0000919574-13-004134.txt : 20130717 0000919574-13-004134.hdr.sgml : 20130717 20130717173052 ACCESSION NUMBER: 0000919574-13-004134 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130715 FILED AS OF DATE: 20130717 DATE AS OF CHANGE: 20130717 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: OPTI INC CENTRAL INDEX KEY: 0000899297 STANDARD INDUSTRIAL CLASSIFICATION: SEMICONDUCTORS & RELATED DEVICES [3674] IRS NUMBER: 770220697 STATE OF INCORPORATION: CA FISCAL YEAR END: 0331 BUSINESS ADDRESS: STREET 1: 3430 WEST BAYSHORE ROAD STREET 2: SUITE 103 CITY: PALO ALTO STATE: CA ZIP: 94303 BUSINESS PHONE: 6502138550 MAIL ADDRESS: STREET 1: 3430 WEST BAYSHORE ROAD STREET 2: SUITE 103 CITY: PALO ALTO STATE: CA ZIP: 94303 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SM Investors, L.P. CENTRAL INDEX KEY: 0001466821 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-21422 FILM NUMBER: 13973325 BUSINESS ADDRESS: STREET 1: 509 MADISON AVENUE, SUITE 406 CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: (212) 297-2555 MAIL ADDRESS: STREET 1: 509 MADISON AVENUE, SUITE 406 CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SM Investors II, L.P. CENTRAL INDEX KEY: 0001173632 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-21422 FILM NUMBER: 13973326 BUSINESS ADDRESS: STREET 1: 509 MADISON AVENUE, SUITE 406 CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: (212) 297-2555 MAIL ADDRESS: STREET 1: 509 MADISON AVENUE, SUITE 406 CITY: NEW YORK STATE: NY ZIP: 10022 FORMER NAME: FORMER CONFORMED NAME: SM INVESTORS II LP DATE OF NAME CHANGE: 20020516 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SALVATORE MUOIO CENTRAL INDEX KEY: 0001259267 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-21422 FILM NUMBER: 13973327 MAIL ADDRESS: STREET 1: C/O S. MUOIO & CO. LLC STREET 2: 509 MADISON AVENUE SUITE 406 CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: S. MUOIO & CO. LLC CENTRAL INDEX KEY: 0001138996 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-21422 FILM NUMBER: 13973328 BUSINESS ADDRESS: STREET 1: 509 MADISON AVE SUITE 406 CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-297-2555 MAIL ADDRESS: STREET 1: 509 MADISON AVENUE STREET 2: SUITE 406 CITY: NEW YORK STATE: NY ZIP: 10022 FORMER NAME: FORMER CONFORMED NAME: S MUOIO & CO LLC DATE OF NAME CHANGE: 20010420 4 1 p1399195.xml MUOIO / OPTI X0306 4 2013-07-15 0 0000899297 OPTI INC OPTI.OB 0001138996 S. MUOIO & CO. LLC 509 MADISON AVENUE SUITE 406 NEW YORK NY 10022 0 0 1 0 0001259267 SALVATORE MUOIO C/O S. MUOIO & CO. LLC 509 MADISON AVENUE, SUITE 406 NEW YORK NY 10022 1 0 1 0 0001173632 SM Investors II, L.P. C/O S. MUOIO & CO. LLC 509 MADISON AVENUE, SUITE 406 NEW YORK NY 10022 0 0 1 0 0001466821 SM Investors, L.P. C/O S. MUOIO & CO. LLC 509 MADISON AVENUE, SUITE 406 NEW YORK NY 10022 0 0 1 0 Common Stock 2013-07-15 4 P 0 13275 0.53 A 3459128 D Common Stock 5953903 I See Footnote Common Stock 2013-07-15 4 P 0 4425 0.53 A 1188916 D Common Stock 5958328 I See Footnote Common Stock 2013-07-16 4 P 0 1000 0.53 A 3460128 D Common Stock 5959328 I See Footnote Common Stock 2013-07-17 4 P 0 20000 0.51 A 3480128 D Common Stock 5979328 I See Footnote These securities are held in the accounts of several investment partnerships, investment funds and other accounts (collectively, the "Investment Accounts") for which S. Muoio & Co. LLC ("SMC") serves as either general partner or investment manager. Salvatore Muoio is the managing member of SMC. SMC and Mr. Muoio may be deemed to beneficially own the securities held by the Investment Accounts by virtue of SMC's position as general partner or investment manager of the Investment Accounts and Mr. Muoio's status as the managing member of SMC. These securities are owned by SM Investors II, L.P. ("SM Investors II"), which is a reporting person. SMC serves as the general partner of SM Investors II. Salvatore Muoio is the managing member of SMC. SMC and Mr. Muoio may be deemed to beneficially own the securities held by SM Investors II by virtue of SMC's position as general partner of SM Investors II and Mr. Muoio's status as the managing member of SMC. These securities are owned by SM Investors, L.P. ("SM Investors"), which is a reporting person. SMC serves as the general partner of SM Investors. Salvatore Muoio is the managing member of SMC. SMC and Mr. Muoio may be deemed to beneficially own the securities held by SM Investors by virtue of SMC's position as general partner of SM Investors and Mr. Muoio's status as the managing member of SMC. (+) Each of the Reporting Persons and the joint filers (individually, each a "Reporting Person" and collectively, the "Reporting Persons") disclaims beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein. The Reporting Persons affirmatively disclaim being a "group" for purposes of Section 16 of the Securities Exchange Act of 1934, as amended. S. Muoio & Co. LLC (+), By: /s/ Salvatore Muoio, Managing Member 2013-07-17 /s/ Salvatore Muoio (+) 2013-07-17 SM Investors II, L.P., By: S. Muoio & Co. LLC, its general partner, By: /s/ Salvatore Muoio, Managing Member 2013-07-17 SM Investors, L.P., By: S. Muoio & Co. LLC, its general partner, By: /s/ Salvatore Muoio, Managing Member 2013-07-17