0001587474-14-000003.txt : 20140416 0001587474-14-000003.hdr.sgml : 20140416 20140415175935 ACCESSION NUMBER: 0001587474-14-000003 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20140416 DATE AS OF CHANGE: 20140415 GROUP MEMBERS: MARK N. ROSENBLATT GROUP MEMBERS: RATIONALWAVE ASSOCIATES CORP. GROUP MEMBERS: RATIONALWAVE ONSHORE EQUITY FUND, L.P. SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: Violin Memory Inc CENTRAL INDEX KEY: 0001407190 STANDARD INDUSTRIAL CLASSIFICATION: COMPUTER STORAGE DEVICES [3572] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 0131 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-87965 FILM NUMBER: 14766067 BUSINESS ADDRESS: STREET 1: 4555 GREAT AMERICA PARKWAY CITY: SANTA CLARA STATE: CA ZIP: 95054 BUSINESS PHONE: 650-396-1500 MAIL ADDRESS: STREET 1: 4555 GREAT AMERICA PARKWAY CITY: SANTA CLARA STATE: CA ZIP: 95054 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Rosenblatt Mark N CENTRAL INDEX KEY: 0001587474 FILING VALUES: FORM TYPE: SC 13G MAIL ADDRESS: STREET 1: 4555 GREAT AMERICA PARKWAY CITY: SANTA CLARA STATE: CA ZIP: 95054 SC 13G 1 vmem.txt SCHEDULE 13G FOR MARK ROSENBLATT UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 VIOLIN MEMORY, INC. ------------------------------------------------------------------------------- (Name of Issuer) COMMON STOCK ------------------------------------------------------------------------------- (Title of Class of Securities) 92763A101 ------------------------------------------------------------ (CUSIP Number) April 2, 2014 ------------------------------------------------------------ (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 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 (THE "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 8 Pages CUSIP NO. 92763A101 --------- - -------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Rationalwave Onshore Equity Fund, L.P. - -------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) [X] (b) [ ] - -------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF NONE SHARES BENEFICIALLY ------------------------------------------------- OWNED BY 6 SHARED VOTING POWER EACH REPORTING 4,286,237 PERSON ------------------------------------------------- WITH 7 SOLE DISPOSITIVE POWER NONE ------------------------------------------------- 8 SHARED DISPOSITIVE POWER 4,286,237 - -------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 4,286,237 - -------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] (SEE INSTRUCTIONS) - -------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 5.2% - -------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) PN - -------------------------------------------------------------------------- Page 2 of 8 Pages CUSIP NO. 92763A101 --------- - -------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Rationalwave Associates Corp. - -------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) [X] (b) [ ] - -------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF NONE SHARES BENEFICIALLY ------------------------------------------------- OWNED BY 6 SHARED VOTING POWER EACH REPORTING 4,454,364 PERSON ------------------------------------------------- WITH 7 SOLE DISPOSITIVE POWER NONE ------------------------------------------------- 8 SHARED DISPOSITIVE POWER 4,454,364 - -------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 4,454,364 - -------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] (SEE INSTRUCTIONS) - -------------------------------------------------------------------------- 11 PERCENTAGE OF CLASS REPRESENTED BY AMOUNT IN ROW 9 5.4% - -------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) CO - -------------------------------------------------------------------------- Page 3 of 8 Pages CUSIP NO. 92763A101 --------- - -------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Mark N. Rosenblatt - -------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) [X] (b) [ ] - -------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - -------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF 920,346 SHARES BENEFICIALLY ------------------------------------------------- OWNED BY 6 SHARED VOTING POWER EACH REPORTING 4,454,364 PERSON ------------------------------------------------- WITH 7 SOLE DISPOSITIVE POWER 920,346 ------------------------------------------------- 8 SHARED DISPOSITIVE POWER 4,454,364 - -------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 5,374,710 - -------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] (SEE INSTRUCTIONS) - -------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 6.5% - -------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) IN - -------------------------------------------------------------------------- Page 4 of 8 Pages ITEM 1(A) NAME OF ISSUER: Violin Memory, Inc. ITEM 1(B) ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: 4555 Great America Parkway Santa Clara, CA 95054 ITEM 2(a) NAME OF PERSON FILING: (i) Rationalwave Onshore Equity Fund, L.P., (Rationalwave Onshore),with respect to shares of Common Stock directly owned by it. (ii) Rationalwave Associates Corp., (Rationalwave Associates), with respect to shares of Common Stock directly owned by it. (iii) Mark N. Rosenblatt, (Mr. Rosenblatt), with respect to the Common Stock directly owned by him and directly owned by each of Rationalwave Onshore and Rationalwave Associates. The foregoing persons are hereinafter sometimes collectively referred to as the Reporting Persons. Any disclosures herein with respect to persons other than the Reporting Persons are made on information and believe after making inquiry to the appropriate party. ITEM 2(b) ADDRESS OF PRINCIPAL BUSINESS OFFICE, OR IF NONE, RESIDENCE: The address of the business office of each of the Reporting Persons is 108 Ardsley Road, Scarsdale, NY 10583 ITEM 2(c) CITIZENSHIP: Mr. Rosenblatt is a United States citizen. Rationalwave Onshore is a limited partnership organized under the laws of the State of Delaware. Rationalwave Associates is a Delaware corporation. ITEM 2(d) TITLE OF CLASS OF SECURITIES: Common Stock Page 5 of 8 Pages ITEM 2(e) CUSIP NUMBER: 92763A101 ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO SS.240.13D-1(B) OR SS. 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. 80a-8). (e) [ ] An investment adviser in accordance with ss.240.13d-1(b)(1)(ii)(E); (f) [ ] An employee benefit plan or endowment fund in accordance with ss.240.13d-1(b)(1)(ii)(F); (g) [ ] A parent holding company or control person in accordance with ss.240.13d-1(b)(1)(ii)(G); (h) [ ] A savings associations 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 ss.240.13d-1(b)(1)(ii)(J). ITEM 4. OWNERSHIP: This Statement is being filed with respect to an aggregate of 5,374,710 shares, comprised of 721,926 shares of Common Stock, 1,228,848 shares of Series 1 Preferred Stock, 2,679,217 shares of Series A Preferred Stock, 510,094 shares of Series B Preferred Stock, 150,000 shares of Series C Preferred Stock, 24,365 shares of Series D Preferred Stock, 57,092 shares of Common Stock on an as-converted basis from a Convertible Promissory Note, and 3,178 shares of Series D Preferred Stock on an as-converted basis from immediately exercisable warrants.Beneficial ownership is as follows: 1. Rationalwave Onshore Equity Fund, L.P., (a) Amount Beneficially owned: 4,286,237 (b) Percent of Class: 5.2% The percentages used herein and in the rest of Item 4 are calculated based on 82,475,181 Shares of Common Stock reported outstanding as of December 9, 2013 in the Company's most recent Quarterly Report on 10-Q for the period ended October 31, 2013. Page 6 of 8 Pages (c) (i) Sole power to vote or direct the vote: -0- (ii) Shared power to vote or direct the vote: 4,286,237 (iii) Sole power to dispose or direct the disposition: -0- (iv) Shared power to dispose or direct the disposition: 4,286,237 2. Rationalwave Associates Corp. (a) Amount Beneficially owned: 4,454,364 (b) Percent of Class: 5.4% (c) (i) Sole power to vote or direct the vote: -0- (ii) Shared power to vote or direct the vote: 4,454,364 (iii) Sole power to dispose or direct the disposition: -0- (iv) Shared power to dispose or direct the disposition: 4,454,364 3. Mark N. Rosenblatt (a) Amount Beneficially owned: 5,374,710 (b) Percent of Class: 6.5% (c) (i) Sole power to vote or direct the vote: 920,346 (ii) Shared power to vote or direct the vote: 4,454,364 (iii) Sole power to dispose or direct the disposition: 920,346 (iv) Shared power to dispose or direct the disposition: 4,454,364 ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS. N/A ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON. Rationalwave Associates, the discretionary investment manager of Rationalwave Onshore, has the power to direct the voting and disposition of shares held by Rationalwave Onshore. Mr. Rosenblatt is the President of Rationalwave Associate and in that capacity directs the voting and disposition of shares held by Rationalwave Onshore. Page 7 of 8 Pages ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY OR CONTROL PERSON. N/A ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP. See Item 2. ITEM 9. NOTICE OF DISSOLUTION OF GROUP. N/A 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 hereby certify that the information set forth in this statement is true, complete and correct. April 14, 2014 /s/ Mark N. Rosenblatt ---------------------------------- Mark N. Rosenblatt, for himself and as President of Rationalwave Associates Corp., for itself and as the investment manager of Rationalwave Onshore Equity Fund, L.P. Page 8 of 8 Pages