-----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, IGLtF1Xool6McsQ7NepyOEQOy+QZqquYlYsRbYefxx222apt8cQ98y88qKrXA7cd /nJjj1eCYkNrLcBRvoKNVA== 0000898432-03-000365.txt : 20030421 0000898432-03-000365.hdr.sgml : 20030421 20030421152457 ACCESSION NUMBER: 0000898432-03-000365 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20030421 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: KIMBERLIN KEVIN CENTRAL INDEX KEY: 0000904841 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: SPENCER TRASK SECURITIES INC STREET 2: 535 MADISON AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2123555565 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: HOME DIRECTOR INC CENTRAL INDEX KEY: 0000715031 STANDARD INDUSTRIAL CLASSIFICATION: COMMUNICATIONS EQUIPMENT, NEC [3669] IRS NUMBER: 522143430 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-36663 FILM NUMBER: 03656853 BUSINESS ADDRESS: STREET 1: 2525 COLLIER CANYON ROAD STREET 2: - CITY: LIVERMORE STATE: CA ZIP: 94551 BUSINESS PHONE: (925) 373 - 0438 MAIL ADDRESS: STREET 1: 2525 COLLIER CANYON ROAD STREET 2: - CITY: LIVERMORE STATE: CA ZIP: 94551 FORMER COMPANY: FORMER CONFORMED NAME: NETWORD INC DATE OF NAME CHANGE: 19920703 FORMER COMPANY: FORMER CONFORMED NAME: HOME DIRECTOR INC DATE OF NAME CHANGE: 20030205 SC 13G 1 homedirector_13g.txt SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. __)* HOME DIRECTOR, INC. ----------------------------------------------------------------- (Name of Issuer) Common Stock, par value $0.01 per share ----------------------------------------------------------------- (Title of Class of Securities) 437082 10 0 ----------------------------------- (CUSIP Number) March 28, 2003 (Date of Issuer's filing of Form 8-A) ------------------------------------------------------- (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 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act. - -------------------------------------------------------------------------------- CUSIP No. 437082 10 0 - -------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSON Kevin B. Kimberlin - -------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [X] - -------------------------------------------------------------------------------- 3. SEC USE ONLY - -------------------------------------------------------------------------------- 4. CITIZENSHIP OR PLACE OF ORGANIZATION USA - -------------------------------------------------------------------------------- AGGREGATE AMOUNT 5. SOLE VOTING POWER 677,781 OF SHARES ----------------------------------------------- BENEFICIALLY 6. SHARED VOTING POWER 0 OWNED BY ----------------------------------------------- REPORTING 7. SOLE DISPOSITIVE POWER 677,781 PERSON ----------------------------------------------- 8. SHARED DISPOSITIVE POWER 0 - -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON 677,781 - -------------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] - -------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 16.2% - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON IN - -------------------------------------------------------------------------------- Item 1. (a) Name of Issuer: Home Director, Inc. (b) Address of Issuer's Principal Executive Offices: 2525 Collier Canyon Road Livermore, CA 94550 Item 2. (a) Name of Person Filing: Kevin B. Kimberlin (b) Address of Principal Business Office: c/o 535 Madison Avenue, 18th Floor New York, NY 10022 (c) Citizenship: USA (d) Title of Class of Securities: Common Stock, $0.01 par value (e) CUSIP Number: 437082 10 0 Item 3. If this Statement is filed pursuant to Rule 13d-1(b) or 13d-2(b) or (c), check the status of the person filing: Not applicable. Item 4. Ownership (a) Amount beneficially owned: 677,781 shares of Common Stock. (b) Percent of class: 16.2% (c) Number of shares as to which the person has: (i) Sole power to vote or to direct the vote: 677,781 (ii) Shared power to vote or to direct the vote: -0- (iii) Sole power to dispose or to direct the disposition of: 677,781 (iv) Shared power to dispose or to direct the disposition of: -0- Kevin B. Kimberlin is the non-member manager of both Spencer Trask Intellectual Capital Company, LLC, a Delaware limited liability company ("STICC"), and Spencer Trask Investment Partners LLC, a Delaware limited liability company ("STIP"). Mr. Kimberlin is also the controlling stockholder of Spencer Trask & Co. (formerly known as Spencer Trask Holdings, Inc.), a Delaware corporation ("STC"), which wholly owns Spencer Trask Ventures, Inc. (formerly known as Spencer Trask Securities, Incorporated), a Delaware corporation ("STVI"). The principal place of business of each of STICC, STIP, STC and STVI is c/o 535 Madison Avenue, 18th floor, New York, NY 10022. Of the amount reported above, as of March 28, 2003, STICC directly held 78,546 shares of the Issuer's common stock; STIP directly held 74,412 shares of common stock and presently exercisable warrants to purchase 10,630 additional shares of common stock; and STVI directly held 8,727 shares of common stock and presently exercisable warrants to purchase 505,466 additional shares of common stock. Based on the Issuer's Form 8-A filed with the Securities and Exchange Commission on March 28, 2003, as of that date, 3,668,413 shares of the Issuer's common stock were issued and outstanding and, based on such number, Mr. Kimberlin, the reporting person, beneficially owned 16.2% of such class of stock. 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 Securities Being Reported on By the Parent Holding Company or Control Person: 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 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. Date: April 21, 2003 /s/ Kevin B. Kimberlin ---------------------------------- Kevin B. 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