-----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, P9XCfNC+Sj+cmwpFZ5+x/jFS2alP+kquCgxW6s8Jt9QR1x729miIqJe39KNSJ3wc cywk8ro25PfhLm5V/UWwkw== 0001209191-04-059387.txt : 20041223 0001209191-04-059387.hdr.sgml : 20041223 20041223184109 ACCESSION NUMBER: 0001209191-04-059387 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20041221 FILED AS OF DATE: 20041223 DATE AS OF CHANGE: 20041223 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BLUE STAR I LLC CENTRAL INDEX KEY: 0001269469 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-28452 FILM NUMBER: 041225392 BUSINESS ADDRESS: STREET 1: 590 MADISON AVE. CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: TH LEE GLOBAL INTERNET ADVISORS LLC CENTRAL INDEX KEY: 0001182532 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-28452 FILM NUMBER: 041225398 MAIL ADDRESS: STREET 1: 200 MADISON AVE STREET 2: STE 1900 CITY: NEW YORK STATE: NY ZIP: 10016 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: TH LEE PUTNAM FUND ADVISORS LLC CENTRAL INDEX KEY: 0001268258 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-28452 FILM NUMBER: 041225399 MAIL ADDRESS: STREET 1: 200 MADISON AVENUE STREET 2: SUITE 1900 CITY: NEW YORK STATE: NY ZIP: 10016 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: TH LEE PUTNAM FUND ADVISORS LP CENTRAL INDEX KEY: 0001268259 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-28452 FILM NUMBER: 041225396 MAIL ADDRESS: STREET 1: 200 MADISON AVENUE STREET 2: SUITE 1900 CITY: NEW YORK STATE: NY ZIP: 10016 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: TH LEE PUTNAM PARALLEL VENTURES LP CENTRAL INDEX KEY: 0001268260 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-28452 FILM NUMBER: 041225395 MAIL ADDRESS: STREET 1: 200 MADISON AVENUE STREET 2: SUITE 1900 CITY: NEW YORK STATE: NY ZIP: 10016 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: TH LEE GLOBAL INTERNET MANAGERS LP CENTRAL INDEX KEY: 0001268261 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-28452 FILM NUMBER: 041225394 MAIL ADDRESS: STREET 1: 200 MADISON AVENUE STREET 2: SUITE 1900 CITY: NEW YORK STATE: NY ZIP: 10016 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: THLI CONIVESTMENT PARTNERS LLC CENTRAL INDEX KEY: 0001268263 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-28452 FILM NUMBER: 041225393 MAIL ADDRESS: STREET 1: 200 MADISON AVENUE STREET 2: SUITE 1900 CITY: NEW YORK STATE: NY ZIP: 10016 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: VELOCITY EXPRESS CORP CENTRAL INDEX KEY: 0001002902 STANDARD INDUSTRIAL CLASSIFICATION: AIR COURIER SERVICES [4513] IRS NUMBER: 870355929 STATE OF INCORPORATION: DE FISCAL YEAR END: 0629 BUSINESS ADDRESS: STREET 1: ONE MORNINGSIDE DRIVE NORTH STREET 2: BUILDING B SUITE 300 CITY: WESTPORT STATE: X1 ZIP: 06880 BUSINESS PHONE: 203-349-4160 MAIL ADDRESS: STREET 1: ONE MORNINGSIDE DRIVE NORTH STREET 2: BUILDING B SUITE 300 CITY: WESTPORT STATE: X1 ZIP: 06880 FORMER COMPANY: FORMER CONFORMED NAME: UNITED SHIPPING & TECHNOLOGY INC DATE OF NAME CHANGE: 19990512 FORMER COMPANY: FORMER CONFORMED NAME: U SHIP INC DATE OF NAME CHANGE: 19960313 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: TH LEE PUTNAM INTERNET PARTNERS LP CENTRAL INDEX KEY: 0001103414 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-28452 FILM NUMBER: 041225397 BUSINESS ADDRESS: STREET 1: 200 MADISON AVE STREET 2: SUITE 2225 CITY: NEW YORK STATE: NY ZIP: 10015 BUSINESS PHONE: 2129518600 MAIL ADDRESS: STREET 1: 200 MADISON AVE STREET 2: STE 2225 CITY: NEW YORK STATE: NY ZIP: 10015 4 1 bny04173_vec.xml MAIN DOCUMENT DESCRIPTION X0202 4 2004-12-21 0 0001002902 VELOCITY EXPRESS CORP VEXP 0001182532 TH LEE GLOBAL INTERNET ADVISORS LLC 200 MADISON AVENUE, SUITE 1900 NEW YORK NY 10016 0 0 1 0 0001103414 TH LEE PUTNAM INTERNET PARTNERS LP 200 MADISON AVENUE, SUITE 1900 NEW YORK NY 10016 0 0 1 0 0001268258 TH LEE PUTNAM FUND ADVISORS LLC 200 MADISON AVENUE, SUITE 1900 NEW YORK NY 10016 0 0 1 0 0001268259 TH LEE PUTNAM FUND ADVISORS LP 200 MADISON AVENUE, SUITE 1900 NEW YORK NY 10016 0 0 1 0 0001268260 TH LEE PUTNAM PARALLEL VENTURES LP 200 MADISON AVENUE, SUITE 1900 NEW YORK NY 10016 0 0 1 0 0001268261 TH LEE GLOBAL INTERNET MANAGERS LP 200 MADISON AVENUE, SUITE 1900 NEW YORK NY 10016 0 0 1 0 0001268263 THLI CONIVESTMENT PARTNERS LLC 200 MADISON AVENUE, SUITE 1900 NEW YORK NY 10016 0 0 1 0 0001269469 BLUE STAR I LLC 590 MADISON AVENUE, SUITE 4100 NEW YORK NY 10022 0 0 1 0 Series B Convertible Preferred Stock 2000-05-31 Common Stock 19833669 2806797 D Series C Convertible Preferred Stock 2000-09-22 Common Stock 9823045 2000000 D Series D Convertible Preferred Stock 2001-09-05 Common Stock 12194219 1017538 D Series G Convertible Preferred Stock 2003-09-18 Common Stock 3377464 3333333 D Series H Convertible Preferred Stock 2003-09-18 Common Stock 8197334 196900 D Series I Convertible Preferred Stock Common Stock 154438211 12643332 D Series J Convertible Preferred Stock Common Stock 63632287 6333534 D Series B Convertible Preferred Stock 2000-05-31 Common Stock 19833669 2806797 I See footnote Series C Convertible Preferred Stock 2000-09-02 Common Stock 9823045 2000000 I See footnote Series D Convertible Preferred Stock 2001-09-05 Common Stock 12194219 1017538 I See footnote Series G Convertible Preferred Stock 2003-09-18 Common Stock 3377464 3333333 I See footnote Series H Convertible Preferred Stock 2003-09-18 Common Stock 8197334 196900 I See footnote Series I Convertible Preferred Stock Common Stock 171629071 12643332 I See footnote Series J Convertible Preferred Stock Common Stock 70686759 6333534 I See footnote Series K Convertible Preferred Stock 2004-12-21 4 A 0 2584799 1.50 A Common Stock 106005724 9851466 D Series K Convertible Preferred Stock 2004-08-23 4 A 0 2584799 1.50 A Common Stock 106005724 9851466 I See footnote Series L Convertible Preferred Stock 2004-12-21 4 A 0 7000000 1.00 A Common Stock 70000000 7000000 D Series L Convertible Preferred Stock 2004-12-21 4 A 0 7000000 1.00 A Common Stock 70000000 7000000 I See footnote Series M Convertible Preferred Stock 2004-12-21 4 A 0 27123187 0.7374 A Common Stock 27123187 27123187 D Series M Convertible Preferred Stock 2004-12-21 4 A 0 27123187 0.7374 A Common Stock 27123187 27123187 I See footnote Warrants to Purchase Common Stock 2004-12-21 4 A 0 9677553 0.0001 A Common Stock 9677553 9677553 D Warrants to Purchase Common Stock 2004-12-21 4 A 0 9677553 0.0001 A Common Stock 9677553 9677553 I See footnote This statement is being filed by each of the following persons (the "Reporting Persons") pursuant to Rule 16a-3(j) promulgated by the Securities and Exchange Commission (the "Commission") pursuant to Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"): (continued in footnote (2)) (continued from footnote (1)) TH Lee Putnam Ventures, L.P. (f/k/a TH Lee.Putnam Internet Partners, L.P.), a Delaware limited partnership (the "Fund"), TH Lee Putnam Parallel Ventures, L.P., (f/k/a TH Lee.Putnam Internet Parallel Partners, L.P.), a Delaware limited partnership, (the "Non-U.S. Fund"), THLi Co Investment Partners, LLC, a Delaware limited liability corporation (the "Coinvestor"), Blue Star I, LLC., a Delaware limited liability company ("Blue Star"), TH Lee Putnam Fund Advisors, L.P. a Delaware limited partnership (the "Fund Advisor"), TH Lee Putnam Fund Advisors, LLC, a Delaware limited liability company (the "Fund Advisor GP"), TH Lee Global Internet Managers, L.P., a Delaware limited partnership, TH Lee Global Internet Advisers, LLC, a Delaware limited liability company, TH Lee Putnam Capital, L.P., a Delaware limited partnership, and Thomas H. Lee. (continued in footnote (3)) (continued from footnote (2)) The Fund Advisor is the general partner of the U.S. Fund, the Non-U.S. Fund, and the Coinvestor. The Fund Advisor GP is the general partner of the Fund Advisor. Thomas H. Lee is the sole shareholder of Blue Star. The Fund, the Non-U.S. Fund, Blue Star and the Coinvestor directly hold the securities reported on Form 4. Each of the Fund the Non-U.S. Fund, Blue Star and the Coinvestor disclaim beneficial ownership as defined under Rule 16a-1(a)(2) under the Exchange Act, of the securities reported on this Form 4 except to the extent of their pecuniary interest therein. Each of the Fund Manager, the Fund Manager GP, TH Lee Putnam Capital, L.P., the Fund Advisor, the Fund Advisor GP and Thomas H. Lee may be deemed to beneficially own, as defined under Rule 16a-1(a)(2) under the Exchange Act, the securities reported on this Form 4. Each of the Fund Manager, the Fund Manager GP, TH Lee Putnam Capital L.P., the Fund Advisor, the Fund Advisor GP and Thomas H. Lee disclaim beneficial ownership of the securities of the Issuer directly beneficially owned by the Fund, the Non-U.S. Fund, the Coinvestor and Blue Star, except to the extent of their respective pecuniary interests therein. The number of shares of Common Stock into which the shares of Series B, Series C, Series D, Series G, Series H, Series I, Series J and Series K Convertible Preferred Stock are convertible upon exercise of such series of Convertible Preferred Stock increased pursuant to antidilution provisions in the preferred instruments as a result of the following events that occurred on December 21, 2004: (1) the sale to THLPV of the right to receive 2,584,799 shares of Series K Convertible Preferred Stock; (2) the sale to THLPV of the right to receive 7,000,000 shares of Series L Convertible Preferred Stock; and (3) the issuance of a warrant to THLPV to purchase 9,677,553 shares of common stock. The issuance of securities related to the above events is subject to shareholder approval. Conversion of the Series I Convertible Preferred Stock, Series J Convertible Preferred Stock, Series K Preferred Stock, Series L Preferred Stock, Series M Preferred Stock and the Warrants to Purchase Common Stock into Common Stock requires shareholder approval. The transaction is not an exercise or a conversion of derivative security. None. See Attached Exhibit 99.1 2004-12-23 EX-99 2 velexp.txt ADDITIONAL EXHIBITS Exhibit 99.1 Signatures of the Reporting Persons TH LEE PUTNAM VENTURES, L.P. By: TH Lee Putnam Fund Advisors, L.P., its general partner By: TH Lee Putnam Fund Advisors, LLC, its general partner By: /s/ James Brown 12/23/04 --------------------------------- ---------- Signature of Reporting Person** Date Name: James Brown Title: Managing Director TH LEE PUTNAM PARALLEL VENTURES, L.P. By: TH Lee Putnam Fund Advisors, L.P., its general partner By: TH Lee Putnam Fund Advisors, LLC, its general partner By: /s/ James Brown 12/23/04 --------------------------------- ---------- Signature of Reporting Person** Date Name: James Brown Title: Managing Director TH LEE PUTNAM FUND ADVISORS, L.P. By: TH Lee Putnam Fund Advisors, LLC, its general partner By: /s/ James Brown 12/23/04 --------------------------------- ---------- Signature of Reporting Person** Date Name: James Brown Title: Managing Director TH LEE PUTNAM FUND ADVISORS, LLC By: /s/ James Brown 12/23/04 --------------------------------- ---------- Signature of Reporting Person** Date Name: James Brown Title: Managing Director CONTINUED TH LEE GLOBAL INTERNET MANAGERS, L.P. By: TH Lee Global Internet Advisors, LLC By: /s/ James Brown 12/23/04 --------------------------------- ---------- Signature of Reporting Person** Date Name: James Brown Title: Managing Director TH LEE GLOBAL INTERNET ADVISORS, LLC By: /s/ James Brown 12/23/04 --------------------------------- ---------- Signature of Reporting Person** Date Name: James Brown Title: Managing Director THLi COINVESTMENT PARTNERS, LLC By: TH Lee Putnam Fund Advisors, L.P., its general partner By: TH Lee Putnam Fund Advisors, LLC, its general partner By: /s/ James Brown 12/23/04 --------------------------------- ---------- Signature of Reporting Person** Date Name: James Brown Title: Managing Director BLUESTAR I, LLC By: /s/ Thomas H. Lee 12/23/04 --------------------------------- ---------- Signature of Reporting Person** Date Name: Thomas H. Lee Title: Managing Member 2 -----END PRIVACY-ENHANCED MESSAGE-----