-----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, Hq7z6ZyscGu2qGcZefnUYnlJ2t+ROiQgo64WluwU6jS9iZ7nbzkIwtav/LBva8lt 5DYYZn1C+yUiKkI96qh//w== 0000950132-01-000053.txt : 20010207 0000950132-01-000053.hdr.sgml : 20010207 ACCESSION NUMBER: 0000950132-01-000053 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20010206 GROUP MEMBERS: DAVID MOCK GROUP MEMBERS: GMS CAPITAL INVESTMENTS LLC GROUP MEMBERS: GMS CAPITAL PARTNERS, LP GROUP MEMBERS: JOACHIM GFOELLER SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: SONICWALL INC CENTRAL INDEX KEY: 0001093885 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-BUSINESS SERVICES, NEC [7389] IRS NUMBER: 770270079 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-58485 FILM NUMBER: 1525949 BUSINESS ADDRESS: STREET 1: 1160 BORDEAUX DRIVE CITY: SUNNYVALE STATE: CA ZIP: 94089 BUSINESS PHONE: 4087459600 MAIL ADDRESS: STREET 1: 5400 BETSY ROSS DR CITY: SANTA CLARA STATE: CA ZIP: 95054 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: GMS CAPITAL INVESTMENTS LLC CENTRAL INDEX KEY: 0001133867 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 405 PARK AVENUE STREET 2: 16TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 SC 13G 1 0001.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No._____)* SonicWALL, Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock, no par value - -------------------------------------------------------------------------------- (Title of Class of Securities) 835470 10 5 - -------------------------------------------------------------------------------- (CUSIP Number) c/o GMS Capital Investments LLC Joachim Gfoeller, Managing Partner 405 Park Avenue, 16th Floor New York, NY 10022 - -------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) November 14, 2000 - -------------------------------------------------------------------------------- (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [_] Rule 13d-1(b) [X] 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). SCHEDULE 13G CUSIP No. 835470 10 5 ----------- - ------------------------------------------------------------------------------ NAME OF REPORTING PERSON 1 S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON GMS Capital Partners, L.P. - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [X] (b) [_] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 Delaware - ------------------------------------------------------------------------------ SOLE VOTING POWER 5 NUMBER OF 3,523,918 SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 6 OWNED BY 0 ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7 REPORTING 3,523,918 PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 8 0 - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 3,523,918 - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* 10 [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 11 5.6% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* 12 PN - ------------------------------------------------------------------------------ SCHEDULE 13G CUSIP No. 835470 10 5 ----------- - ------------------------------------------------------------------------------ NAME OF REPORTING PERSON 1 S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON GMS Capital Investments, LLC - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [X] (b) [_] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 Delaware - ------------------------------------------------------------------------------ SOLE VOTING POWER 5 NUMBER OF 3,523,918 SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 6 OWNED BY 0 ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7 REPORTING 3,523,918 PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 8 0 - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 3,523,918 - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* 10 [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 5.6% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* 12 OO - ------------------------------------------------------------------------------ SCHEDULE 13G CUSIP No. 835470 10 5 ----------- - ------------------------------------------------------------------------------ NAME OF REPORTING PERSON 1 S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Joachim Gfoeller - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [X] (b) [_] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 United States - ------------------------------------------------------------------------------ SOLE VOTING POWER 5 NUMBER OF 25,215 SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 6 OWNED BY 3,523,918 ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7 REPORTING 25,215 PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 8 3,523,918 - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 3,549,133 - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* 10 [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 5.7% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* 12 IN - ------------------------------------------------------------------------------ SCHEDULE 13G CUSIP No. 835470 10 5 ----------- - ------------------------------------------------------------------------------ NAME OF REPORTING PERSON 1 S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON David Mock - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [X] (b) [_] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 United States - ------------------------------------------------------------------------------ SOLE VOTING POWER 5 NUMBER OF 116,349 SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 6 OWNED BY 3,523,918 ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7 REPORTING 116,349 PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 8 3,523,918 - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 3,640,267 - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* 10 [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 5.8% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* 12 IN - ------------------------------------------------------------------------------ Item 1. (a) Name of Issuer: SonicWALL, Inc. ("Issuer") (b) Address of Issuer's Principal Executive Offices: 1160 Bordeaux Drive Sunnyvale, CA 94089 Item 2. (a) Name of Person Filing: GMS Capital Partners, L.P. ("GMS") GMS Capital Investments, LLC ("GMS Capital") Joachim Gfoeller ("Gfoeller") David Mock ("Mock") (b) Address of Principal Business Offices: 405 Park Avenue, 16/th/ Floor New York, NY 10022 (c) Citizenship/Place of Organization: Entities: GMS - Delaware GMS Capital - Delaware Individuals Gfoeller - United States Mock - United States (d) Title of Class of Securities: Common Stock (e) CUSIP Number: 835470 10 5 Item 3. Not Applicable Item 4. Ownership See items 5 to 11 of the cover page. Of these shares, 25,215 are held of record by Gfoeller, 116,349 are held of record by a limited liability company wholly owned by Mock, and 3,523,918 are held of record by GMS, which persons have the sole power to direct the vote and disposition of such shares. As the sole general partner of GMS, GMS Capital also is deemed to have the sole power to direct the vote and disposition of the shares held of record by GMS. As the managers of GMS Capital, Gfoeller, and Mock are also deemed to share the power to direct the vote and disposition of the shares held of record by GMS. Item 5. Ownership of Five Percent of Less of a Class Not Applicable. Item 6. Ownership of More than Five Percent on Behalf of Another Person. Not Applicable. Item 7. Identification and Classification of the Subsidiary which Acquired the Security Being Reported on By the Parent Holding Company. Not Applicable. Item 8. Identification and Classification of Members of the Group No reporting person is a member of a group as defined in Section 240.13d-1(b)(1)(ii)(H) of the Act. Item 9. Notice of Dissolution of Group Not Applicable. Item 10. Certification 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. 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. Date: February 2, 2001 GMS Capital Partners, L.P. By: GMS Capital Investments, LLC, General Partner By: /s/ Joachim Gfoeller --------------------------------- Joachim Gfoeller, Manager GMS Capital Investments, LLC By: /s/ Joachim Gfoeller --------------------------------- Joachim Gfoeller, Manager /s/ Joachim Gfoeller - -------------------------------------- Joachim Gfoeller, /s/ David Mock - -------------------------------------- David Mock -----END PRIVACY-ENHANCED MESSAGE-----