Transmeta Corp - Amended Statement of Beneficial Ownership (SC 13D/A)
24 Septiembre 2008 - 3:42PM
Edgar (US Regulatory)
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13D
(RULE 13D-2-101)
INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13D-1(a) AND
AMENDMENTS THERETO FILED PURSUANT TO RULE 13D-2(a)
(Amendment No. 11)(1)
TRANSMETA CORPORATION
(Name of Issuer)
COMMON STOCK
(Title of Class of Securities)
89376R2080
(CUSIP Number)
RILEY INVESTMENT MANAGEMENT LLC
ATTN: BRYANT R. RILEY
11100 SANTA MONICA BLVD.
SUITE 810
LOS ANGELES, CA 90025
(310) 966-1445
(Name, Address and Telephone Number of Person Authorized to Receive Notices
and Communications)
September 18, 2008
(Date of Event which Requires Filing of this Statement)
If the filing person has previously filed a statement on Schedule 13G to report
the acquisition which is the subject of this Schedule 13D, and is filing this
schedule because of Rule 13d-1(e), 13d-1(f) or 13d-1(g), check the following
box: |X|
Note: Schedules filed in paper format shall include a signed original and five
copies of the schedule, including all exhibits. See Rule 13d-7(b) for other
parties to whom copies are to be sent.
(Continued on following pages)
(1) 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).
CUSIP No. 89376R208 13D Page 2
--------- ----------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR IRS. IDENTIFICATION NO. OF ABOVE PERSON
Riley Investment Partners Master Fund, L.P.
--------- ----------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ]
(b) [X]
--------- ----------------------------------------------------------------------
3 SEC USE ONLY
--------- ----------------------------------------------------------------------
4 SOURCE OF FUNDS*
WC
--------- ----------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) OR 2(e)
[ ]
--------- ----------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Cayman Islands
--------- ----------------------------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER
SHARES 639,674
------ --------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY -0-
------ --------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING 639,674
------ --------------------------------------------------
PERSON 10 SHARED DISPOSITIVE POWER
WITH -0-
--------- ----------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
639,674
--------- ----------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES SHARES*
[ ]
--------- ----------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
5.3%(1)
--------- ----------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
PN
--------- ----------------------------------------------------------------------
___________
(1) Based on 12,152,065 shares of common stock of Transmeta Corporation (the
"Issuer") outstanding at July 15, 2008, as reported in the Issuer's Quarterly
Report on Form 10-Q for the quarter ended June 30, 2008 filed with the
Securities and Exchange Commission on August 6, 2008.
|
CUSIP No. 89376R208 13D Page 3
--------- ----------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR IRS. IDENTIFICATION NO. OF ABOVE PERSON
Riley Investment Management LLC
--------- ----------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ]
(b) [X]
--------- ----------------------------------------------------------------------
3 SEC USE ONLY
--------- ----------------------------------------------------------------------
4 SOURCE OF FUNDS*
AF
--------- ----------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) OR 2(e)
[ ]
--------- ----------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
--------- ----------------------------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER
SHARES 772,503(2)
------ --------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY 618,495(3)
------ --------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING 772,503(2)
------ --------------------------------------------------
PERSON 10 SHARED DISPOSITIVE POWER
WITH 618,495(3)
--------- ----------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,273,364(3)
--------- ----------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES SHARES*
[x]
--------- ----------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
10.5%(1)
--------- ----------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
IA
--------- ----------------------------------------------------------------------
_____________
(2) Because Riley Investment Management LLC has sole investment and voting power
over 639,674 shares of Common Stock held by Riley Investment Partners Master
Fund, L.P. and 132,829 shares held in managed accounts by its investment
advisory clients, Riley Investment Management LLC may be deemed to have
beneficial ownership of these shares.
(3) Riley Investment Management LLC has shared voting and dispositive power over
618,495 shares of Common Stock held by its investment advisory clients, 500,861
of which are held by investment advisory accounts indirectly affiliated with Mr.
Riley or Riley Investment Partners Master Fund, L.P. However, Riley Investment
Management LLC disclaims beneficial ownership of the non-affiliated shares.
|
CUSIP No. 89376R208 13D Page 4
--------- ----------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR IRS. IDENTIFICATION NO. OF ABOVE PERSON
B. Riley & Co., LLC
--------- ----------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ]
(b) [X]
--------- ----------------------------------------------------------------------
3 SEC USE ONLY
--------- ----------------------------------------------------------------------
4 SOURCE OF FUNDS*
WC
--------- ----------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) OR 2(e)
[ ]
--------- ----------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
--------- ----------------------------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER
SHARES 29,000
------ --------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY 50,000(4)
------ --------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING 29,000
------ --------------------------------------------------
PERSON 10 SHARED DISPOSITIVE POWER
WITH 50,000(4)
--------- ----------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
79,000
--------- ----------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES SHARES*
[ ]
--------- ----------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
.7%(1)
--------- ----------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
BD
--------- ----------------------------------------------------------------------
____________
(4) B. Riley & Co., LLC has shared voting and dispositive power over 50,000
shares of Common Stock held by a managed accounts, with which it is indirectly
affiliated.
|
CUSIP No. 89376R208 13D Page 5
--------- ----------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR IRS. IDENTIFICATION NO. OF ABOVE PERSON
B. Riley & Co. Retirement Trust
--------- ----------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ]
(b) [X]
--------- ----------------------------------------------------------------------
3 SEC USE ONLY
--------- ----------------------------------------------------------------------
4 SOURCE OF FUNDS*
WC
--------- ----------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) OR 2(e)
[ ]
--------- ----------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
California
--------- ----------------------------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER
SHARES 5,000
------ --------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY -0-
------ --------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING 5,000
------ --------------------------------------------------
PERSON 10 SHARED DISPOSITIVE POWER
WITH -0-
--------- ----------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
5,000
--------- ----------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES SHARES*
[ ]
--------- ----------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
.0%(1)
--------- ----------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
EP
--------- ----------------------------------------------------------------------
|
CUSIP No. 89376R208 13D Page 6
--------- ----------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR IRS. IDENTIFICATION NO. OF ABOVE PERSON
Bryant R. Riley
--------- ----------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ]
(b) [X]
--------- ----------------------------------------------------------------------
3 SEC USE ONLY
--------- ----------------------------------------------------------------------
4 SOURCE OF FUNDS*
AF
--------- ----------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) OR 2(e)
[ ]
--------- ----------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
--------- ----------------------------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER
SHARES 806,503(5)
------ --------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY 668,495(6)
------ --------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING 806,503(5)
------ --------------------------------------------------
PERSON 10 SHARED DISPOSITIVE POWER
WITH 668,495(6)
--------- ----------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,357,364(6)
--------- ----------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES SHARES*
[x]
--------- ----------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
11.2%(1)
--------- ----------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
IN
--------- ----------------------------------------------------------------------
_____________
(5) Because Riley Investment Management LLC has sole voting and investment power
over Riley Investment Partners Master Fund, L.P.'s security holdings and certain
managed accounts of its investment advisory clients and Mr. Riley, in his role
as the sole manager of Riley Investment Management LLC, controls its voting and
investment decisions, each of Riley Investment Management LLC and Mr. Riley may
be deemed to have beneficial ownership of the 639,674 shares of Common Stock
held by Riley Investment Partners Master Fund, L.P. and the 132,829 shares held
in managed accounts by its investment advisory clients. B. Riley & Co., LLC has
sole voting and dispositive power over 29,000 shares of common stock. Mr. Riley
is the Chairman and sole indirect equity owner of B. Riley & Co., LLC. Includes
5,000 shares held by the B. Riley & Co. Retirement Trust, of which Mr. Riley is
the trustee.
(6) Riley Investment Management LLC has shared voting and dispositive power over
618,495 shares of Common Stock held by its investment advisory clients, 500,861
of which are held by investment advisory accounts indirectly affiliated with Mr.
Riley or Riley Investment Partners Master Fund, L.P. Although Mr. Riley controls
Riley Investment Management LLC's voting and investment decisions for its
investment advisory clients, Mr. Riley disclaims beneficial ownership of the
non-affiliated shares. B. Riley & Co., LLC has shared voting and dispositive
power over 50,000 shares of Common Stock held in managed accounts, with which
it is indirectly affiliated with. Mr. Riley is the Chairman and sole
indirect equity owner of B. Riley & Co., LLC.
|
CUSIP No. 89376R208 13D Page 7
ITEM 4. PURPOSE OF THE TRANSACTION
Item 4 here is hereby amended to add the following:
On September 18, 2008, Mr. Riley was elected to the Issuer's board of
directors at the Issuer's 2008 annual meeting.
ITEM 5. INTEREST IN SECURITIES OF THE ISSUER
(c) In the ordinary course of business, BRC may effect transactions in
connection with its ordinary course market making activities, as well as for
customer transactions. On September 18, 2008, Mr. Riley was granted options to
purchase 10,000 shares at a per share exercise price of $14.92. The option vests
over three years at a rate of one-third of the total shares on the first
anniversary of the date of grant, and 2.77778% of the total shares each month
thereafter, subject to acceleration upon a change of control or other specified
events.
|
CUSIP No. 89376R208 13D Page 8
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I
certify that the information set forth in this statement is true, complete and
correct.
Date: September 24, 2008
Riley Investment Partners Master Fund, L.P.
By: Riley Investment Management LLC,
its General Partner
By: /s/ Bryant R. Riley
---------------------------------------
Bryant R. Riley, Managing Member
Riley Investment Management LLC
By: /s/ Bryant R. Riley
---------------------------------------
Bryant R. Riley, Managing Member
B. Riley & Co, LLC
By: /s/ Bryant R. Riley
---------------------------------------
Bryant R. Riley, Chairman
B. Riley & Co. Retirement Trust
By: /s/ Bryant R. Riley
---------------------------------------
Bryant R. Riley, Trustee
By: /s/ Bryant R. Riley
---------------------------------------
Bryant R. Riley
|
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