-----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, H0BDQAuPLinTb21TVSG/2NTFjG6IX0pkGLgJX6ZO33M+oeSDWnndYXJ4rJUUFOqt ZdCvkUpRFyZonn1yZCnB0g== 0000950134-06-003045.txt : 20060214 0000950134-06-003045.hdr.sgml : 20060214 20060214171335 ACCESSION NUMBER: 0000950134-06-003045 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20060214 DATE AS OF CHANGE: 20060214 GROUP MEMBERS: NADER TAVAKOLI SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: AUSPEX SYSTEMS INC CENTRAL INDEX KEY: 0000860749 STANDARD INDUSTRIAL CLASSIFICATION: COMPUTER COMMUNICATIONS EQUIPMENT [3576] IRS NUMBER: 930963660 STATE OF INCORPORATION: DE FISCAL YEAR END: 0701 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-44681 FILM NUMBER: 06617091 BUSINESS ADDRESS: STREET 1: 2800 SCOTT BLVD CITY: SANTA CLARA STATE: CA ZIP: 95050 BUSINESS PHONE: 4085662000 MAIL ADDRESS: STREET 1: 2800 SCOTT BLVD CITY: SANTA CLARA STATE: CA ZIP: 95050 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: EagleRock Capital Management, L.L.C. CENTRAL INDEX KEY: 0001245844 IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 551 FIFTH AVENUE 34TH FL CITY: NEW YORK STATE: NY ZIP: 10176 BUSINESS PHONE: 2126925412 MAIL ADDRESS: STREET 1: 551 FIFTH AVENUE 34TH FL CITY: NEW YORK STATE: NY ZIP: 10176 FORMER COMPANY: FORMER CONFORMED NAME: EAGLEROCK CAPIAL MANAGEMENT LLC DATE OF NAME CHANGE: 20030624 SC 13G/A 1 d33058dsc13gza.htm AMENDMENT TO SCHEDULE 13G sc13gza
 

     
 
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

SCHEDULE 13G/A

Under the Securities Exchange Act of 1934
(Amendment No. 2)*

AUSPEX SYSTEMS, INC.
(Name of Issuer)
Common Stock, par value $.001 per share
(Title of Class of Securities)
052116100
(CUSIP Number)
December 31, 2005
(Date of Event Which Requires Filing of this Statement)

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

     o Rule 13d-1(b)

     þ Rule 13d-1(c)

     o 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 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).

Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.

 
 


 

                     
CUSIP No.
 
052116100 
 
04-2693383 

 

           
1   NAMES OF REPORTING PERSONS:
EagleRock Capital Management, LLC
   
  I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY): 
   
     
2   CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS):

  (a)   o
  (b)   o
     
3   SEC USE ONLY:
   
   
     
4   CITIZENSHIP OR PLACE OF ORGANIZATION:
   
  Delaware
       
  5   SOLE VOTING POWER:
     
NUMBER OF   2,996,392
       
SHARES 6   SHARED VOTING POWER:
BENEFICIALLY    
OWNED BY   0
       
EACH 7   SOLE DISPOSITIVE POWER:
REPORTING    
PERSON   2,996,392
       
WITH: 8   SHARED DISPOSITIVE POWER:
     
    0
     
9   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON:
   
  2,996,392
     
10   CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS):
   
  o
     
11   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9):
   
  6.5%**
     
12   TYPE OF REPORTING PERSON (SEE INSTRUCTIONS):
   
  CO

*SEE INSTRUCTIONS BEFORE FILLING OUT
**SEE ITEM 4(b).

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CUSIP No.
 
052116100 

 

           
1   NAMES OF REPORTING PERSONS:
Nader Tavakoli
   
  I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY): 
   
     
2   CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS):

  (a)   o
  (b)   o
     
3   SEC USE ONLY:
   
   
     
4   CITIZENSHIP OR PLACE OF ORGANIZATION:
   
  U.S. Citizen
       
  5   SOLE VOTING POWER:
     
NUMBER OF   3,328,471
       
SHARES 6   SHARED VOTING POWER:
BENEFICIALLY    
OWNED BY   0
       
EACH 7   SOLE DISPOSITIVE POWER:
REPORTING    
PERSON   3,328,471
       
WITH: 8   SHARED DISPOSITIVE POWER:
     
    0
     
9   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON:
   
  3,328,471
     
10   CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS):
   
  o
     
11   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9):
   
  7.3%**
     
12   TYPE OF REPORTING PERSON (SEE INSTRUCTIONS):
   
  IN

*SEE INSTRUCTIONS BEFORE FILLING OUT
**SEE ITEM 4(b).

3


 

AMENDMENT NO. 2 TO SCHEDULE 13G
     This Amendment No. 2 Schedule 13G is being filed on behalf of EagleRock Capital Management, L.L.C., a Delaware limited liability company (“EagleRock”), and Mr. Nader Tavakoli the principal of EagleRock, relating to shares of common stock, par value $.001 (the “Common Stock”), of Auspex Systems, Inc., a Delaware corporation (the “Issuer”), purchased by Mr. Nader Tavakoli, individually, and EagleRock for the account of EagleRock Master Fund, L.P., a Cayman Islands limited partnership (“EagleRock Master Fund”), and EagleRock Institutional Partners LP, a Delaware limited partnership (“ERIP”).
     The initial Schedule 13G was filed on behalf of Mariel Capital Management, L.L.C., a Delaware limited liability company (an affiliate of EagleRock and Mr. Tavakoli) which served as agent and attorney-in-fact to EagleRock Master Fund, ERIP and Mr. Tavakoli, on February 17, 2004 which was amended by Amendment No. 1, filed with the Securities and Exchange Commission on February 15, 2005.
           
Item 4
  Ownership.  
 
 
       
 
  Item 4 is hereby amended and restated as follows:  
 
 
       
 
  (a)   EagleRock is the beneficial owner of 2,996,392 shares of Common Stock, and Mr. Tavakoli is the beneficial owner of 3,328,471 shares of Common Stock.
 
       
 
  (b)   EagleRock is the beneficial owner of 6.5%, and Mr. Tavakoli is the beneficial owner of 7.3% of the outstanding shares of Common Stock. This percentage is determined by dividing the number of shares beneficially held by each reporting person by 45,854,703, the number of shares of Common Stock issued and outstanding as of February 7, 2003, as reported in the Issuer’s quarterly report on Form 10-Q filed February 11, 2003.
 
       
 
  (c)   EagleRock, as the investment manager of EagleRock Master Fund and ERIP, has the sole power to vote and dispose of the 2,996,392 shares of Common Stock held by EagleRock Master Fund and ERIP. As the principal of EagleRock, Mr. Tavakoli may direct the vote and disposition of the 3,328,471shares of Common Stock.
 
       
 
      The filing of this Schedule 13G shall not be construed as an admission that EagleRock or Mr. Tavakoli is for the purposes of Section 13(d) or 13(g) of the Securities Exchange Act of 1934, the beneficial owner of any of the 2,996,392 shares of Common Stock owned by EagleRock Master Fund or ERIP. Pursuant to Rule 13d-4, each of EagleRock and Mr. Tavakoli disclaims all such beneficial ownership.

4


 

     
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 Page Follows]

5


 

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: February 14, 2006
             
 
  EagleRock Capital Management, L.L.C.
 
       
 
  By:   /s/ Nader Tavakoli
 
       
 
      NADER TAVAKOLI, Managing Member
 
       
 
  /s/ Nader Tavakoli  
 
 
     
 
 
  Nader Tavakoli  
 

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