-----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, JE2kwXih6oiRZm8/iHwqsp0EwK4UWLniAJ6vRffFdcn5ZAS40g1icyDHrsPZKFYB +q+Pkdjo4JgVfZvLg64v3g== 0001116354-04-000005.txt : 20040128 0001116354-04-000005.hdr.sgml : 20040128 20040128105313 ACCESSION NUMBER: 0001116354-04-000005 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20040128 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: AVATECH SOLUTIONS INC CENTRAL INDEX KEY: 0000852437 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 841035353 STATE OF INCORPORATION: DE FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-47261 FILM NUMBER: 04548033 BUSINESS ADDRESS: STREET 1: 11403 CRONHILL DRIVE STREET 2: SUITE A CITY: OWING MILLS STATE: MD ZIP: 21117 BUSINESS PHONE: 4109026900 MAIL ADDRESS: STREET 1: 11403 CRONHILL DRIVE STREET 2: SUITE A CITY: OWING MILLS STATE: MD ZIP: 21117 FORMER COMPANY: FORMER CONFORMED NAME: PLANETCAD INC DATE OF NAME CHANGE: 20001117 FORMER COMPANY: FORMER CONFORMED NAME: SPATIAL TECHNOLOGY INC DATE OF NAME CHANGE: 19960708 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: AVATECH SOLUTIONS INC CENTRAL INDEX KEY: 0000852437 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 841035353 STATE OF INCORPORATION: DE FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 11403 CRONHILL DRIVE STREET 2: SUITE A CITY: OWING MILLS STATE: MD ZIP: 21117 BUSINESS PHONE: 4109026900 MAIL ADDRESS: STREET 1: 11403 CRONHILL DRIVE STREET 2: SUITE A CITY: OWING MILLS STATE: MD ZIP: 21117 FORMER COMPANY: FORMER CONFORMED NAME: PLANETCAD INC DATE OF NAME CHANGE: 20001117 FORMER COMPANY: FORMER CONFORMED NAME: SPATIAL TECHNOLOGY INC DATE OF NAME CHANGE: 19960708 SC 13G/A 1 avatech13ga11804.txt AVATECH SOLUTIONS, INC. 13G/A 1-18-04 SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 ------------ SCHEDULE 13G/A (Rule 13d-102) INFORMATION STATEMENT PURSUANT TO RULES 13d-1 AND 13d-2 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Avatech Solutions, Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock - -------------------------------------------------------------------------------- (Title of Class of Securities) 05349Y 10 4 - -------------------------------------------------------------------------------- (CUSIP Number) January 18, 2004 - -------------------------------------------------------------------------------- (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) --------------- - ------------------------------- ------------------------------- CUSIP No. 05349Y 10 4 13G/A Page 2 of 8 Pages - ------------------------------- ------------------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS Eugene J. Fischer - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* _ (a) |_| _ (b) |_| - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION USA - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF 1,128 SHARES BENEFICIALLY ----------------------------------------------------------- OWNED BY EACH 6 SHARED VOTING POWER REPORTING 1,927,025 PERSON WITH ----------------------------------------------------------- 7 SOLE DISPOSITIVE POWER 1,128 ----------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 1,927,025 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,928,153 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES CERTAIN SHARES* _ |_| - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 17.1% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- - ------------------------------- ------------------------------- CUSIP No. 05349Y 10 4 13G/A Page 3 of 8 Pages - ------------------------------- ------------------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS Barbara L. Santry - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* _ (a) |_| _ (b) |_| - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION USA - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF 0 SHARES BENEFICIALLY ----------------------------------------------------------- OWNED BY EACH 6 SHARED VOTING POWER REPORTING 1,927,025 PERSON WITH ----------------------------------------------------------- 7 SOLE DISPOSITIVE POWER 0 ----------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 1,927,025 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,927,025 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES CERTAIN SHARES* _ |_| - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 17.1% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- - ------------------------------- ------------------------------- CUSIP No. 05349Y 10 4 13G/A Page 4 of 8 Pages - ------------------------------- ------------------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS Capstone SBIC Management, Inc. 94-3280419 - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* _ (a) |_| _ (b) |_| - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF 0 SHARES BENEFICIALLY ----------------------------------------------------------- OWNED BY EACH 6 SHARED VOTING POWER REPORTING 1,927,025 PERSON WITH ----------------------------------------------------------- 7 SOLE DISPOSITIVE POWER 0 ----------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 1,927,025 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,927,025 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES CERTAIN SHARES* _ |_| - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 17.1% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* CO - -------------------------------------------------------------------------------- - ------------------------------- ------------------------------- CUSIP No. 05349Y 10 4 13G/A Page 5 of 8 Pages - ------------------------------- ------------------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS Capstone Ventures SBIC, L.P. 94-3295103 - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* _ (a) |_| _ (b) |_| - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF 1,927,025 SHARES BENEFICIALLY ----------------------------------------------------------- OWNED BY EACH 6 SHARED VOTING POWER REPORTING 0 PERSON WITH ----------------------------------------------------------- 7 SOLE DISPOSITIVE POWER 1,927,025 ----------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 0 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,927,025 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES CERTAIN SHARES* _ |_| - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 17.1% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* PN - -------------------------------------------------------------------------------- SCHEDULE 13G Item 1(a). Name of Issuer: Avatech Solutions, Inc. Item 1(b). Address of Issuer's Principal Executive Offices: 11400 Cronridge Drive, Suite A, Owings Mills, Maryland 21117 Item 2(a). Names of Persons Filing: Eugene J. Fischer Barbara L. Santry Capstone Ventures SBIC, L.P., Capstone SBIC Management, Inc. Item 2(b). Address of Principal Business Office or, if none, Residence: The principal business office of Eugene J. Fischer, Barbara L. Santry, Capstone Ventures SBIC, L.P., and Capstone SBIC Management, Inc. is: 3000 Sand Hill Road, Building 1, Suite 290, Menlo Park, CA 94025 Item 2(c). Citizenship: Eugene J. Fischer USA Barbara L. Santry USA Capstone SBIC Management, Inc. Delaware Capstone Ventures SBIC, L.P. Delaware Item 2(d). Title of Class of Securities: Common Stock Item 2(e). CUSIP Number: 05349Y 10 4 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: As of January 18, 2003, the following shares were beneficially owned by the Reporting Persons:
Eugene J. Fischer (a) Amount beneficially owned: 1,928,153 (b) Percent of class: 17.1% (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote: 1,128 (ii) Shared power to vote or to direct the vote: 1,927,025 (iii) Sole power to dispose or to direct the disposition of: 1,128 (iv) Shared power to dispose or to direct the disposition of: 1,927,025 Barbara L. Santry (a) Amount beneficially owned: 1,927,025 (b) Percent of class: 17.1% (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote: 0 (ii) Shared power to vote or to direct the vote: 1,927,025 (iii) Sole power to dispose or to direct the disposition of: 0 (iv) Shared power to dispose or to direct the disposition of: 1,927,025 Capstone SBIC Management, Inc. (a) Amount beneficially owned: 1,927,025 (b) Percent of class: 17.1% (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote: 0 (ii) Shared power to vote or to direct the vote: 1,927,025 (iii) Sole power to dispose or to direct the disposition of: 0 (iv) Shared power to dispose or to direct the disposition of: 1,927,025 Capstone Ventures SBIC, L.P. (a) Amount beneficially owned: 1,927,025 (b) Percent of class: 17.1% (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote: 1,927,025 (ii) Shared power to vote or to direct the vote: 0 (iii) Sole power to dispose or to direct the disposition of: 1,927,025 (iv) Shared power to dispose or to direct the disposition of: 0
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: 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. CAPSTONE VENTURES, SBIC, L.P. By: CAPSTONE SBIC MANAGEMENT, INC., its General Partner Date: January 21, 2004 By: /s/ ------------------------- --------------------------------- Eugene J. Fischer, President CAPSTONE SBIC MANAGEMENT, INC Date: January 21, 2004 By: /s/ ------------------------- -------------------------------------- Eugene J. Fischer, President Date: January 21, 2004 /s/ ------------------------- --------------------------------------- Eugene J. Fischer Date: January 21, 2004 /s/ ------------------------- --------------------------------------- Barbara L. Santry Exhibit A --------- AGREEMENT OF JOINT FILING In accordance with Rule 13d-1(k) under the Securities and Exchange Act of 1934, as amended, the undersigned hereby agree to the joint filing on behalf of each of them of a Statement on Schedule 13G, and any amendments thereto, with respect to the Common Stock, par value $0.01 per share, of Avatech Solutions, Inc., and that this Agreement be included as an Exhibit to such filing. This Agreement may be executed in any number of counterparts, each of which shall be deemed an original and all of which together shall be deemed to constitute one and the same Agreement. IN WITNESS WHEREOF, each of the undersigned hereby executes this Agreement as of November 26, 2003. CAPSTONE VENTURES, SBIC, L.P. By: CAPSTONE SBIC MANAGEMENT, INC., its General Partner Date: January 21, 2004 By: /s/ ------------------------- --------------------------------- Eugene J. Fischer, President CAPSTONE SBIC MANAGEMENT, INC Date: January 21, 2004 By: /s/ ------------------------- -------------------------------------- Eugene J. Fischer, President Date: January 21, 2004 /s/ ------------------------- --------------------------------------- Eugene J. Fischer Date: January 21, 2004 /s/ ------------------------- --------------------------------------- Barbara L. Santry -----END PRIVACY-ENHANCED MESSAGE-----