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