0001214659-14-000529.txt : 20140123 0001214659-14-000529.hdr.sgml : 20140123 20140123121106 ACCESSION NUMBER: 0001214659-14-000529 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20140123 DATE AS OF CHANGE: 20140123 GROUP MEMBERS: JEFFREY H. STRASBERG GROUP MEMBERS: RIDGEWOOD VENTURE MANAGEMENT CORP GROUP MEMBERS: ROBERT E. SWANSON GROUP MEMBERS: ROBERT L. GOLD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: PEREGRINE SEMICONDUCTOR CORP CENTRAL INDEX KEY: 0000880177 STANDARD INDUSTRIAL CLASSIFICATION: SEMICONDUCTORS & RELATED DEVICES [3674] IRS NUMBER: 860652659 STATE OF INCORPORATION: DE FISCAL YEAR END: 1229 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-87286 FILM NUMBER: 14542100 BUSINESS ADDRESS: STREET 1: 9380 CARROLL PARK DRIVE CITY: SAN DIEGO STATE: CA ZIP: 92121 BUSINESS PHONE: 858-731-9400 MAIL ADDRESS: STREET 1: 9380 CARROLL PARK DRIVE CITY: SAN DIEGO STATE: CA ZIP: 92121 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Ridgewood Peregrine LLC CENTRAL INDEX KEY: 0001551316 IRS NUMBER: 760772192 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: C/O PEREGRINE SEMICONDUCTOR CORP. STREET 2: 9380 CARROLL PARK DR. CITY: SAN DIEGO STATE: CA ZIP: 92121 BUSINESS PHONE: 201-447-9000 MAIL ADDRESS: STREET 1: C/O PEREGRINE SEMICONDUCTOR CORP. STREET 2: 9380 CARROLL PARK DR. CITY: SAN DIEGO STATE: CA ZIP: 92121 SC 13G/A 1 a19140sc13ga1.htm AMENDMENT NO. 1 a19140sc13ga1.htm


UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549


SCHEDULE 13G/A
(Amendment No. 1)
Under the Securities Exchange Act of 1934


PEREGRINE SEMICONDUCTOR CORPORATION 
(Name of Issuer)


COMMON STOCK ($0.001 par value)
(Title of Class of Securities)

71366R703
(CUSIP Number)


December 31, 2013
(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)
        
o   Rule 13d-1(c)
 
x  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).
 


 
Page 1 of 12

 

CUSIP No. 71366R703
 
 
 
1
  
NAME OF REPORTING PERSONS
RIDGEWOOD PEREGRINE LLC
76-0772197
 
2
 
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP  
 
 (a) o
 (b) x
 
3
 
SEC USE ONLY
 
4
 
CITIZENSHIP OR PLACE OF ORGANIZATION 
 
State of Delaware
 
NUMBER OF
 
SHARES
 
5
 
SOLE VOTING POWER 0
 
BENEFICIALLY
 
OWNED BY
 
6
 
SHARED VOTING POWER 53,997 (See Item 4)
EACH
 
REPORTING
 
7
 
SOLE DISPOSITIVE POWER 0
 
 PERSON
 
WITH
 
8
 
SHARED DISPOSITIVE POWER 53,997 (See Item 4)
 
 
9
  
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 53,997 (See Item 4)
 
 
10
  
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES  o
 
 
11
 
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
 
0.2%
 
12
  
TYPE OF REPORTING PERSON PN
 

 
Page 2 of 12

 
 
CUSIP No. 71366R703
 

 
1
  
NAME OF REPORTING PERSONS
RIDGEWOOD VENTURE MANAGEMENT CORPORATION
22-3740307
 
2
 
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP  
 
 (a) o
 (b) x
 
3
 
SEC USE ONLY
 
4
 
CITIZENSHIP OR PLACE OF ORGANIZATION
 
State of Delaware
 
NUMBER OF
 
SHARES
 
5
 
SOLE VOTING POWER 0
 
BENEFICIALLY
 
OWNED BY
 
6
 
SHARED VOTING POWER 53,997 (See Item 4)
EACH
 
REPORTING
 
7
 
SOLE DISPOSITIVE POWER 0
 
 PERSON
 
WITH
 
8
 
SHARED DISPOSITIVE POWER 53,997 (See Item 4)
 
 
9
  
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON  53,997 (See Item 4)
 
 
10
  
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES  o
 
 
11
 
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
 
0.2%
 
12
  
TYPE OF REPORTING PERSON CO
 

 
Page 3 of 12

 
 
CUSIP No. 71366R703
 
 
 
1
  
NAME OF REPORTING PERSONS
ROBERT E. SWANSON
 
2
 
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP  
 
 (a) o
 (b) x
 
3
 
SEC USE ONLY
 
4
 
CITIZENSHIP OR PLACE OF ORGANIZATION 
 
USA
 
NUMBER OF
 
SHARES
 
5
 
SOLE VOTING POWER 0
 
BENEFICIALLY
 
OWNED BY
 
6
 
SHARED VOTING POWER 53,997 (See Item 4)
EACH
 
REPORTING
 
7
 
SOLE DISPOSITIVE POWER 0
 
 PERSON
 
WITH
 
8
 
SHARED DISPOSITIVE POWER 53,997 (See Item 4)
 
 
9
  
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 53,997 (See item 4)
 
 
10
  
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES  o
 
 
11
 
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
 
0.2%
 
12
  
TYPE OF REPORTING PERSON IN
 

 
Page 4 of 12

 
 
CUSIP No. 71366R703
 
 
 
1
  
NAME OF REPORTING PERSONS
ROBERT L. GOLD
 
2
 
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP  
 
 (a) o
 (b) x
 
3
 
SEC USE ONLY
 
4
 
CITIZENSHIP OR PLACE OF ORGANIZATION 
 
USA
 
NUMBER OF
 
SHARES
 
5
 
SOLE VOTING POWER 0
 
BENEFICIALLY
 
OWNED BY
 
6
 
SHARED VOTING POWER 53,997 (See Item 4)
EACH
 
REPORTING
 
7
 
SOLE DISPOSITIVE POWER 0
 
 PERSON
 
WITH
 
8
 
SHARED DISPOSITIVE POWER 53,997 (Item 4)
 
 
9
  
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 53,997 (See Item 4)
 
 
10
  
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES  o
 
 
11
 
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
 
0.2%
 
12
 
TYPE OF REPORTING PERSON IN
 

 
Page 5 of 12

 
      
CUSIP No. 71366R703
     
 
1
  
NAME OF REPORTING PERSONS
JEFFREY H. STRASBERG
 
2
 
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP  
 
 (a) o
 (b) x
 
3
 
SEC USE ONLY
 
4
 
CITIZENSHIP OR PLACE OF ORGANIZATION 
 
USA
 
NUMBER OF
 
SHARES
 
5
 
SOLE VOTING POWER 0
 
BENEFICIALLY
 
OWNED BY
 
6
 
SHARED VOTING POWER 53,997 (See Item 4)
EACH
 
REPORTING
 
7
 
SOLE DISPOSITIVE POWER 0
 
 PERSON
 
WITH
 
8
 
SHARED DISPOSITIVE POWER 53,997 (See Item 4)
 
 
9
  
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 53,997 (See Item 4)
 
 
10
 
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES  o
 
 
11
 
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
 
0.2%
 
12
 
TYPE OF REPORTING PERSON IN
 
 
 
Page 6 of 12

 
 
Item 1(a).  Name of Issuer: Peregrine Semiconductor Corporation
 
Item 1(b).  Address of Issuer’s Principal Executive Offices:

9380 Carroll Park Drive
San Diego, CA 92121 

Item 2(a).  Name of Person Filing:

RIDGEWOOD PEREGRINE, LLC (RP)
RIDGEWOOD VENTURE MANAGEMENT CORPORATION (RVMC)
ROBERT E. SWANSON (RES)
ROBERT L. GOLD (RLG)
JEFFREY H. STRASBERG (JHS)

The foregoing entities and individuals are collectively referred to as the “Reporting Persons”.  RVMC is the Manager of RP. RES, RLG and JHS are officers of RVMC designated with Voting Authority of RP’s shares of Issuer.
 
The Reporting Persons have entered into a Joint Filing Agreement, a copy of which is filed with this Schedule 13G as Exhibit A, pursuant to which the Reporting Persons have agreed to file this Schedule 13G jointly in accordance with the provisions of Rule 13d-1(k) of the Securities Exchange Act of 1934, as amended.
 
Item 2(b).  Address of Principal Business Office or, if None, Residence:

14 Philips Parkway
Montvale, NJ 07645 

Item 2(c).  Citizenship:

RES, RLG and JHS are citizens of U.S.A.
RP and RVMC are a Delaware limited liability company and a corporation, respectively.

Item 2(d).  Title of Class of Securities: Common Stock ($0.001 par value)
 
Item 2(e).  CUSIP Number: 71366R703
 
Item 3. If This Statement is Filed Pursuant to §§240.13d-1(b), or 240.13d-2(b) or (c), Check Whether the Person Filing is a: Not Applicable

 
(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)
 
An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E);

 
(f)
 
An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);

 
(g)
 
A parent holding company or control person in accordance with §240.13d-1(b)(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 (15 U.S.C. 80a-3);

 
(j)
 
Group, in accordance with §240.13d-1(b)(1)(ii)(J).
 
 
Page 7 of 12

 
 
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: RP owns 53,997 shares of Peregrine Semiconductor Corporation and RVMC, RES, RLG and JHS may be deemed to beneficially own 53,997 shares of Peregrine Semiconductor Corporation as of December 31, 2013.
          
(b) Percent of class:
 
RP:                   0.2%
RVMC:            0.2%
RES:                0.2%
RLG:                0.2%
JHS:                 0.2%
 
(c) Number of shares as to which such person has:

(i) Sole power to vote or to direct the vote
 
N/A
 
(ii) Shared power to vote or to direct the vote
 
RP:                   53,997 shares
RVMC:            53,997 shares
RES:                53,997 shares
RLG:                53,997 shares
JHS:                 53,997 shares

(iii) Sole power to dispose or to direct the disposition of

N/A

(iv) Shared power to dispose or to direct the disposition of
 
RP:                   53,997 shares
RVMC:            53,997 shares
RES:                53,997 shares
RLG:                53,997 shares
JHS:                 53,997 shares
             
Each of RMVC, RES, RLG and JHS disclaim beneficial ownership of any shares of common stock of Peregrine Semiconductor Corporation except to the extent of his or her pecuniary interest therein, and this report shall not be deemed an admission that RMVC, RES, RLG or JHS is the beneficial owner of any shares of common stock of Peregrine Semiconductor Corporation for purposes of Section 16 of the Exchange Act, or for any other purpose.

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 or Control Person.

Not Applicable  
 
 
Page 8 of 12

 
 
Item 8.  Identification and Classification of Members of the Group.

Not Applicable

Item 9.  Notice of Dissolution of Group.

Not Applicable
 
 
 

 
 
 
Page 9 of 12

 
 
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 23, 2014
 
 
RIDGEWOOD PEREGRINE, LLC, a Delaware limited liability company

By: RIDGEWOOD VENTURE MANAGEMENT CORPORATION, Its Manager


By:
/s/ ROBERT L. GOLD
 
 
Robert L. Gold, President
 

RIDGEWOOD VENTURE MANAGEMENT CORPORATION, a Delaware corporation

By:
/s/ ROBERT L. GOLD
 
 
Robert. L Gold, President
 



/s/ ROBERT E. SWANSON
 
Robert E. Swanson
 
   
/s/ ROBERT L. GOLD
 
Robert L. Gold
 
   
/s/ JEFFREY H. STRASBERG
 
Jeffrey H. Strasberg
 
 
 
Page 10 of 12

 
 
EXHIBIT INDEX
 
Found on
Sequentially
Exhibit
Numbered Page
   
Exhibit A: Agreement of Joint Filing
12
 
 
 
 
 
 
 
Page 11 of 12

 
 
EXHIBIT A
Agreement of Joint Filing

The undersigned acknowledge and agree that the foregoing statement on Schedule 13G is filed on behalf of each of the undersigned and that all subsequent amendments to this statement on Schedule 13G shall be filed on behalf of each of the undersigned without the necessity of filing additional joint filing statements. The undersigned acknowledge that each shall be responsible for the timely filing of such amendments, and for the completeness and accuracy of the information concerning him, her or it contained herein, but shall not be responsible for the completeness and accuracy of the information concerning the other entities or persons, except to the extent that he, she or it knows or has reason to believe that such information is inaccurate.

Date: January 23, 2014

RIDGEWOOD PEREGRINE, LLC
/s/ ROBERT L. GOLD
By RIDGEWOOD VENTURE MANAGEMENT CORP
Robert L. Gold
Its Manager
 
   
RIDGEWOOD VENTURE MANAGEMENT CORP
/s/ ROBERT L. GOLD
 
Robert L. Gold, President
   
ROBERT E. SWANSON
/s/ ROBERT E. SWANSON
 
Robert E. Swanson
   
ROBERT L. GOLD
/s/ ROBERT L. GOLD
 
Robert L. Gold
   
JEFFREY H. STRASBERG
/s/ JEFFREY H. STRASBERG
 
Jeffrey H. Strasberg

 

 Page 12 of 12