-----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, VrMkX4wbQrHDo65PqacntEsG2cqfWWU+lsFu/Mm//NXFYP/bKdlKAc7yFMzmJI4u 7wc0nHpx6bDH/fGXTRl2KQ== 0001181431-04-059795.txt : 20041220 0001181431-04-059795.hdr.sgml : 20041220 20041220142703 ACCESSION NUMBER: 0001181431-04-059795 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20041214 FILED AS OF DATE: 20041220 DATE AS OF CHANGE: 20041220 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CALDWELL DONALD R CENTRAL INDEX KEY: 0001211700 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-21403 FILM NUMBER: 041213738 BUSINESS ADDRESS: BUSINESS PHONE: 6109952650 MAIL ADDRESS: STREET 1: 5 RADNOR CORP CENTER STE 555 CITY: RADNOR STATE: PA ZIP: 19087 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: VOXWARE INC CENTRAL INDEX KEY: 0000933454 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMPUTER INTEGRATED SYSTEMS DESIGN [7373] IRS NUMBER: 363934824 STATE OF INCORPORATION: DE FISCAL YEAR END: 0630 BUSINESS ADDRESS: STREET 1: 168 FRANKLIN CORNER RD CITY: LAWRENCEVILLE STATE: NJ ZIP: 08648 BUSINESS PHONE: 6095144100 MAIL ADDRESS: STREET 1: 168 FRANKLIN CORNER RD CITY: LAWRENCEVILLE STATE: NJ ZIP: 08648 3 1 rrd61704.xml FORM 3 CALDWELL X0202 3 2004-12-14 0 0000933454 VOXWARE INC VOXW 0001211700 CALDWELL DONALD R C/O CROSS ATLANTIC TECHNOLOGY FUND II LP 100 MATSONFORD ROAD, SUITE 555 RADNOR PA 19087 1 0 0 0 Common Stock, $0.001 par value 2088988 I See Footnote Series D Convertible Preferred Stock, $0.001 par value Common Stock 108283731 I See Footnote Series D Convertible Preferred Stock Purchase Warrant .001 2003-06-27 2013-06-27 Series D Convertible Preferred Stock 38640873 I See Footnote Common Stock Purchase Warrant .015 2013-06-27 Common Stock 4166667 I See Footnote Owned of record by Cross Atlantic Technology Fund II, L.P. The reporting person is the Chairman of the general partner of Cross Atlantic Technology Fund II, L.P. and disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. The shares of Series D Convertible Preferred Stock reported hereby are convertible (i) at any time at the option of the holder of the Series D Convertible Preferred Stock, or (ii) the date on which mandatory conversion occurs pursuant to the Amended and Restated Certificate of Incorporatin of the Issuer. The Common Stock Purchase Warrant shall become exercisable if the Issuer fails to complete filing of registration statements, as defined in the transaction agreements. The Issuer has filed a registration statement in a timely manner, as required. The Issuer has responded to comments received from the Securities and Exchange Commission and has completed another filing, as requested by the SEC. The holders of the Series D Preferred Stock have contingently waived their rights to receive these warrants. 1-for-1 Donald R. Caldwell 2004-12-20 -----END PRIVACY-ENHANCED MESSAGE-----