-----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, BrP2RqxBd0KG7hAgPiMNFust9hV1egNHLrDRodVEpc2Gr8f78qRgO4/05PiOYhWl AC+39UdnavPeV8R7/oxZvg== 0000950134-07-001617.txt : 20070130 0000950134-07-001617.hdr.sgml : 20070130 20070130162255 ACCESSION NUMBER: 0000950134-07-001617 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20070130 DATE AS OF CHANGE: 20070130 GROUP MEMBERS: MERCURY FUND IV LTD GROUP MEMBERS: MERCURY FUND VI LTD GROUP MEMBERS: MERCURY FUND VII LTD GROUP MEMBERS: MERCURY MANAGEMENT LLC GROUP MEMBERS: MERCURY VENTURES II LTD GROUP MEMBERS: MERCURY VENTURES LTD FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: HOWE KEVIN C CENTRAL INDEX KEY: 0001209253 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 2707 HIBERNIA CITY: DALLAS STATE: TX ZIP: 75204 BUSINESS PHONE: 214 522 7909 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: DATAWATCH CORP CENTRAL INDEX KEY: 0000792130 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 020405716 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-44549 FILM NUMBER: 07564876 BUSINESS ADDRESS: STREET 1: 175 CABOT STREET STREET 2: SUITE 503 CITY: LOWELL STATE: MA ZIP: 01854-3633 BUSINESS PHONE: 978-441-2200 MAIL ADDRESS: STREET 1: 175 CABOT STREET STREET 2: SUITE 503 CITY: LOWELL STATE: MA ZIP: 01854-3633 SC 13G/A 1 d43115asc13gza.htm AMENDMENT TO SCHEDULE 13G sc13gza
 

     
 
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549
SCHEDULE 13G
(Rule 13d-102)
INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO
RULES 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b)

Under the Securities Exchange Act of 1934
(Amendment No. 1)*

Datawatch Corporation
(Name of Issuer)
Common Stock, $0.01 par value
(Title of Class of Securities)
237917-20-8
(CUSIP Number)
December 31, 2006
(Date of Event Which Requires Filing of this Statement)

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

     þ Rule 13d-1(b)

     o Rule 13d-1(c)

     o 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).

Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.

 
 

 

                     
CUSIP No.
  
 
   Page  
2 
   of   
17 

 

           
1   NAMES OF REPORTING PERSONS:
Mercury Fund IV, Ltd.
   
  I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY): 
    11-3669642
     
2   CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS):
  (a)   o
  (b)   o
     
3   SEC USE ONLY:
   
   
     
4   CITIZENSHIP OR PLACE OF ORGANIZATION:
   
  Texas
       
  5   SOLE VOTING POWER:
     
NUMBER OF   75,818(1)
       
SHARES 6   SHARED VOTING POWER:
BENEFICIALLY    
OWNED BY   -0-
       
EACH 7   SOLE DISPOSITIVE POWER:
REPORTING    
PERSON   75,818(1)
       
WITH: 8   SHARED DISPOSITIVE POWER:
     
    -0-
     
9   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON:
   
  75,818(1)
     
10   CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS):
   
  o
     
11   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9):
   
  1.37%(2)
     
12   TYPE OF REPORTING PERSON (SEE INSTRUCTIONS):
   
  PN
(1)   Kevin C. Howe (“Mr. Howe”) exercises voting and disposition power over such shares on behalf of Mercury Management, L.L.C. (“Mercury Management”), the General Partner of Mercury Ventures, Ltd. (“Mercury Ventures”), which is the General Partner of Mercury Fund IV, Ltd. (“Mercury IV”).
 
(2)   Assumes a total of 5,516,923 shares of common stock outstanding based on Datawatch Corporation’s Quarterly Report on Form 10-Q for the quarterly period ended September 30, 2006.

 

 

                     
CUSIP No.
  
37245R107 
   Page  
3 
   of   
17 

 

           
1   NAMES OF REPORTING PERSONS:
Mercury Fund VI, Ltd.
   
  I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY): 
    20-2196404
     
2   CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS):
  (a)   o
  (b)   o
     
3   SEC USE ONLY:
   
   
     
4   CITIZENSHIP OR PLACE OF ORGANIZATION:
   
  Texas
       
  5   SOLE VOTING POWER:
     
NUMBER OF   127,095(1)
       
SHARES 6   SHARED VOTING POWER:
BENEFICIALLY    
OWNED BY   -0-
       
EACH 7   SOLE DISPOSITIVE POWER:
REPORTING    
PERSON   127,095(1)
       
WITH: 8   SHARED DISPOSITIVE POWER:
     
    -0-
     
9   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON:
   
  127,095(1)
     
10   CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS):
   
  o
     
11   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9):
   
  2.30%(2)
     
12   TYPE OF REPORTING PERSON (SEE INSTRUCTIONS):
   
  PN
(1)   Kevin C. Howe (“Mr. Howe”) exercises voting and disposition power over such shares on behalf of Mercury Management, L.L.C. (“Mercury Management”), the General Partner of Mercury Ventures, Ltd. (“Mercury Ventures”), which is the General Partner of Mercury Fund VI, Ltd. (“Mercury VI”).
 
(2)   Assumes a total of 5,516,923 shares of common stock outstanding based on Datawatch Corporation’s Quarterly Report on Form 10-Q for the quarterly period ended September 30, 2006.

 

                     
CUSIP No.
  
37245R107 
   Page  
4 
   of   
17 

 

           
1   NAMES OF REPORTING PERSONS:
Mercury Fund VII, Ltd.
   
  I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY): 
    20-4881368
     
2   CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS):
  (a)   o
  (b)   o
     
3   SEC USE ONLY:
   
   
     
4   CITIZENSHIP OR PLACE OF ORGANIZATION:
   
  Texas
       
  5   SOLE VOTING POWER:
     
NUMBER OF   225,461(1)
       
SHARES 6   SHARED VOTING POWER:
BENEFICIALLY    
OWNED BY   -0-
       
EACH 7   SOLE DISPOSITIVE POWER:
REPORTING    
PERSON   225,461(1)
       
WITH: 8   SHARED DISPOSITIVE POWER:
     
    -0-
     
9   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON:
   
  225,461(1)
     
10   CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS):
   
  o
     
11   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9):
   
  4.09%(2)
     
12   TYPE OF REPORTING PERSON (SEE INSTRUCTIONS):
   
  PN
(1)   Mr. Howe exercises voting and disposition power over such shares on behalf of Mercury Management, the General Partner of Mercury Ventures II, Ltd. (“Mercury Ventures II”), which is the General Partner of Mercury Fund VII, Ltd. (“Mercury VII”).
 
(2)   Assumes a total of 5,516,923 shares of common stock outstanding based on Datawatch Corporation’s Quarterly Report on Form 10-Q for the quarterly period ended September 30, 2006.

 

                     
CUSIP No.
  
3724R107 
   Page  
5 
   of   
17 

 

           
1   NAMES OF REPORTING PERSONS:
Mercury Ventures, Ltd.
   
  I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY): 
    75-2796235
     
2   CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS):
  (a)   þ
  (b)   o
     
3   SEC USE ONLY:
   
   
     
4   CITIZENSHIP OR PLACE OF ORGANIZATION:
   
  Texas
       
  5   SOLE VOTING POWER:
     
NUMBER OF   202,913 (1)
       
SHARES 6   SHARED VOTING POWER:
BENEFICIALLY    
OWNED BY   -0-
       
EACH 7   SOLE DISPOSITIVE POWER:
REPORTING    
PERSON   202,913 (1)
       
WITH: 8   SHARED DISPOSITIVE POWER:
     
    -0-
     
9   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON:
   
  202,913 (1)
     
10   CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS):
   
  o
     
11   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9):
   
  3.68%(2)
     
12   TYPE OF REPORTING PERSON (SEE INSTRUCTIONS):
   
  PN
(1)   Mr. Howe exercises voting and disposition power over such shares on behalf of Mercury Management, the General Partner of Mercury Ventures, which is the General Partner of Mercury IV and Mercury VI. Includes 75,818 shares owned by Mercury IV and 127,095 shares owned by Mercury VI.
 
(2)   Assumes a total of 5,516,923 shares of common stock outstanding based on Datawatch Corporation’s Quarterly Report on Form 10-Q for the quarterly period ended September 30, 2006.

 

                     
CUSIP No.
  
37245R107 
   Page  
6 
   of   
17 

 

           
1   NAMES OF REPORTING PERSONS:
Mercury Ventures II, Ltd.
   
  I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY): 
    20-4736567
     
2   CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS):
  (a)   o
  (b)   o
     
3   SEC USE ONLY:
   
   
     
4   CITIZENSHIP OR PLACE OF ORGANIZATION:
   
  Texas
       
  5   SOLE VOTING POWER:
     
NUMBER OF   225,461 (1)
       
SHARES 6   SHARED VOTING POWER:
BENEFICIALLY    
OWNED BY   -0-
       
EACH 7   SOLE DISPOSITIVE POWER:
REPORTING    
PERSON   225,461 (1)
       
WITH: 8   SHARED DISPOSITIVE POWER:
     
    -0-
     
9   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON:
   
  225,461 (1)
     
10   CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS):
   
  o
     
11   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9):
   
  4.09%(2)
     
12   TYPE OF REPORTING PERSON (SEE INSTRUCTIONS):
   
  PN
(1)   Mr. Howe exercises voting and disposition power over such shares on behalf of Mercury Management, the General Partner of Mercury Ventures II, which is the General Partner of Mercury VII, the owner of all 225,461 shares.
 
(2)   Assumes a total of 5,516,923 shares of common stock outstanding based on Datawatch Corporation’s Quarterly Report on Form 10-Q for the quarterly period ended September 30, 2006.

 

                     
CUSIP No.
  
37245R107 
   Page  
7 
   of   
17 

 

           
1   NAMES OF REPORTING PERSONS:
Mercury Management, L.L.C.
   
  I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY): 
    75-2796232
     
2   CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS):
  (a)   o
  (b)   o
     
3   SEC USE ONLY:
   
   
     
4   CITIZENSHIP OR PLACE OF ORGANIZATION:
   
  Texas
       
  5   SOLE VOTING POWER:
     
NUMBER OF   428,374(1)
       
SHARES 6   SHARED VOTING POWER:
BENEFICIALLY    
OWNED BY   -0-
       
EACH 7   SOLE DISPOSITIVE POWER:
REPORTING    
PERSON   428,374(1)
       
WITH: 8   SHARED DISPOSITIVE POWER:
     
    -0-
     
9   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON:
   
  428,374(1)
     
10   CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS):
   
  o
     
11   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9):
   
  7.76%(2)
     
12   TYPE OF REPORTING PERSON (SEE INSTRUCTIONS):
   
  OO
(1)   Mr. Howe exercises voting and disposition power over such shares on behalf of Mercury Management, the General Partner of Mercury Ventures and Mercury Ventures II. Mercury Ventures is the General Partner of Mercury IV and Mercury VI. Mercury Ventures II is the General Partner of Mercury VII. Includes 75,818 shares owned by Mercury IV, 127,095 shares owned by Mercury VI and 225,461 shares owned by Mercury VII.
 
(2)   Assumes a total of 5,516,923 shares of common stock outstanding based on Datawatch Corporation’s Quarterly Report on Form 10-Q for the quarterly period ended September 30, 2006.

 

                     
CUSIP No.
  
37245R107 
   Page  
8 
   of   
17 

 

           
1   NAMES OF REPORTING PERSONS:
Kevin C. Howe
   
  I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY): 
    75-2796232
     
2   CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS):
  (a)   o
  (b)   o
     
3   SEC USE ONLY:
   
   
     
4   CITIZENSHIP OR PLACE OF ORGANIZATION:
   
  United States
       
  5   SOLE VOTING POWER:
     
NUMBER OF   428,374(1)
       
SHARES 6   SHARED VOTING POWER:
BENEFICIALLY    
OWNED BY   -0-
       
EACH 7   SOLE DISPOSITIVE POWER:
REPORTING    
PERSON   428,374(1)
       
WITH: 8   SHARED DISPOSITIVE POWER:
     
    -0-
     
9   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON:
   
  428,374(1)
     
10   CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS):
   
  o
     
11   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9):
   
  7.76%(2)
     
12   TYPE OF REPORTING PERSON (SEE INSTRUCTIONS):
   
  IN
(1)   Mr. Howe exercises voting and disposition power over such shares on behalf of Mercury Management, the General Partner of Mercury Ventures and Mercury Ventures II. Mercury Ventures is the General Partner of Mercury IV and Mercury VI. Mercury Ventures II is the General Partner of Mercury VII. Includes 75,818 shares owned by Mercury IV, 127,095 shares owned by Mercury VI and 225,461 shares owned by Mercury VII.
 
(2)   Assumes a total of 5,516,923 shares of common stock outstanding based on Datawatch Corporation’s Quarterly Report on Form 10-Q for the quarterly period ended September 30, 2006, of which 1.37% are owned by Mercury IV, 2.30% are owned by Mercury VI and 4.09% are owned by Mercury VII.
*SEE INSTRUCTIONS BEFORE FILLING OUT!

 

                     
CUSIP No. 
  
37245R107
   Page  
9 
   of   
17 
Introduction
     Pursuant to Rule 13d-1(k)(1) of the Securities Exchange Act of 1934, Mercury Fund IV, Ltd. (“Mercury IV”), Mercury Fund VI, Ltd. (“Mercury VI”), Mercury Fund VII, Ltd. (“Mercury VII”), Mercury Ventures, Ltd. (“Mercury Ventures”), Mercury Ventures II, Ltd. (“Mercury Ventures II”), Mercury Management, L.L.C. (“Mercury Management”) and Kevin C. Howe (“Mr. Howe”) are making this joint filing on Schedule 13G.
     
Item 1(a).
  Name of Issuer:
 
    
 
  Datawatch Corporation, a Delaware corporation
 
    
Item 1(b).
  Address of Issuer’s Principal Executive Offices:
 
    
 
  271 Mill Road, Quorum Office Park, Chelmsford, MA 01824
 
    
Item 2(a).
  Name of Person Filing:
 
    
 
  Mercury Fund IV, Ltd.
 
    
 
  Mercury Fund VI, Ltd.
 
    
 
  Mercury Fund VII, Ltd.
 
    
 
  Mercury Ventures, Ltd.
 
    
 
  Mercury Ventures II, Ltd.
 
    
 
  Mercury Management, L.L.C.
 
    
 
  Kevin C. Howe
 
    
Item 2(b).
  Address of Principal Business Office or, if None, Residence:
 
    
 
  The principal business office of Mercury IV, Mercury VI, Mercury VII, Mercury Ventures, Mercury Ventures II, Mercury Management and Mr. Howe is 5416 Arbor Hollow, McKinney, Texas 75070
 
    
Item 2(c).
  Citizenship:
 
    
 
  Mercury IV’s place of organization is Texas
 
    
 
  Mercury VI’s place of organization is Texas
 
    
 
  Mercury VII’s place of organization is Texas
 
    
 
  Mercury Ventures’ place of organization is Texas
 
    
 
  Mercury Ventures II’s place of organization is Texas
 
    
 
  Mercury Management’s place of organization is Texas

 

 

                     
CUSIP No. 
  
37245R107
   Page  
10 
   of   
17 
     
 
  Mr. Howe is a citizen of the United States
 
    
Item 2(d).
  Title of Class of Securities:
 
    
 
  Common Stock, $0.01 par value per share
 
    
Item 2(e).
  CUSIP Number:
 
    
 
  237917-20-8
 
    
Item 3.
  If this statement is filed pursuant to Rules 13d-1(b), or 13d-2(b) or (c), check whether the person filing is a:
 
    
 
  Not Applicable.
 
    
Item 4.
  Ownership:
Mercury IV
         
(a) Amount beneficially owned:
     75,818 (1)
(b) Percent of class:
     1.37 %(2)
(c) Number of shares as to which the person has:
        
(i) Sole power to vote or direct the vote
     75,818 (1)
(ii) Shared power to vote or direct the vote
     -0-  
(iii) Sole power to dispose or to direct the disposition of
     75,818 (1)
(iv) Shared power to dispose or to direct the disposition of
     -0-  
 
(1)   Mr. Howe exercises voting and disposition power over such shares on behalf of Mercury Management, the General Partner of Mercury Ventures, which is the General Partner of Mercury IV.
 
(2)   Assumes a total of 5,516,923 shares of common stock outstanding based on Datawatch Corporation’s Quarterly Report on Form 10-Q for the quarterly period ended September 30, 2006.
Mercury VI
         
(d) Amount beneficially owned:
     127,095 (1)
(e) Percent of class:
     2.30 %(2)
(f) Number of shares as to which the person has:
        
(i) Sole power to vote or direct the vote
     127,095 (1)
(ii) Shared power to vote or direct the vote
     -0-  
(iii) Sole power to dispose or to direct the disposition of
     127,095 (1)
(iv) Shared power to dispose or to direct the disposition of
     -0-  

 

 

                     
CUSIP No. 
  
37245R107
   Page  
11 
   of   
17 
 
(1)   Mr. Howe exercises voting and disposition power over such shares on behalf of Mercury Management, the General Partner of Mercury Ventures, which is the General Partner of Mercury VI.
 
(2)   Assumes a total of 5,516,923 shares of common stock outstanding based on Datawatch Corporation’s Quarterly Report on Form 10-Q for the quarterly period ended September 30, 2006.

 

 

                     
CUSIP No. 
  
37245R107
   Page  
12 
   of   
17 
Mercury VII
         
(a) Amount beneficially owned:
     225,461 (1)
(b) Percent of class:
     4.09 %(2)
(c) Number of shares as to which the person has:
        
(i) Sole power to vote or direct the vote
     225,461 (1)
(ii) Shared power to vote or direct the vote
     -0-  
(iii) Sole power to dispose or to direct the disposition of
     225,461 (1)
(iv) Shared power to dispose or to direct the disposition of
     -0-  
 
(1)   Mr. Howe exercises voting and disposition power over such shares on behalf of Mercury Management, the General Partner of Mercury Ventures II, which is the General Partner of Mercury VII.
 
(2)   Assumes a total of 5,516,923 shares of common stock outstanding based on Datawatch Corporation’s Quarterly Report on Form 10-Q for the quarterly period ended September 30, 2006.
Mercury Ventures
         
(a) Amount beneficially owned:
     202,913 (1)
(b) Percent of class:
     3.68 %(2)
(c) Number of shares as to which the person has:
        
(i) Sole power to vote or direct the vote
     202,913 (1)
(ii) Shared power to vote or direct the vote
     -0-  
(iii) Sole power to dispose or to direct the disposition of
     202,913 (1)
(iv) Shared power to dispose or to direct the disposition of
     -0-  
 
((1)   Mr. Howe exercises voting and disposition power over such shares on behalf of Mercury Management, the General Partner of Mercury Ventures, which is the General Partner of Mercury IV and Mercury VI. Includes 75,818 shares owned by Mercury IV and 127,095 shares owned by Mercury VI.
 
(2)   Assumes a total of 5,516,923 shares of common stock outstanding based on Datawatch Corporation’s Quarterly Report on Form 10-Q for the quarterly period ended September 30, 2006.

 

 

                     
CUSIP No. 
  
37245R107
   Page  
13 
   of   
17 
Mercury Ventures II
         
(a) Amount beneficially owned:
     225,461 (1)
(b) Percent of class:
     4.09 %(2)
(c) Number of shares as to which the person has:
        
(i) Sole power to vote or direct the vote
     225,461 (1)
(ii) Shared power to vote or direct the vote
     -0-  
(iii) Sole power to dispose or to direct the disposition of
     225,461 (1)
(iv) Shared power to dispose or to direct the disposition of
     -0-  
 
(1)   Mr. Howe exercises voting and disposition power over such shares on behalf of Mercury Management, the General Partner of Mercury Ventures II, which is the General Partner of Mercury VII, the owner of all 225,461 shares.
 
(2)   Assumes a total of 5,516,923 shares of common stock outstanding based on Datawatch Corporation’s Quarterly Report on Form 10-Q for the quarterly period ended September 30, 2006.

 

 

                     
CUSIP No. 
  
37245R107
   Page  
14 
   of   
17 
Mercury Management
         
(a) Amount beneficially owned:
     428,374 (1)
(b) Percent of class:
     7.76 %(2)
(c) Number of shares as to which the person has:
        
(i) Sole power to vote or direct the vote
     428,374 (1)
(ii) Shared power to vote or direct the vote
     -0-  
(iii) Sole power to dispose or to direct the disposition of
     428,374 (1)
(iv) Shared power to dispose or to direct the disposition of
     -0-  
 
(1)   Mr. Howe exercises voting and disposition power over such shares on behalf of Mercury Management, the General Partner of Mercury Ventures and Mercury Ventures II. Mercury Ventures is the General Partner of Mercury IV and Mercury VI. Mercury Ventures II is the General Partner of Mercury VII. Includes 75,818 shares owned by Mercury IV, 127,095 shares owned by Mercury VI and 225,461 shares owned by Mercury VII.
 
(2)   Assumes a total of 5,516,923 shares of common stock outstanding based on Datawatch Corporation’s Quarterly Report on Form 10-Q for the quarterly period ended September 30, 2006, of which 1.37% are owned by Mercury IV, 2.30% are owned by Mercury VI and 4.09% are owned by Mercury VII.
Mr. Howe
         
(a) Amount beneficially owned:
     428,374 (1)
(b) Percent of class:
     7.76 %(2)
(c) Number of shares as to which the person has:
        
(i) Sole power to vote or direct the vote
     428,374 (1)
(ii) Shared power to vote or direct the vote
     -0-  
(iii) Sole power to dispose or to direct the disposition of
     428,374 (1)
(iv) Shared power to dispose or to direct the disposition of
     -0-  
 
(1)   Mr. Howe exercises voting and disposition power over such shares on behalf of Mercury Management, the General Partner of Mercury Ventures and Mercury Ventures II. Mercury Ventures is the General Partner of Mercury IV and Mercury VI. Mercury Ventures II is the General Partner of Mercury VII. Includes 75,818 shares owned by Mercury IV, 127,095 shares owned by Mercury VI and 225,461 shares owned by Mercury VII.
 
(2)   Assumes a total of 5,516,923 shares of common stock outstanding based on Datawatch Corporation’s Quarterly Report on Form 10-Q for the quarterly period ended September 30, 2006, of which 2.30% are owned by Mercury VI and 4.09% are owned by Mercury VII.
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.

 

 

                     
CUSIP No. 
  
37245R107
   Page  
15 
   of   
17 
     
 
  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:
 
    
 
  The following lists each member of the group filing this Schedule 13G pursuant to Rule 13d-1(c):
 
    
 
  Mercury Fund IV, Ltd.
 
    
 
  Mercury Fund VI, Ltd.
 
    
 
  Mercury Fund VII, Ltd.
 
    
 
  Mercury Ventures, Ltd.
 
    
 
  Mercury Ventures II, Ltd. Mercury Management, L.L.C.
 
    
 
  Kevin C. Howe
 
    
Item 9.
  Notice of Dissolution of 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.
[Remainder of Page Intentionally Left Blank]

 

 

                     
CUSIP No. 
  
37245R107
   Page  
16 
   of   
17 
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.
                 
January 30, 2007   MERCURY FUND IV, LTD.    
 
    By:   MERCURY VENTURES, LTD.    
        General Partner    
 
                
    By:   MERCURY MANAGEMENT, L.L.C.    
        General Partner    
 
                
 
      By:   /s/ Kevin C. Howe    
 
               
        Name: Kevin C. Howe    
        Title: Manager    
 
                
January 30, 2007   MERCURY FUND VI, LTD.    
 
    By:   MERCURY VENTURES, LTD.    
        General Partner    
 
                
    By:   MERCURY MANAGEMENT, L.L.C.    
        General Partner    
 
                
 
      By:   /s/ Kevin C. Howe    
 
               
        Name: Kevin C. Howe    
        Title: Manager    
 
                
January 30, 2007   MERCURY FUND VII, LTD.    
 
                
    By: MERCURY VENTURES II, LTD.
    General Partner
 
                
    By: MERCURY MANAGEMENT, L.L.C.
    General Partner
 
                
 
  By: /s/ Kevin C. Howe
 
           
        Name: Kevin C. Howe    
        Title: Manager    
 
                
January 30, 2007   MERCURY VENTURES, LTD.    
 
                
    By: MERCURY MANAGEMENT, L.L.C.    
    General Partner    
 
                
 
  By: /s/ Kevin C. Howe
 
           
        Name: Kevin C. Howe    
        Title: Manager    

 

 

                     
CUSIP No. 
  
37245R107
   Page  
17 
   of   
17 
                 
January 30, 2007       MERCURY VENTURES II, LTD.
 
                
        By: MERCURY MANAGEMENT, L.L.C.    
        General Partner    
 
                
 
      By:   /s/ Kevin C. Howe    
 
               
            Name: Kevin C. Howe    
            Title: Manager    
 
                
January 30, 2007       MERCURY MANAGEMENT, L.L.C.
 
                
 
      By:   /s/ Kevin C. Howe    
 
               
            Name: Kevin C. Howe    
            Title: Manager    
       
January 30, 2007
  /s/ Kevin C. Howe  
 
     
 
  Name: Kevin C. Howe  

 

EX-99.A 2 d43115aexv99wa.htm JOINT FILING AGREEMENT exv99wa
 

EXHIBIT A
JOINT FILING AGREEMENT

 

 

SCHEDULE 13G
JOINT FILING AGREEMENT
     This Agreement is dated as of January 30, 2007 by and between Mercury Fund IV, Ltd. (“Mercury IV”), Mercury Fund VI, Ltd. (“Mercury VI”), Mercury Fund VII, Ltd. (“Mercury VII”), Mercury Ventures, Ltd. (“Mercury Ventures”), Mercury Ventures II, Ltd. (“Mercury Ventures II”), Mercury Management, L.L.C. (“Mercury Management”) and Kevin C. Howe (“Mr. Howe”).
     WHEREAS, pursuant to paragraph (k)(1) of Rule 13d-1 promulgated under Section 13d(1) of the Securities Exchange Act of 1934, as amended (the “Act”), the parties hereto have decided to satisfy their filing obligations under the Act by a single joint filing.
     NOW, THEREFORE, the undersigned do hereby agree as follows:
     1. The Schedule 13G (the “Schedule 13G”) with respect to Datawatch Corporation, a Delaware corporation, to which this Agreement is attached as Exhibit A is filed on behalf of Mercury IV, Mercury VI, Mercury VII, Mercury Ventures, Mercury Ventures II, Mercury Management and Mr. Howe. Mercury VI, Mercury VII, Mercury Ventures and Mercury Management hereby authorize Mr. Howe to file the Schedule 13G on their behalf.
     2. Each of Mercury IV, Mercury VI, Mercury VII, Mercury Ventures, Mercury Ventures II, Mercury Management and Mr. Howe is responsible for the completeness and accuracy of the information concerning such person or entity contained therein; provided that each person or entity is not responsible for the completeness or accuracy of the information concerning any other person or entity making such filing.
[Remainder of Page Intentionally Left Blank]

 

 

     IN WITNESS WHEREOF, the undersigned hereunto set their hands as of the date first above written.
                     
    MERCURY FUND IV, LTD.    
 
    By:   MERCURY VENTURES, LTD.    
        General Partner    
 
                    
        By:   MERCURY MANAGEMENT, L.L.C.    
            General Partner    
 
                    
 
          By:   /s/ Kevin C. Howe    
 
                   
            Name: Kevin C. Howe    
            Title: Manager    
                     
    MERCURY FUND VI, LTD.    
 
                    
    By:   MERCURY VENTURES, LTD.    
        General Partner    
 
                    
        By:   MERCURY MANAGEMENT, L.L.C.    
            General Partner    
 
                    
 
          By:   /s/ Kevin C. Howe    
 
                   
            Name: Kevin C. Howe    
            Title: Manager    
                     
    MERCURY FUND VII, LTD.    
 
                    
    By:   MERCURY VENTURES, LTD.    
        General Partner    
 
                    
        By:   MERCURY MANAGEMENT, L.L.C.    
            General Partner    
 
                    
 
          By:   /s/ Kevin C. Howe    
 
                   
            Name: Kevin C. Howe    
            Title: Manager    
                 
    MERCURY VENTURES, LTD.
 
                
    By:   MERCURY MANAGEMENT, L.L.C. General Partner    
 
                
 
      By:   /s/ Kevin C. Howe    
 
               
        Name: Kevin C. Howe    
        Title: Manager    

 

 

                     
    MERCURY VENTURES II, LTD.    
 
                    
    By:   MERCURY MANAGEMENT, L.L.C.    
        General Partner    
 
                    
 
          By:   /s/ Kevin C. Howe    
 
                   
            Name: Kevin C. Howe    
            Title: Manager    
             
    MERCURY MANAGEMENT, L.L.C.    
 
            
 
  By:   /s/ Kevin C. Howe    
 
           
    Name: Kevin C. Howe    
    Title: Manager    
         
 
  /s/ Kevin C. Howe    
 
       
 
  Name: Kevin C. Howe    

 

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