-----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, CeznYLa8TfaenxwJn8yjbXqYVBoFXpUjo/bEavCDn/ei+Jfk/KR9hkuboIe3NhKu B+cjLuVPJQXz4VW2uI4SqQ== 0001144204-11-000761.txt : 20110105 0001144204-11-000761.hdr.sgml : 20110105 20110105150154 ACCESSION NUMBER: 0001144204-11-000761 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20110105 DATE AS OF CHANGE: 20110105 GROUP MEMBERS: KINDERHOOK GP, LLC GROUP MEMBERS: STEPHEN J. CLEARMAN GROUP MEMBERS: TUSHAR SHAH SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ACTIVE POWER INC CENTRAL INDEX KEY: 0001044435 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRIC SERVICES [4911] IRS NUMBER: 742642142 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-59961 FILM NUMBER: 11510426 BUSINESS ADDRESS: STREET 1: 2128 WEST BRAKER LANE, BK12 CITY: AUSTIN STATE: TX ZIP: 78758 BUSINESS PHONE: 5128366464 MAIL ADDRESS: STREET 1: 2128 WEST BRAKER LANE, BK12 CITY: AUSTIN STATE: TX ZIP: 78758 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: KINDERHOOK PARTNERS, LP CENTRAL INDEX KEY: 0001220338 IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: ONE EXECUTIVE DRIVE, SUITE 160 STREET 2: SUITE 160 CITY: FORT LEE STATE: NJ ZIP: 07024 BUSINESS PHONE: 2014619292 MAIL ADDRESS: STREET 1: ONE EXECUTIVE DRIVE, SUITE 160 STREET 2: SUITE 160 CITY: FORT LEE STATE: NJ ZIP: 07024 FORMER COMPANY: FORMER CONFORMED NAME: KINDERHOOK PARTNERS L P DATE OF NAME CHANGE: 20030224 SC 13G/A 1 v207369_sc13g-a.htm
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C.  20549

SCHEDULE 13G/A

Under the Securities Exchange Act of 1934
(Amendment No. 2*)

Active Power, Inc.
(Name of Issuer)

Common Stock, par value $0.001
(Title of Class of Securities)

00504W100
(CUSIP Number)

December 31, 2010
(Date of Event which Requires Filing
of this Statement)

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

o           Rule 13d-1(b)
x           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 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).

 
 
 


1
Name of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only)
 
  
 
Stephen J. Clearman
2
Check the Appropriate Box if a Member of a Group (See Instructions)
 
(a) o
 
(b) x
3
SEC Use Only
 
  
   
4
Citizenship or Place of Organization
   
 
United States of America
 
5
Sole Voting Power
     
 
  
0
Number of
6
Shared Voting Power
Shares
    
Beneficially
  
7,000,000
Owned by
7
Sole Dispositive Power
Each Reporting
    
Person With
  
0
 
8
Shared Dispositive Power
     
 
  
7,000,000
9
Aggregate Amount Beneficially Owned by Each Reporting Person 
 
  
 
7,000,000
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) 
 
  
 
8.8%
12
Type of Reporting Person (See Instructions)
   
 
IN
 
 
 
 
 
 
 
 
1
Name of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only)
 
  
 
Tushar Shah
2
Check the Appropriate Box if a Member of a Group (See Instructions)
 
(a) o
 
(b) x
3
SEC Use Only
 
  
   
4
Citizenship or Place of Organization
   
 
United States of America
 
5
Sole Voting Power
     
 
  
0
Number of
6
Shared Voting Power
Shares
    
Beneficially
  
7,000,000
Owned by
7
Sole Dispositive Power
Each Reporting
    
Person With
  
0
 
8
Shared Dispositive Power
     
 
  
7,000,000
9
Aggregate Amount Beneficially Owned by Each Reporting Person 
 
  
 
7,000,000
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) 
 
  
 
8.8%
12
Type of Reporting Person (See Instructions)
   
 
IN
 
 
 
 
 
 
1
Name of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only)
 
  
 
Kinderhook GP, LLC
2
Check the Appropriate Box if a Member of a Group (See Instructions)
 
(a) o
 
(b) x
3
SEC Use Only
 
  
   
4
Citizenship or Place of Organization
   
 
Delaware
 
5
Sole Voting Power
     
 
  
0
Number of
6
Shared Voting Power
Shares
    
Beneficially
  
7,000,000
Owned by
7
Sole Dispositive Power
Each Reporting
    
Person With
  
0
 
8
Shared Dispositive Power
     
 
  
7,000,000
9
Aggregate Amount Beneficially Owned by Each Reporting Person 
 
  
 
7,000,000
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) 
 
  
 
8.8%
12
Type of Reporting Person (See Instructions)
   
 
OO
 
 
 
 
 
 
 
1
Name of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only)
 
  
 
Kinderhook Partners, LP
2
Check the Appropriate Box if a Member of a Group (See Instructions)
 
(a) o
 
(b) x
3
SEC Use Only
 
  
   
4
Citizenship or Place of Organization
   
 
Delaware
 
5
Sole Voting Power
     
 
  
0
Number of
6
Shared Voting Power
Shares
    
Beneficially
  
7,000,000
Owned by
7
Sole Dispositive Power
Each Reporting
    
Person With
  
0
 
8
Shared Dispositive Power
     
 
  
7,000,000
9
Aggregate Amount Beneficially Owned by Each Reporting Person 
 
  
 
7,000,000
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) 
 
  
 
8.8%
12
Type of Reporting Person (See Instructions)
   
 
PN
 
 
 
 
 
 
 
 
Item
1(a) 
Name of Issuer:
 
Active Power, Inc. (the "Issuer").
 
 
1(b) 
Address of the Issuer's Principal Executive Offices:

2128 W. Braker Lane, BK12
Austin, TX 78758

Item 
2(a) 
Name of Person Filing:

Stephen J. Clearman
Tushar Shah
Kinderhook GP, LLC
Kinderhook Partners, LP

 
2(b) 
Address of Principal Business Office, or, if None, Residence:

1 Executive Drive
Suite 160
Fort Lee, NJ 07024

 
2(c) 
Citizenship:

Stephen J. Clearman - United States of America
Tushar Shah - United States of America
Kinderhook GP, LLC - Delaware
Kinderhook Partners, LP - Delaware

 
2(d) 
Title of Class of Securities:

Common Stock, par value $0.001

 
2(e) 
CUSIP Number:

00504W100

Item 
3.
This statement is filed pursuant to Rule 13d-1(c).

Item 
4. 
Ownership:

Ownership as of December 31, 2010 is incorporated herein by reference from items (5) – (9) and (11) of the cover page of this Schedule 13G.
 
Item 
5. 
Ownership of Five Percent or 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:

Not applicable.
 
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 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 such purpose or effect.
 
 
 
 
 
 
 
 
 
SIGNATURES


After reasonable inquiry and to the best of my knowledge and belief, the undersigned certifies that the information set forth in this statement is true, complete and correct.

 

 
Date: January 5, 2011
KINDERHOOK PARTNERS, L.P.
  
       
 
By:
/s/ Stephen J. Clearman
  
 
 
Name: Stephen J. Clearman
  
 
 
Title: Managing Member
  
       
 
KINDERHOOK GP, LLC
  
       
 
By:
/s/ Stephen J. Clearman
  
 
 
Name: Stephen J. Clearman
  
 
 
Title: Managing Member
  
       
 
/s/ Tushar Shah
  
 
Name: Tushar Shah
  
       
 
/s/ Stephen J. Clearman
  
 
Name: Stephen J. Clearman
  

 

 
 
 
 
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