-----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, EtWHeBQIyNyDb7AUIlO+uTQbup1WRW324bs5Yo7jdchUBp5eXPiznyIdvd1NPrZM 3yWiW9dpja1/LatVcdk0xw== 0001058217-99-000005.txt : 19990111 0001058217-99-000005.hdr.sgml : 19990111 ACCESSION NUMBER: 0001058217-99-000005 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19990108 GROUP MEMBERS: GOTHAM CAPITAL III L P ET AL GROUP MEMBERS: GOTHAM CAPITAL III, L.P. GROUP MEMBERS: GOTHAM CAPITAL V, LLC GROUP MEMBERS: GOTHAM CAPITAL VI, LLC GROUP MEMBERS: GOTHAM CAPITAL VII, LLC GROUP MEMBERS: JOEL M. GREENBLATT SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: SPECTRIAN CORP /CA/ CENTRAL INDEX KEY: 0000925054 STANDARD INDUSTRIAL CLASSIFICATION: RADIO & TV BROADCASTING & COMMUNICATIONS EQUIPMENT [3663] IRS NUMBER: 770023003 STATE OF INCORPORATION: CA FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-43749 FILM NUMBER: 99503413 BUSINESS ADDRESS: STREET 1: 350 WEST JAVA DRIVE CITY: SUNNYVALE STATE: CA ZIP: 94089 BUSINESS PHONE: 4087455400 MAIL ADDRESS: STREET 1: 350 WEST JAVA DRIVE STREET 2: C/O CORPORATE CONTROLLER CITY: SUNNYVALE STATE: CA ZIP: 94089 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: GOTHAM CAPITAL III L P ET AL CENTRAL INDEX KEY: 0000936075 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 061253453 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 153 E 53RD ST STREET 2: 51ST FL CITY: NEW YORK STATE: NY ZIP: 10022-4611 BUSINESS PHONE: 2123194100 MAIL ADDRESS: STREET 1: 153 E 53RD ST STREET 2: 51ST FL CITY: NEW YORK STATE: NY ZIP: 10022 SC 13G/A 1 SCHEDULE 13G AMENDMENT #1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No: 1)* SPECTRIAN CORPORATION ------------------------------------------------------------------------------ (Name of Issuer) Common Stock, $0.001 Par Value ------------------------------------------------------------------------------ (Title of Class of Securities) 847608-10-6 --------------------------------------------- (CUSIP Number) January 6, 1999 --------------------------------------------- (Date of Event Which Requires Filing of This Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [ X ] Rule 13d-1(c) [ ] Rule 13d-1(d) *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page. The information required on the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). SCHEDULE 13G\A - ------------------------- ---------------------- CUSIP NO. 847608-10-6 PAGE 2 OF 10 PAGES --------------- --- ---- - -------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSON/S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON* JOEL M. GREENBLATT - -------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (A) [ ] (B) [X] - -------------------------------------------------------------------------------- 3. SEC USE ONLY - -------------------------------------------------------------------------------- 4. CITIZENSHIP OR PLACE OF ORGANIZATION USA - -------------------------------------------------------------------------------- 5. SOLE VOTING POWER 25,254 NUMBER OF -------------------------------------------------- SHARES 6. SHARED VOTING POWER BENEFICIALLY OWNED BY 159,524 EACH -------------------------------------------------- REPORTING 7. SOLE DISPOSITIVE POWER PERSON WITH: 25,254 -------------------------------------------------- 8. SHARED DISPOSITIVE POWER 159,524 - -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 184,778 - -------------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - -------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 1.77% - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON* IN ================================================================================ SCHEDULE 13G\A - ------------------------- ---------------------- CUSIP NO. 847608-10-6 PAGE 3 OF 10 PAGES --------------- --- ---- - -------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSON/S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON GOTHAM CAPITAL V, LLC - -------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (A) [ ] (B) [X] - -------------------------------------------------------------------------------- 3. SEC USE ONLY - -------------------------------------------------------------------------------- 4. CITIZENSHIP OR PLACE OF ORGANIZATION DELAWARE - -------------------------------------------------------------------------------- 5. SOLE VOTING POWER 0 NUMBER OF -------------------------------------------------- SHARES 6. SHARED VOTING POWER BENEFICIALLY OWNED BY 91,281 EACH -------------------------------------------------- REPORTING 7. SOLE DISPOSITIVE POWER PERSON WITH: 0 -------------------------------------------------- 8. SHARED DISPOSITIVE POWER 91,281 - -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 91,281 - -------------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - -------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.87% - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON* 00-LIMITED LIABILITY COMPANY ================================================================================ SCHEDULE 13G\A - ------------------------- ---------------------- CUSIP NO. 847608-10-6 PAGE 4 OF 10 PAGES --------------- --- ---- - -------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSON/S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON GOTHAM CAPITAL VI, LLC - -------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (A) [ ] (B) [X] - -------------------------------------------------------------------------------- 3. SEC USE ONLY - -------------------------------------------------------------------------------- 4. CITIZENSHIP OR PLACE OF ORGANIZATION DE - -------------------------------------------------------------------------------- 5. SOLE VOTING POWER 0 NUMBER OF -------------------------------------------------- SHARES 6. SHARED VOTING POWER BENEFICIALLY OWNED BY 19,026 EACH -------------------------------------------------- REPORTING 7. SOLE DISPOSITIVE POWER PERSON WITH: 0 -------------------------------------------------- 8. SHARED DISPOSITIVE POWER 19,026 - -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 19,026 - -------------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - -------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.18% - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON* 00-LIMITED LIABILITY COMPANY ================================================================================ SCHEDULE 13G\A - ------------------------- ---------------------- CUSIP NO. 847608-10-6 PAGE 5 OF 10 PAGES --------------- --- ---- - -------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSON/S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON GOTHAM CAPITAL III, L.P. - -------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (A) [ ] (B) [X] - -------------------------------------------------------------------------------- 3. SEC USE ONLY - -------------------------------------------------------------------------------- 4. CITIZENSHIP OR PLACE OF ORGANIZATION DE - -------------------------------------------------------------------------------- 5. SOLE VOTING POWER 0 NUMBER OF -------------------------------------------------- SHARES 6. SHARED VOTING POWER BENEFICIALLY OWNED BY 0 EACH -------------------------------------------------- REPORTING 7. SOLE DISPOSITIVE POWER PERSON WITH: 0 -------------------------------------------------- 8. SHARED DISPOSITIVE POWER 0 - -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 0 - -------------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - -------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0% - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON* PN ================================================================================ SCHEDULE 13G\A - ------------------------- ---------------------- CUSIP NO. 847608-10-6 PAGE 6 OF 10 PAGES --------------- --- ---- - -------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSON/S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON GOTHAM CAPITAL VII, LLC. - -------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (A) [ ] (B) [X] - -------------------------------------------------------------------------------- 3. SEC USE ONLY - -------------------------------------------------------------------------------- 4. CITIZENSHIP OR PLACE OF ORGANIZATION DE - -------------------------------------------------------------------------------- 5. SOLE VOTING POWER 0 NUMBER OF -------------------------------------------------- SHARES 6. SHARED VOTING POWER BENEFICIALLY OWNED BY 49,217 EACH -------------------------------------------------- REPORTING 7. SOLE DISPOSITIVE POWER PERSON WITH: 0 -------------------------------------------------- 8. SHARED DISPOSITIVE POWER 49,217 - -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 49,217 - -------------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - -------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.47% - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON* 00-LIMITED LIABILITY COMPANY ================================================================================ PAGE 7 OF 10 PAGES --- ---- ITEM 1. (a) Name of Issuer: Spectrian Corporation ------------------------------------------------------- (b) Address of Issuer's Principal Executive Offices: 350 W. Java Drive ---------------------- Sunnyvale, California 94089 ---------------------------------------------------------------------- ITEM 2. (a) Name of Persons Filing: (b) Address of Principal Business Office or, if none, Residence: (c) Citizenship: (i) Joel M. Greenblatt 100 Jericho Quadrangle Suite 212 Jericho, New York 11753 (United States Citizen) (ii) Gotham Capital V, LLC 100 Jericho Quadrangle Suite 212 Jericho, New York 11753 (Deleware Limited Liability Company) (iii) Gotham Capital VI, LLC 100 Jericho Quadrangle Suite 212 Jericho, New York 11753 (Deleware Limited Liability Company) (iv) Gotham Capital III, L.P. 100 Jericho Quadrangle Suite 212 Jericho, New York 11753 (Deleware Limited Partnership) (v) Gotham Capital VII, L.L.C. 100 Jericho Quadrangle Suite 212 Jericho, New York 11753 (Deleware Limited Liability Company) (d) Title of Class of Securities: common stock, $0.001 par value ----------------------------------------- (e) CUSIP Number: 847608-10-6 --------------------------------------------------------- ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO RULE 13D-1(b), OR 13D-2(b), CHECK WHETHER THE PERSON FILING IS A: (a) [ ] Broker or Dealer registered under Section 15 of the Act (b) [ ] Bank as defined in section 3(a)(6) of the Act (c) [ ] Insurance Company as defined in section 3(a)(19) of the Act (d) [ ] Investment Company registered under section 8 of the Investment Company Act of 1940 (e) [ ] Investment Adviser registered under section 203 of the Investment Advisers Act PAGE 8 OF 10 PAGES --- ---- (f) [ ] Employee Benefit Plan, Pension fund which is subject to the provisions of the Employee Retirement Income Security Act of 1974 or Endowment Fund; see ss.240.13d-1(b)(1)(ii)(F) (g) [ ] Parent Holding Company, in accordance with ss.240.13d-1(b)(ii)(G) (Note: See Item 7) (h) [ ] A Savings Association as defined in Section 3(b) of the Federal Deposit Insurance Act (i) [ ] A Church Plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act of 1940 (j) [ ] Group, in accordance with ss.240.13d-1(b)(1)(ii)(J) If this statement is filed pursuant to ss.240.13d-1(c), check this box [ X ]. ITEM 4. OWNERSHIP Provide the following information as of that date and identify those shares which there is a right to acquire. JOEL M. GREENBLATT* (a) Amount Beneficially Owned: 184,778 --------------------------------------------- (b) Percent of Class: 1.77% ------------------------------------------------------ (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: 25,254 ------------------------ (ii) shared power to vote or to direct the vote: 159,524 ---------------------- (iii) sole power to dispose or to direct the disposition of: 25,254 ----------- (iv) shared power to dispose or to direct the disposition of: 159,524 --------- GOTHAM CAPITAL V,LLC (a) Amount Beneficially Owned: 91,281 --------------------------------------------- (b) Percent of Class: 0.87% ------------------------------------------------------ (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: 0 ------------------------ (ii) shared power to vote or to direct the vote: 91,281 ---------------------- (iii) sole power to dispose or to direct the disposition of: 0 ----------- (iv) shared power to dispose or to direct the disposition of: 91,281 --------- GOTHAM CAPITAL VI,LLC (a) Amount Beneficially Owned: 19,026 --------------------------------------------- (b) Percent of Class: 0.18% ------------------------------------------------------ (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: 0 ------------------------ (ii) shared power to vote or to direct the vote: 19,026 ---------------------- (iii) sole power to dispose or to direct the disposition of: 0 ----------- (iv) shared power to dispose or to direct the disposition of: 19,026 --------- PAGE 9 OF 10 PAGES --- ---- GOTHAM CAPITAL III,L.P. (a) Amount Beneficially Owned: 0 --------------------------------------------- (b) Percent of Class: 0% ------------------------------------------------------ (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: 0 ------------------------ (ii) shared power to vote or to direct the vote: 0 ---------------------- (iii) sole power to dispose or to direct the disposition of: 0 ----------- (iv) shared power to dispose or to direct the disposition of: 0 --------- GOTHAM CAPITAL VII,L.L.C (a) Amount Beneficially Owned: 49,217 --------------------------------------------- (b) Percent of Class: 0.47% ------------------------------------------------------ (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: 0 ------------------------ (ii) shared power to vote or to direct the vote: 49,217 ---------------------- (iii) sole power to dispose or to direct the disposition of: 0 ----------- (iv) shared power to dispose or to direct the disposition of: 49,217 --------- *SHARES REPORTED FOR JOEL M. GREENBLATT INCLUDE SHARES BENEFICIALLY OWNED BY GOTHAM CAPITAL V, LLC, GOTHAM CAPITAL VI, LLC, GOTHAM CAPITAL VII, LLC, AND GOTHAM CAPTIAL III, L.P., WHICH ENTITIES MAY BE DEEMED TO BE CONTROLLED BY MR. GREENBLATT, WHO IS THE MANAGER AND GENERAL PARTNER, RESPECTIVELY, THEREOF. Instruction: For computations regarding securities which represent a right to acquire an underlying security see Rule 13d-3(d)(1). ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following [ X ]. ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON Not Applicable ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY Not Applicable ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP Not Applicable ITEM 9. NOTICE OF DISSOLUTION OF GROUP Not Applicable PAGE 10 OF 10 PAGES ---- ---- ITEM 10. CERTIFICATION By signing below, I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I hereby certify that the information set forth in this statement is true, complete and correct. Dated this 7th day of January, 1999. Gotham Capital V, LLC By: /s/ Joel M. Greenblatt ------------------------------------ Joel M. Greenblatt, Manager Gotham Capital VI, LLC By: /s/ Joel M. Greenblatt ------------------------------------ Joel M. Greenblatt, Manager Gotham Capital III, L.P. By: /s/ Joel M. Greenblatt ------------------------------------ Joel M. Greenblatt, General Partner Gotham Capital VII, LLC By: /s/ Joel M. Greenblatt ------------------------------------ Joel M. Greenblatt, Manager /s/ Joel M. Greenblatt ------------------------------------ Joel M. Greenblatt, Individually -----END PRIVACY-ENHANCED MESSAGE-----