-----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, JN5EkS2CqrlKZ83gA693LZFtztVGMFA8fJ/lfRu4+0ZMHO90+ctZMrlhUQbLGdaZ /ZkVHY6iDVzQIojaK7fvSw== 0001005477-03-002634.txt : 20030730 0001005477-03-002634.hdr.sgml : 20030730 20030730195424 ACCESSION NUMBER: 0001005477-03-002634 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20030730 FILED AS OF DATE: 20030730 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: NETGEAR INC CENTRAL INDEX KEY: 0001122904 STANDARD INDUSTRIAL CLASSIFICATION: TELEPHONE & TELEGRAPH APPARATUS [3661] IRS NUMBER: 770419172 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 4401 GREAT AMERICAN PARKWAY CITY: SANTA CLARA STATE: CA ZIP: 95052 BUSINESS PHONE: 4084955316 MAIL ADDRESS: STREET 1: 4401 GREAT AMERICAN PARKWAY CITY: SANTA CLARA STATE: CA ZIP: 95052 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ROYER STEPHEN D CENTRAL INDEX KEY: 0001256314 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-50350 FILM NUMBER: 03812853 BUSINESS ADDRESS: STREET 1: C/O SHAMROCK CAPITAL ADVISORS INC STREET 2: 4444 LAKESIDE CITY: BURBANK STATE: CA ZIP: 91504 BUSINESS PHONE: 8189734288 3 1 edgar123.xml FORM 3 X0201 3 2003-07-30 0 0001122904 NETGEAR INC NTGR 0001256314 ROYER STEPHEN D C/O SHAMROCK CAPITAL ADVISORS INC. 4444 LAKESIDE DRIVE BURBANK CA 91505 1 0 1 0 Series A Preferred Stock Common Stock 2068809 I See Series C Preferred Stock Common Stock 2528692 I See Warrant (right to buy) 1.29 Common Stock 218750 I See These securities are exercisable immediately. Each share of Series A Preferred Stock and Series C Preferred Stock (the "Shares") will be automatically converted into one share of Issuer common stock upon the closing of the Issuer's initial public offering (the "IPO"). The closing of the IPO is expected to occur on or about August 4, 2003. Shamrock Capital Growth Fund, L.P. ("SCGF") directly owns the Shares. Shamrock Capital Partners, L.L.C. ("Shamrock Capital Partners") is the General Partner of SCGF. The reporting person is Executive Vice President and a member of Shamrock Capital Partners and may be deemed, for purposes of Section 16 of the Securities Exchange Act of 1934, as amended ("Section 16"), to be the indirect beneficial owner of the Shares and a "ten percent holder" hereunder. The reporting person disclaims beneficial ownership of the Shares and the shares of Issuer common stock issuable upon exercise of the Shares except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. The warrant (the "Warrant") expires and will no longer be exercisable as of the earlier of (i) March 13, 2007, (ii) the acquisition of the Issuer other than in a transaction in which the holders of the voting securities of the Issuer outstanding immediately prior to such transaction continue to retain more than 50% of the total voting power of the Issuer or the surviving entity following such transaction, or a conveyance of all or a majority of the assets of the Issuer, in which the valuation of the Issuer is at least $300 million, or (iii) an initial public offering of the Issuer covering the offer and sale of the Issuer's common stock (provided the aggregate gross proceeds to the Issuer are not less than $35 million and the valuation of the Issuer is at least $250 million). Shamrock Capital Advisors, Inc. ("SCA") directly owns the Warrant. The reporting person is a Managing Director of SCA and may be deemed for purposes of Section 16 to be the indirect beneficial owner of the Warrant. The reporting person disclaims beneficial ownership of the Warrant and the shares of Issuer common stock issuable upon exercise of the Warrant except to the extent of his pecuniary interest therein, and this report shall not be an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. These shares do not have an expiration date. /s/ Stephen D. Royer 2003-07-30 -----END PRIVACY-ENHANCED MESSAGE-----