-----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, Q4b7KZqsHJbn4REkx7cEjC5C5pcdVkRVu7RTU8dYTIECeGOCRcXYQzM80BARRTfK 9yiSr5Ta9c7w4u38nMpMRA== 0001021771-04-000042.txt : 20040213 0001021771-04-000042.hdr.sgml : 20040213 20040213130013 ACCESSION NUMBER: 0001021771-04-000042 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20040213 GROUP MEMBERS: NEIL GAGNON FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: GAGNON NEIL CENTRAL INDEX KEY: 0001070170 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 1775 BROADWAY CITY: NEW YORK STATE: NY ZIP: 10019 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: PLX TECHNOLOGY INC CENTRAL INDEX KEY: 0000850579 STANDARD INDUSTRIAL CLASSIFICATION: SEMICONDUCTORS & RELATED DEVICES [3674] IRS NUMBER: 943008334 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-56235 FILM NUMBER: 04596699 BUSINESS ADDRESS: STREET 1: 870 MAUDE AVENUE CITY: SUNNYVALE STATE: CA ZIP: 94085 BUSINESS PHONE: 4087749060 SC 13G/A 1 amendment2.txt SCHEDULE 13G/A2 - PLX TECHNOLOGIES, INC. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b) (c), and (d) and AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. 2)1 PLX Technology, Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock, $.001 par value - -------------------------------------------------------------------------------- (Title of Class of Securities) 693417 10 7 - -------------------------------------------------------------------------------- (CUSIP Number) December 31, 2003 - -------------------------------------------------------------------------------- (Date of Event Which Requires Filing of this Statement) Check 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) - -------- 1 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). - --------------------- ------------------------ CUSIP NO. 693417 10 7 Page 2 of 6 Pages ----------- - - - --------------------- ------------------------ - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY) Neil Gagnon - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States of America - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER 622,047 NUMBER OF --------------------------------------------------------- SHARES 6 SHARED VOTING POWER BENEFICIALLY OWNED BY 368,809 EACH --------------------------------------------------------- REPORTING 7 SOLE DISPOSITIVE POWER PERSON WITH 606,812 --------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 1,233,988 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,840,800 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 7.7% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! Item 1(a) Name of Issuer: PLX Technology, Inc. Item 1(b) Address of Issuer's Principal Executive Offices: 870 Maude Avenue Sunnyvale, CA 94085 Item 2(a) Name of Person Filing: Neil Gagnon Item 2(b) Address of Principal Business Office or, if none, Residence: 1370 Avenue of the Americas Suite 2002 New York, NY 10019 Item 2(c) Citizenship: United States of America Item 2(d) Title of Class of Securities: Common Shares, par value $.001 per share Item 2(e) CUSIP Number: 693417 10 7 Item 3 If this Statement is Filed Pursuant to Rule 13d-1(b), or 13d-2(b) or (c), Check Whether the Person Filing is a: Not Applicable Item 4 Ownership. Item 4(a) Amount Beneficially Owned: As of December 31, 2003, Neil Gagnon beneficially owned 1,840,800 shares of Common Stock of PLX Technology, Inc., which amount includes (i) 431,330 shares beneficially owned by Mr. Gagnon over which he has sole voting and sole dispositive power; (ii) 14,585 shares beneficially owned by Mr. Gagnon over which he has sole voting and shared dispositive power; (iii) 208,012 shares beneficially owned by Lois Gagnon, Mr. Gagnon's wife, over which he has shared voting and shared dispositive power; (iv) 2,750 shares held by Mr. Gagnon and Mrs. Gagnon as Joint Tenants with Rights of Survivorship, over which he has shared voting and shared dispositive power; (v) 82,970 shares held by the Lois E. and Neil E. Gagnon Foundation (the "Foundation") (of which Mr. Gagnon is a trustee) over which he has shared voting and shared dispositive power; (vi) 75,077 shares held by the Gagnon Family Limited Partnership (the "Partnership") (of which Mr. Gagnon is a partner) over which Mr. Gagnon has shared voting and shared dispositive power; (vii) 60,273 shares held by the Gagnon Grandchildren Trust (the "Trust") over which Mr. Gagnon has shared dispositive but no voting power; (viii) 172,932 shares held by a hedge fund (of which Mr. Gagnon is the principal) over which Mr. Gagnon has sole dispositive and sole voting power; (ix) 2,550 shares held by the Gagnon Securities LLC P/S Plan (the "Plan") (of which Mr. Gagnon is a trustee) over which he has sole voting and sole dispositive power; (x) 650 shares held by the Plan over which Mr. Gagnon has sole voting and shared dispositive power; and (xi) 789,671 shares held for certain customers of Gagnon Securities LLC (of which Mr. Gagnon is the Managing Member and the principal owner) over which shares Mr. Gagnon has shared dispositive but no voting power. Item 4(b) Percent of Class: 7.7% beneficially owned by Mr. Gagnon. Calculation of percentage of beneficial ownership is based on 23,818,640 shares of Issuer's Common Stock outstanding on October 30, 2003 as reported by the Issuer in its Quarterly Report filed on Form 10-Q for the period ended September 30, 2003. Item 4(c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: 622,047 (ii) shared power to vote or to direct the vote: 368,809 (iii) sole power to dispose or to direct the disposition of: 606,812 (iv) shared power to dispose or to direct the disposition of: 1,233,988 Items 5-9. Not applicable. Filing of this statement by the Reporting Person shall not be deemed an admission that he beneficially owns the securities reported herein as held in customer accounts at Gagnon Securities LLC or by the Foundation, the Partnership, the Trust or the Plan. Mr. Gagnon expressly disclaims beneficial ownership of all securities held in such customer accounts or by the Foundation, the Partnership or the Trust. No single client's interest as reported in the customer accounts at Gagnon Securities LLC exceeds 5% of the outstanding Common Stock. 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. February 12, 2004 ----------------- Date /s/ Neil Gagnon ----------------- Neil Gagnon -----END PRIVACY-ENHANCED MESSAGE-----