-----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, NZWuSMbiCtKktIUWep2kAIt8llYTI9jctSsW3WLRIDTXFHgKOA/Tojrf8Uk7N1d6 mYznx8FRL8cp3AQfyXbcNQ== 0000914248-02-000090.txt : 20021009 0000914248-02-000090.hdr.sgml : 20021009 20021009112338 ACCESSION NUMBER: 0000914248-02-000090 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20021009 GROUP MEMBERS: AUSTIN W. MARXE GROUP MEMBERS: AWM INVESTMENT COMPANY, INC. GROUP MEMBERS: DAVID M. GREENHOUSE GROUP MEMBERS: MG ADVISERS LLC GROUP MEMBERS: MGP ADVISERS LIMITED PARTNERSHIP GROUP MEMBERS: SPECIAL SITUATIONS CAYMAN FUND, L.P. GROUP MEMBERS: SPECIAL SITUATIONS FUND III, L.P. GROUP MEMBERS: SPECIAL SITUATIONS PRIVATE EQUITY FUND, L.P. GROUP MEMBERS: SPECIAL SITUATIONS TECHNOLOGY FUND, L.P. GROUP MEMBERS: SST ADVISERS LLC SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: AMERIGON INC CENTRAL INDEX KEY: 0000903129 STANDARD INDUSTRIAL CLASSIFICATION: MOTOR VEHICLES & PASSENGER CAR BODIES [3711] IRS NUMBER: 954318554 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-45360 FILM NUMBER: 02784759 BUSINESS ADDRESS: STREET 1: 5462 IRWINDALE AVENUE CITY: IRWINDALE STATE: CA ZIP: 91760- BUSINESS PHONE: 6268157400 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: SPECIAL SITUATIONS FUND III L P CENTRAL INDEX KEY: 0000914248 IRS NUMBER: 133737427 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 153 E 53 ST 51ST FL CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2128325300 MAIL ADDRESS: STREET 1: 153 EAST 53RD STREET 51ST FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 SC 13D/A 1 amer13dt1.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. _1_)* Amerigon Inc. ______________________________________________________ (Name of Issuer) Common Stock ______________________________________________________ (Title of Class of Securities) 03070L300 ____________________________________ (CUSIP Number) Austin W. Marxe, 153 East 53rd Street, New York, NY 10022 (212) 207-6500 ______________________________________________________ (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) September 2002 _________________________________________________________ (Date of Event which Requires Filing of this Statement) If the filing person has previously filed a statement on Schedule 13G to report the acquisition which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-I(b)(3) or (4), check the following box ___. Note: Six copies of this statement, including all exhibits, should be filed with the Commission. See Rule 13d-1(a) for other parties to whom copies are to be sent. *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 the 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). SCHEDULE 13D CUSIP No. 03070L300 Page 2 of 9 Pages - ---------------------------------------------------------------- (1) NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Special Situations Fund III, L.P. ("SSF3") F13-3737427 MGP Advisers Limited Partnership * ("MGP") F13-3263120 - ---------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) | | (b) |X| - ---------------------------------------------------------------- (3) SEC USE ONLY - ---------------------------------------------------------------- (4) SOURCE OF FUNDS* 00 ________________________________________________________________ (5) CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDING IS REQUIRED PURSUANT TO 2(d)OR 2(e) ____ _________________________________________________________________ (6) CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - ---------------------------------------------------------------- NUMBER OF (7) SOLE VOTING POWER See Marxe/Greenhouse SHARES ------------------------------------------------- BENEFICIALLY (8) SHARED VOTING POWER None OWNED BY ------------------------------------------------- EACH (9) SOLE DISPOSITIVE POWER See Marxe/Greenhouse REPORTING ------------------------------------------------- PERSON WITH (10) SHARED DISPOSITIVE POWER None - ---------------------------------------------------------------- (11) AGGREGATE AMOUNT BENEFICALLY OWNED BY EACH REPORTING PERSON 3,033,950 (includes 933,350 wts) - ---------------------------------------------------------------- (12) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* - ---------------------------------------------------------------- (13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 25.9 - ---------------------------------------------------------------- (14) TYPE OF REPORTING PERSON* IV/IA - ---------------------------------------------------------------- * AWM Investment Company, Inc., a Delaware corporation is the General Partner of this entity. SCHEDULE 13D CUSIP No.03070L300 Page 3 of 9 Pages - ---------------------------------------------------------------- (1) NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Special Situations Private Equity Fund, L.P. ("SSPE") F13-3916551 MG Advisers, L.L.C. F13-3916549 ("MGA") - ---------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) | | (b) |X| - ---------------------------------------------------------------- (3) SEC USE ONLY - ---------------------------------------------------------------- (4) SOURCE OF FUNDS* 00 ________________________________________________________________ (5) CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDING IS REQUIRED PURSUANT TO 2(d) OR 2(e) ____ _________________________________________________________________ (6) CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - ---------------------------------------------------------------- NUMBER OF (7) SOLE VOTING POWER See Marxe/Greenhouse SHARES ------------------------------------------------- BENEFICIALLY (8) SHARED VOTING POWER None OWNED BY ------------------------------------------------- EACH (9) SOLE DISPOSITIVE POWER See Marxe/Greenhouse REPORTING ------------------------------------------------- PERSON WITH (10) SHARED DISPOSITIVE POWER None - ---------------------------------------------------------------- (11) AGGREGATE AMOUNT BENEFICALLY OWNED BY EACH REPORTING PERSON 1,520,650 (includes 466,650 wts) - ---------------------------------------------------------------- (12) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* - ---------------------------------------------------------------- (13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 13.5 - ---------------------------------------------------------------- (14) TYPE OF REPORTING PERSON* IV/IA - ---------------------------------------------------------------- SCHEDULE 13D CUSIP No.03070L300 Page 4 of 9 Pages - ---------------------------------------------------------------- (1) NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Special Situations Cayman Fund, L.P. ("CAY") 98-0132442 AWM Investment Company, Inc. 11-3086452 ("AWM") - ---------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) | | (b) |X| - ---------------------------------------------------------------- (3) SEC USE ONLY - ---------------------------------------------------------------- (4) SOURCE OF FUNDS* 00 ________________________________________________________________ (5) CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDING IS REQUIRED PURSUANT TO 2(d) OR 2(e) ____ _________________________________________________________________ (6) CITIZENSHIP OR PLACE OF ORGANIZATION Cayman Islands - ---------------------------------------------------------------- NUMBER OF (7) SOLE VOTING POWER See Marxe/Greenhouse SHARES ------------------------------------------------- BENEFICIALLY (8) SHARED VOTING POWER None OWNED BY ------------------------------------------------- EACH (9) SOLE DISPOSITIVE POWER See Marxe/Greenhouse REPORTING ------------------------------------------------ PERSON WITH (10) SHARED DISPOSITIVE POWER None - ---------------------------------------------------------------- (11) AGGREGATE AMOUNT BENEFICALLY OWNED BY EACH REPORTING PERSON 922,950 (includes 283,350 wts) - ---------------------------------------------------------------- (12) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* - ---------------------------------------------------------------- (13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 8.3 - ---------------------------------------------------------------- (14) TYPE OF REPORTING PERSON* IV/IA - ---------------------------------------------------------------- SCHEDULE 13D CUSIP No.03070L300 Page 5 of 9 Pages - ---------------------------------------------------------------- (1) NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Special Situations Technology Fund, L.P. ("TECH") 13-3937585 SST Advisers L.L.C. ("SSTA") 13-3937583 - ---------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) | | (b) |X| - ---------------------------------------------------------------- (3) SEC USE ONLY - ---------------------------------------------------------------- (4) SOURCE OF FUNDS* 00 ________________________________________________________________ (5) CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDING IS REQUIRED PURSUANT TO 2(d) OR 2(e) ____ _________________________________________________________________ (6) CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - ---------------------------------------------------------------- NUMBER OF (7) SOLE VOTING POWER See Marxe/Greenhouse SHARES ------------------------------------------------- BENEFICIALLY (8) SHARED VOTING POWER None OWNED BY ------------------------------------------------- EACH (9) SOLE DISPOSITIVE POWER See Marxe/Greenhouse REPORTING ------------------------------------------------ PERSON WITH (10) SHARED DISPOSITIVE POWER None - ---------------------------------------------------------------- (11) AGGREGATE AMOUNT BENEFICALLY OWNED BY EACH REPORTING PERSON 442,500 (includes 150,000 wts) - ---------------------------------------------------------------- (12) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* - ---------------------------------------------------------------- (13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 4.0 - ---------------------------------------------------------------- (14) TYPE OF REPORTING PERSON* IV/IA - ---------------------------------------------------------------- CUSIP No.03070L300 Page 6 of 9 Pages - ---------------------------------------------------------------- (1) NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Austin W. Marxe David M. Greenhouse - ---------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) | | (b) |X| - ---------------------------------------------------------------- (3) SEC USE ONLY - ---------------------------------------------------------------- (4) SOURCE OF FUNDS* 00 ________________________________________________________________ (5) CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDING IS REQUIRED PURSUANT TO 2(d) OR 2(e) ____ _________________________________________________________________ (6) CITIZENSHIP OR PLACE OF ORGANIZATION United States of America - ---------------------------------------------------------------- NUMBER OF (7) SOLE VOTING POWER 5,920,050 SHARES ------------------------------------------------- BENEFICIALLY (8) SHARED VOTING POWER None OWNED BY ------------------------------------------------- EACH (9) SOLE DISPOSITIVE POWER 5,920,050 REPORTING ------------------------------------------------- PERSON WITH (10) SHARED DISPOSITIVE POWER None - ---------------------------------------------------------------- (11) AGGREGATE AMOUNT BENEFICALLY OWNED BY EACH REPORTING PERSON 5,920,050 (includes 1,883,350 wts) - ---------------------------------------------------------------- (12) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* - ---------------------------------------------------------------- (13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 46.9 - ---------------------------------------------------------------- (14) TYPE OF REPORTING PERSON* IN - ---------------------------------------------------------------- Page 7 of 9 Pages Item 1. Security and Issuer. This Schedule relates to the common shares and warrants of Amerigon Inc. (the "Issuer"). The Issuer's principal executive offices are located at 5462 Irwindale Avenue, Irwindale, CA 91760 Item 2. Identity and Background. This Schedule is filed on behalf of (i) Special Situations Fund III, L.P., a Delaware limited partnership ("SSF3"); (ii) Special Situations Private Equity Fund, L.P., a Delaware limited partnership ("SSPE"); (iii) Special Situations Cayman Fund, L.P., a Cayman Islands limited partnership ("CAY"); (iv) Special Situations Technology Fund, L.P., a Delaware limited partnership ("TECH"); (v) MGP Advisers Limited Partnership, a Delaware limited partnership ("MGP"); (vi) MG Advisers, L.L.C., a New York Limited Liability Company ("MGA"); (vii) AWM Investment Company, Inc., a Delaware corporation ("AWM"); (viii) SST Advisers, L.L.C., a Delaware limited liability company ("SSTA"); (ix) Austin W. Marxe and (x) David Greenhouse. Each of the foregoing is hereinafter referred to, individually, as a "Reporting Person" and, collectively, as the "Reporting Persons." The principal office and business address of the Reporting Persons, other than the Cayman Fund, is 153 East 53rd Street, 55th floor, New York, NY 10022. The principal office and business address of the Cayman Fund is c/o CIBC Bank and Trust Company (Cayman) Limited, CIBC Bank Building, P. O. Box 694, Grand Cayman, Cayman Islands, British West Indies. The principal business of SSF3, SSPE, CAY and TECH (individually, a "Fund" and, collectively, the "Funds") is to invest in equity and equity related securities. The principal business of MGP is to act as the general partner of and the investment adviser to SSF3. The principal business of MGA is to act as general partner of and the investment adviser to SSPE. The principal business of AWM is to act as the general partner of MGP and as the general partner of and the investment adviser to the CAY. The principal business of SSTA is to act as general partner of and investment adviser to TECH. MGP, MGA, AWM, SSTA are referred to herein, individually, as an "Adviser" and, collectively, as the "Advisers." The principal occupation of Austin W. Marxe and David Greenhouse, both of whom are United States citizens, is to serve as officers, directors and members or principal shareholders of the Advisers. Neither any Fund, any Adviser, Austin W. Marxe nor David Greenhouse, during the last 5 years, has been convicted in any criminal proceeding or was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, Federal or state securities laws or finding any violations with respect to such laws. Item 3. Source and Amount of Funds or Other Consideration. Each Fund utilized available cash assets to purchase the Securities. Item 4. Purpose of the Transaction. Each of the Reporting Persons has acquired and is holding the Securities solely for investment purposes and not with the purpose or the effect of changing or influencing control of the Issuer. Each Fund acquired the Securities in the ordinary course of business and is holding such Securities for the benefit of its third party investors. Page 8 of 9 Pages Item 5. Interest in Securities of the Issuer. See pps. 2-6 of this Schedule, setting forth the aggregate number and percentage of the Securities beneficially owned by each Reporting Person, the number of shares as to which there is sole or shared power to vote, or to direct the vote, and sole or shared power to dispose or to direct the disposition. During the month of September, the following funds purchased the following shares of common stock in open market transactions at an average price of $1.09 per share. 1. SSF3 - Purchased 285,000 common shares. 2. SSPE - Purchased 142,000 common shares 3. CAY - Purchased 89,000 common shares During the month of September, the following funds disposed of the following shares of common stock in open market transactions at an average price of $1.05 per share. 1. SSF3- Sold 7,700 common shares. 2. CAY- Sold 3,300 common shares. No other trades occurred within the last 60 days. Item 6. Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer. See Item 2 and Item 4 of this Schedule. Based on such Items. Messrs. Marxe and Greenhouse maintain sole voting power and sole dispositive power with respect to the Securities. Item 7. Material to be filed as Exhibits. None Page 9 of 9 Pages 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. October 8, 2002 /s/ Austin W. Marxe ----------------------------- Special Situations Fund III, L.P. By: Austin W. Marxe, Managing Director /s/ Austin W. Marxe _________________________________ Special Situations Private Equity Fund, L.P. by: Austin W. Marxe, Managing Director /s/ Austin W. Marxe _____________________________ Special Situations Cayman Fund, L.P By: Austin Marxe, Managing Director /s/ Austin W. Marxe _____________________________ MGP Advisers Limited Partnership By: Austin Marxe, President and CEO /s/ Austin W. Marxe _____________________________ MG Advisers, L.L.C. By: Austin Marxe, President and CEO /s/ Austin W. Marxe _____________________________ AWM Investment Company, Inc. By: Austin Marxe, President and CEO /s/ Austin W. Marxe _____________________________ Austin W. Marxe /s/ David Greenhouse ________________________ David Greenhouse -----END PRIVACY-ENHANCED MESSAGE-----