0001140361-16-063146.txt : 20160503 0001140361-16-063146.hdr.sgml : 20160503 20160503192520 ACCESSION NUMBER: 0001140361-16-063146 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160426 FILED AS OF DATE: 20160503 DATE AS OF CHANGE: 20160503 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ACTIVE POWER INC CENTRAL INDEX KEY: 0001044435 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRIC SERVICES [4911] IRS NUMBER: 742642142 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 2128 WEST BRAKER LANE, BK12 CITY: AUSTIN STATE: TX ZIP: 78758 BUSINESS PHONE: 5128366464 MAIL ADDRESS: STREET 1: 2128 WEST BRAKER LANE, BK12 CITY: AUSTIN STATE: TX ZIP: 78758 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: PACIFIC VIEW ASSET MANAGEMENT (UK) LLP CENTRAL INDEX KEY: 0001601068 STATE OF INCORPORATION: X0 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-30939 FILM NUMBER: 161617052 BUSINESS ADDRESS: STREET 1: 5TH FLOOR STREET 2: 6 ST. ANDREW STREET CITY: LONDON STATE: X0 ZIP: EC4A 3AE BUSINESS PHONE: 44-0-1534-500417 MAIL ADDRESS: STREET 1: 5TH FLOOR STREET 2: 6 ST. ANDREW STREET CITY: LONDON STATE: X0 ZIP: EC4A 3AE FORMER NAME: FORMER CONFORMED NAME: PERLUS INVESTMENT MANAGEMENT LLP DATE OF NAME CHANGE: 20140225 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: PVAM HOLDINGS LTD. CENTRAL INDEX KEY: 0001620047 STATE OF INCORPORATION: X0 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-30939 FILM NUMBER: 161617053 BUSINESS ADDRESS: STREET 1: 5TH FLOOR STREET 2: 6 ST. ANDREW STREET CITY: LONDON STATE: X0 ZIP: EC4A 3AE BUSINESS PHONE: 415-318-5805 MAIL ADDRESS: STREET 1: 5TH FLOOR STREET 2: 6 ST. ANDREW STREET CITY: LONDON STATE: X0 ZIP: EC4A 3AE REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: PVAM Perlus Microcap Fund, L.P. CENTRAL INDEX KEY: 0001472885 STATE OF INCORPORATION: Y9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-30939 FILM NUMBER: 161617054 BUSINESS ADDRESS: STREET 1: 5TH FLOOR, 37 ESPLANADE STREET 2: ST HELIER CITY: JERSEY, CHANNEL ISLANDS STATE: Y9 ZIP: JE1 2TR BUSINESS PHONE: 00 44 1534 500400 MAIL ADDRESS: STREET 1: 5TH FLOOR, 37 ESPLANADE STREET 2: ST HELIER CITY: JERSEY, CHANNEL ISLANDS STATE: Y9 ZIP: JE1 2TR FORMER NAME: FORMER CONFORMED NAME: PVAM Perlus Microcap Fund L.P. DATE OF NAME CHANGE: 20140923 FORMER NAME: FORMER CONFORMED NAME: Perlus Microcap Fund L.P. DATE OF NAME CHANGE: 20091027 FORMER NAME: FORMER CONFORMED NAME: Perlus Ltd as General Partner to The Perlus Microcap Fund L.P. DATE OF NAME CHANGE: 20090923 3 1 doc1.xml FORM 3 X0206 3 2016-04-26 0 0001044435 ACTIVE POWER INC ACPW 0001472885 PVAM Perlus Microcap Fund, L.P. 5TH FLOOR, 37 ESPLANADE ST HELIER JERSEY, CHANNEL ISLANDS X0 JE1 2TR UNITED KINGDOM 0 0 1 0 0001620047 PVAM HOLDINGS LTD. 5TH FLOOR 6 ST. ANDREW STREET LONDON X0 EC4A 3AE UNITED KINGDOM 0 0 1 0 0001601068 PACIFIC VIEW ASSET MANAGEMENT (UK) LLP 5TH FLOOR 6 ST. ANDREW STREET LONDON X0 EC4A 3A3 UNITED KINGDOM 0 0 1 0 Common Stock 2533549 D PVAM Perlus Microcap Fund L.P. (formerly The Perlus Microcap Fund L.P.) is the beneficial owner of the shares of common stock of Key Technology, Inc. (the "Shares"). The Shares are held in the account of PVAM Perlus Microcap Fund L.P., the investments of which are managed by Pacific View Asset Management (UK) LLP (formerly Perlus Investment Management LLP) of which PVAM Holdings Ltd. ("PVAM") is the managing member. Pacific View Asset Management (UK) LLP ("PVAM LLP") exercises voting power and shares dispositive control over the Shares and PVAM shares indirect voting and dispositive power over the Shares. Each of PVAM and PVAM LLP disclaims beneficial ownership of the Shares, except to the extent of any pecuniary interest therein. This report shall not be deemed an admission that either PVAM or PVAM LLP is a beneficial owner of the Shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or any other purpose. /s/ Steve Druskin 2016-05-03