Southwall Technologies Inc. (SWTX)

MATERIALS: CHEMICALS
SIC: UNSUPPORTED PLASTICS FILM & SHEET
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1029 CORPORATION WAY PALO ALTO, CA 94303

Southwall Technologies Inc. develops, manufactures and markets thin film coatings for the automotive glass, electronic display and architectural markets. Products control sunlight in automotive glass, reduce light reflection, reduce potentially harmful electromagnetic emissions and improve image quality.

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Funds Holding SWTX (via 13F filings)

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*Shares are split adjusted
*Please note that if a filer hasn't submitted a 13F filing for a quarter then the filer's shares will be listed as "Sold All"

Mutual Funds Holding SWTX BETA

Active Schedule 13D and 13G filings

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Open Market Buys/Sells Last 60 Days

Open Market Buys (P)

none

Open Market Sells (S)

none

Exercise Derivative Conversion (M)

none

Current/Former Insiders

Insider Name Type Last Reported Shares Held Last Reported Date Filings in past year

NOFI MICHAEL CHIEF ACCOUNTING OFFICER

  • Officer
0 2019-12-02 0

PFIZER INC

PFIZER VENTURES (US) LLC

  • 10% Owner
4,593,847 2019-09-17 0

ORBIMED ADVISORS LLC

ORBIMED CAPITAL GP VI LLC

  • 10% Owner
7,406,307 2019-09-17 0

SQUINTO STEPHEN P

  • Director
  • 10% Owner
7,406,307 2019-09-17 0

LEWIS-HALL FREDA C

  • Director
  • 10% Owner
4,593,847 2019-09-17 0

BAIN CAPITAL LIFE SCIENCES INVESTORS, LLC

BC SW, LP

SCHWARTZ JEFFREY LAWRENCE

KOPPEL ADAM

  • Director
  • 10% Owner
7,281,307 2019-09-17 0

PATRICK DEVAL L

  • Director
0 2019-09-12 0

ORBIMED ADVISORS LLC

  • 10% Owner
0 2019-09-12 0

LYNCH DANIEL

  • Director
391,277 2019-09-12 0

GORDON CARL L

  • Director
  • 10% Owner
0 2019-09-12 0

FUHRMAN ALAN

  • Director
0 2019-09-12 0

FRANCIS PERIER I JR CHIEF FINANCIAL OFFICER

  • Officer
0 2019-09-12 0

ISLAM SAQIB CHIEF EXECUTIVE OFFICER

  • Officer
  • Director
971,552 2019-09-12 0

GRECO MICHAEL V. GENERAL COUNSEL & SECRETARY

  • Officer
185,574 2019-09-12 0

EDRIS BADREDDIN CHIEF BUSINESS OFFICER

  • Officer
234,766 2019-09-12 0

RENSTRUP JENS CHIEF MEDICAL OFFICER

  • Officer
244,424 2019-09-12 0

SMITH L. MARY SEE REMARKS

  • Officer
156,511 2019-09-12 0

SCHWARTZ JEFFREY LAWRENCE

  • Director
  • 10% Owner
0 2019-03-29 0

SALAS PETER E

  • Director
No longer subject to file 2011-11-28 0

HORN ANDRE R

  • Director
No longer subject to file 2011-11-28 0

BUNDAY DENNIS E

  • Director
No longer subject to file 2011-11-28 0

GOODSON R EUGENE

  • Director
No longer subject to file 2011-11-28 0

NACHTSHEIM JAMI K

  • Director
No longer subject to file 2011-11-28 0

BERRY WILLIAM A

  • Director
No longer subject to file 2011-11-28 0

BOYADJIEFF GEORGE

  • Director
No longer subject to file 2011-11-28 0

CAPOVILLA DENNIS OFFICER

  • Officer
  • Director
No longer subject to file 2011-11-28 0

VARGAS MICHAEL OFFICER

  • Officer
No longer subject to file 2011-11-28 0

BURAK MALLORIE SARA OFFICER

  • Officer
No longer subject to file 2011-11-28 0

NEEDHAM INVESTMENT MANAGEMENT LLC

NEEDHAM GROUP, INC.

NEEDHAM CONTRARIAN FUND LP

NEEDHAM CONTRARIAN QP FUND L P

NEEDHAM EMERGING GROWTH PARTNERS LP

NEEDHAM GROWTH FUND

NEEDHAM GEORGE A

  • 10% Owner
No longer subject to file 2011-11-23 0

SOLUTIA INC

  • 10% Owner
7,168,388 2011-11-23 0

NEEDHAM CAPITAL MANAGMENT LLC

NEEDHAM CAPITAL PARTNERS II L P

NEEDHAM CAPITAL PARTNERS III LP

NEEDHAM CAPITAL PARTNERS IIIA LP

NEEDHAM CAPITAL MANAGEMENT BERMUDA LLC

NEEDHAM CAPITAL PARTNERS II BERMUDA L P

NEEDHAM CAPITAL PARTNERS III BERMUDA LP

  • 10% Owner
No longer subject to file 2011-11-23 0

Insider Transactions Last 60 Days

Reporting Owners Filing Date Trans Date Trans Code Shares Share Price Acquired
Disposed
Shares Owned after D/I 10b5 Perf 1d* Perf 5d* Perf 1m* Max Gain Max Gain Days Max Loss Max Loss Days
No current insider transactions

* -

Transaction Code Definitions
Code Definition
A Grant, award or other acquisition pursuant to Rule 16b-3(d)
C Conversion of derivative security
D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e)
E Expiration of short derivative position
F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3
G Bona fide gift
H Expiration (or cancellation) of long derivative position with value received
I Discretionary transaction in accordance with Rule 16b-3(f) resulting in acquisition or disposition of issuer securities
J Other acquisition or disposition
L Small acquisition under Rule 16a-6
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3
O Exercise of out-of-the-money derivative security
P Open market or private purchase of non-derivative or derivative security
S Open market or private sale of non-derivative or derivative security
U Disposition pursuant to a tender of shares in a change of control transaction
W Acquisition or disposition by will or the laws of descent and distribution
X Exercise of in-the-money or at-the-money derivative security
Z Deposit into or withdrawal from voting trust

IBR Securities Loan Availability

Updated throughout the day, this shows the number of shares available to borrow. Data provided by Interactive Brokers

Security Date/Time Rebate Rate Fee Rate Shares Available

Current Active Short Positions

Holder Issuer Net Short Position Position Date Origin

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