-----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, HpW488QiWZXUiFRWYVb0om9lqQVvR3V5jyC7Llqvox3mDRRXCvKhqVkgIxfn5sLc OGndE+ZoRLS/5B5A8+wChQ== 0001021408-02-000641.txt : 20020413 0001021408-02-000641.hdr.sgml : 20020413 ACCESSION NUMBER: 0001021408-02-000641 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20020122 GROUP MEMBERS: DAVID MOCK GROUP MEMBERS: GMS CAPITAL INVESTMENTS, LLC GROUP MEMBERS: JOACHIM GFOELLER FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: GMS CAPITAL INVESTMENTS LLC CENTRAL INDEX KEY: 0001133867 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 405 PARK AVENUE STREET 2: 16TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 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/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-58485 FILM NUMBER: 2513064 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 SC 13G/A 1 dsc13ga.txt AMENDMENT #1 TO SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* SonicWALL, Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock - -------------------------------------------------------------------------------- (Title of Class of Securities) 835470 10 5 ------------------------------ (CUSIP Number) c/o GMS Capital Investments, LLC Joachim Gfoeller, Jr., Managing Partner 405 Park Avenue, 16th Floor New York, NY 10022 (212) 832-4014 - -------------------------------------------------------------------------------- (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 purposes 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. 835470 10 5 ------------- - ------------------------------------------------------------------------------ NAME OF REPORTING PERSONS 1. I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only). GMS Capital Partners, L.P. - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP 2. (a) [_] (b) [_] - ------------------------------------------------------------------------------ SEC USE ONLY 3. - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4. Delaware - ------------------------------------------------------------------------------ SOLE VOTING POWER 5. NUMBER OF 358,526 SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 6. OWNED BY 0 ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7. REPORTING 358,526 PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 8. 0 - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9. 358,526 - ------------------------------------------------------------------------------ CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES 10. [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 11. 0.5% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON 12. PN - ------------------------------------------------------------------------------ CUSIP NO. 835470 10 5 ------------- - ------------------------------------------------------------------------------ NAME OF REPORTING PERSONS 1. I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only). GMS Capital Investments, LLC - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP 2. (a) [_] (b) [_] - ------------------------------------------------------------------------------ SEC USE ONLY 3. - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4. Delaware - ------------------------------------------------------------------------------ SOLE VOTING POWER 5. NUMBER OF 358,526 SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 6. OWNED BY 0 ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7. REPORTING 358,526 PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 8. 0 - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9. 358,526 - ------------------------------------------------------------------------------ CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES 10. [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 11. 0.5% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON 12. OO - ------------------------------------------------------------------------------ CUSIP No. 835470 10 5 ----------------- - ------------------------------------------------------------------------------ NAMES OF REPORTING PERSONS 1 I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only). Joachim Gfoeller, Jr. - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP 2 (a) [_] (b) [_] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 United States - ------------------------------------------------------------------------------ SOLE VOTING POWER 5 NUMBER OF 2,566 SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 6 OWNED BY 358,526 ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7 REPORTING 2,566 PERSON ----------------------------------------------------------- 8 SHARED DISPOSITIVE POWER WITH 358,526 - ------------------------------------------------------------------------------ 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 361,092 - ------------------------------------------------------------------------------ 10 CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 0.5% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON 12 IN - ------------------------------------------------------------------------------ CUSIP No. 835470 10 5 ----------------- - ------------------------------------------------------------------------------ NAMES OF REPORTING PERSONS 1 I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only). David Mock - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP 2 (a) [_] (b) [_] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 United States - ------------------------------------------------------------------------------ SOLE VOTING POWER 5 NUMBER OF 11,839 SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 6 OWNED BY 358,526 ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7 REPORTING 11,839 PERSON ----------------------------------------------------------- 8 SHARED DISPOSITIVE POWER WITH 358,526 - ------------------------------------------------------------------------------ 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 370,365 - ------------------------------------------------------------------------------ 10 CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 0.6% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON 12 IN - ------------------------------------------------------------------------------ Item 1. (a) Name of Issuer SonicWALL, Inc. (b) Address of Issuer's Principal Executive Office 1160 Bordeaux Drive Sunnyvale, CA 94089 Item 2. (a) Name of Person Filing GMS Capital Partners, L.P. GMS Capital Investments, LLC Joachim Gfoeller, Jr. David Mock (b) Address of Principal Business Office or, if none, Residence 405 Park Avenue, 16th Floor New York, NY 10022 (c) Citizenship/Place of Organization GMS Capital Partners, L.P............... Delaware GMS Capital Investments, LLC............ Delaware Joachim Gfoeller, Jr.................... United States David Mock.............................. United States (d) Title of Securities Common Stock (e) CUSIP Number 835470 10 5 Item 3. If this statement is filed pursuant to (S)(S) 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. 80-8). (e) [_] An investment adviser in accordance with (S) 240.13d- 1(b)(1)(ii)(E); (f) [_] An employee benefit plan or endowment fund in accordance with (S) 240.13d-1(b)(1)(ii)(F); (g) [_] A parent holding company or control person in accordance with (S) 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 (S) 240.13d-1(b)(1)(ii)(J). Item 4. Ownership See rows 5 to 11 of the cover pages. Of the aggregate number of shares reported in this schedule, 2,566 are held of record by Gfoeller, 11,839 are held of record by a limited liability company wholly owned by Mock, and 358,526 are held of record by GMS Capital Partners, L.P., which persons have the sole power to direct the vote an disposition of such shares. As the sole general partner of GMS Capital Partners, L.P., GMS Capital Investments, LLC also is deemed to have the sole power to direct the vote and disposition of the shares held of record by GMS Capital Partners. As the managers of GMS Capital Investments, LLC, Gfoeller and Mock are also deemed to share the power to direct the vote and disposition of the shares held of record by GMS Capital Partners, L.P. 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 [X]. 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 Not applicable Item 9. Notice of Dissolution of the Group Not Applicable Item 10. Certification 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. Dated: January 17, 2002 ---------------- GMS Capital Investments, LLC GMS Capital Partners, L.P. By: /s/ Joachim Gfoeller, Jr. By: GMS Capital Investments, LLC -------------------------- Its: General Partner Name: Joachim Gfoeller, Jr. Title: Managing Partner By: /s/ Joachim Gfoeller, Jr. -------------------------- Name: Joachim Gfoeller, Jr. Title: Managing Partner /s/ Joachim Gfoeller, Jr. /s/ David Mock --------------------------------- -------------------------- Joachim Gfoeller, Jr. David Mock -----END PRIVACY-ENHANCED MESSAGE-----