUSIP No. 64114K104 --------- 13G - ------------------------------------------------------------------------------- (1) Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only). Nicholas-Applegate Capital Mgmt. 33-0124536 - ------------------------------------------------------------------------------- (2) Check the Appropriate Box if a Member (a) / / of a Group (See Instructions) (b) / / - ------------------------------------------------------------------------------- (3) SEC Use Only - ------------------------------------------------------------------------------- (4) Citizenship or Place of Organization San Diego, California - ------------------------------------------------------------------------------- Number of Shares (5) Sole Voting Power Beneficially 614004 Owned by -------------------------------------------------- Each Reporting (6) Shared Voting Power Person With: 0 -------------------------------------------------- (7) Sole Dispositive Power 781100 -------------------------------------------------- (8) Shared Dispositive Power 0 - ------------------------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned by Each Reporting Person 781100 - ------------------------------------------------------------------------------- (10) Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) / / - ------------------------------------------------------------------------------- (11) Percent of Class Represented by Amount in Row (9) 5.34% - ------------------------------------------------------------------------------- (12) Type of Reporting Person (See Instructions) IA - ------------------------------------------------------------------------------- ITEM 1. (a) Name of Issuer NETOPIA INC ---------------------------------------------------------------------- (b) Address of Issuer's Principal Executive Offices 2470 Mariner Square Loop Alameda, CA 94501 ---------------------------------------------------------------------- ITEM 2. (a) Name of Person Filing Nicholas-Applegate Capital Management ---------------------------------------------------------------------- (b) Address of Principal Business Office or, if none, Residence 600 West Broadway, 29 Floor, San Diego, CA 92101 ---------------------------------------------------------------------- (c) Citizenship Nicholas-Applegate Capital Management is a California Limited Partnership. ---------------------------------------------------------------------- (d) Title of Class of Securities COMMON ---------------------------------------------------------------------- (e) CUSIP Number 64114K104 --------------------------------------------------------------------- ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO SECTIONS 240.13d-1(b) OR 240.13d-2(b) OR (c), CHECK WHETHER THE PERSON FILING IS A: (a) / / Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o). (b) / / Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c). (c) / / Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c). (d) / / Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8). (e) /X/ An investment adviser in accordance with section 240.13d-1(b)(1)(ii)(E). (f) / / An employee benefit plan or endowment fund in accordance with section 240.13d-1(b)(1)(ii)(F). (g) / / A parent holding company or control person in accordance with section 240.13d-1(b)(1)(ii)(G). (h) / / A savings association as defined in section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813). (i) / / A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3). (j) / / Group, in accordance with section 240.13d-1(b)(1)(ii)(J). ITEM 4. OWNERSHIP Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1. (a) Amount beneficially owned: 781100 --------------------------------------------------------------------------- (b) Percent of class: 5.34% --------------------------------------------------------------------------- (c) Number of shares as to which the person has: (i) Sole power to vote or to direct the vote 614004 ----------------------------------------------------------------- (ii) Shared power to vote or to direct the vote 0 ----------------------------------------------------------------- (iii) Sole power to dispose or to direct the disposition of 781100 ----------------------------------------------------------------- (iv) Shared power to dispose or to direct the disposition of 0 ----------------------------------------------------------------- ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS 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. / / ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP ITEM 9. NOTICE OF DISSOLUTION OF GROUP ITEM 10. CERTIFICATION (a) The following certification shall be included if the statement is filed pursuant to section 240.13d-1(b): By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. (b) The following certification shall be included if the statement is filed pursuant to section 240.13d-1(c): By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. SIGNATURE 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. February 10, 2000 ---------------------------------------- Date /s/ Blake Moore ---------------------------------------- Signature Blake Moore General Counsel ---------------------------------------- Name/Title -----END PRIVACY-ENHANCED MESSAGE-----