- Amended Statement of Beneficial Ownership (SC 13D/A)
March 25 2010 - 3:40PM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D/A
Under the Securities Exchange Act of
1934
(Amendment No.
1)*
Voxware, Inc.
(Name of
Issuer)
Common Stock,
$0.001 par value per share
(Title of Class of Securities)
92906L105
(CUSIP
Number)
Donald
R. Caldwell
Five
Radnor Corporate Center #555
Radnor,
Pennsylvania 19087
(610)
995-2650
(Name,
Address and Telephone Number of Person
Authorized
to Receive Notices and Communications)
February
26, 2010
(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 that is the subject of this Schedule 13D, and is filing this
schedule because of §§240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the
following box:
¨
Note
: Schedules filed in paper format shall
include a signed original and five copies of the schedule, including all
exhibits. See Rule 240.13d-7 for other parties to whom copies are to be
sent.
* 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 (“Exchange Act”) or
otherwise subject to the liabilities of that section of the Exchange Act but
shall be subject to all other provisions of the Exchange Act (however, see the
Notes).
(Continued on
following pages) (Page 1 of 9 Pages)
CUSIP No. 92906L105
|
SCHEDULE 13D
|
Page 2 of 9
Pages
|
|
NAME OF REPORTING PERSON
|
1
|
|
|
The Co-Investment Fund
II, L.P.
|
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
|
|
2
|
(a)
¨
|
|
(b)
¨
|
|
SEC USE ONLY
|
3
|
|
|
|
|
SOURCE OF FUNDS
|
4
|
|
|
OO
|
|
|
|
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT
|
|
TO ITEMS 2(d) OR 2(e)
|
5
|
|
|
¨
|
|
|
|
CITIZENSHIP OR PLACE OF ORGANIZATION
|
6
|
|
|
Delaware
|
|
|
|
|
|
SOLE VOTING POWER
|
|
7
|
|
NUMBER OF
|
|
0
|
|
|
|
SHARES
|
|
SHARED VOTING POWER
|
BENEFICIALLY
|
8
|
|
OWNED BY
|
|
1,257,143
|
|
|
|
EACH
|
|
SOLE DISPOSITIVE POWER
|
REPORTING
|
9
|
|
PERSON
|
|
0
|
|
|
|
WITH
|
|
SHARED DISPOSITIVE POWER
|
|
10
|
|
|
|
1,257,143
|
|
|
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING
|
|
PERSON
|
11
|
|
|
1,257,143
|
|
|
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN
|
|
SHARES (SEE INSTRUCTIONS)
|
12
|
|
|
¨
|
|
|
|
PERCENT OF CLASS REPRESENTED BY AMOUNT
IN ROW (11)
|
13
|
|
|
15.4%
|
|
|
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
|
14
|
|
|
PN
|
CUSIP No. 92906L105
|
SCHEDULE 13D
|
Page 3 of 9
Pages
|
|
NAME OF REPORTING PERSON
|
1
|
|
|
Co-Invest Management
II, L.P.
|
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
|
|
2
|
(a)
¨
|
|
(b)
¨
|
|
SEC USE ONLY
|
3
|
|
|
|
|
SOURCE OF FUNDS
|
4
|
|
|
OO
|
|
|
|
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT
|
|
TO ITEMS 2(d) OR 2(e)
|
5
|
|
|
¨
|
|
|
|
CITIZENSHIP OR PLACE OF ORGANIZATION
|
6
|
|
|
Delaware
|
|
|
|
|
|
SOLE VOTING POWER
|
|
7
|
|
NUMBER OF
|
|
0
|
|
|
|
SHARES
|
|
SHARED VOTING POWER
|
BENEFICIALLY
|
8
|
|
OWNED BY
|
|
1,257,143
|
|
|
|
EACH
|
|
SOLE DISPOSITIVE POWER
|
REPORTING
|
9
|
|
PERSON
|
|
0
|
|
|
|
WITH
|
|
SHARED DISPOSITIVE POWER
|
|
10
|
|
|
|
1,257,143
|
|
|
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING
|
|
PERSON
|
11
|
|
|
1,257,143
|
|
|
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN
|
|
SHARES (SEE INSTRUCTIONS)
|
12
|
|
|
¨
|
|
|
|
PERCENT OF CLASS REPRESENTED BY AMOUNT
IN ROW (11)
|
13
|
|
|
15.4%
|
|
|
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
|
14
|
|
|
PN
|
CUSIP No. 92906L105
|
SCHEDULE 13D
|
Page 4 of 9
Pages
|
|
NAME OF REPORTING PERSON
|
1
|
|
|
Co-Invest II Capital
Partners, Inc.
|
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
|
|
2
|
(a)
¨
|
|
(b)
¨
|
|
SEC USE ONLY
|
3
|
|
|
|
|
SOURCE OF FUNDS
|
4
|
|
|
OO
|
|
|
|
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT
|
|
TO ITEMS 2(d) OR 2(e)
|
5
|
|
|
¨
|
|
|
|
CITIZENSHIP OR PLACE OF ORGANIZATION
|
6
|
|
|
Delaware
|
|
|
|
|
|
SOLE VOTING POWER
|
|
7
|
|
NUMBER OF
|
|
0
|
|
|
|
SHARES
|
|
SHARED VOTING POWER
|
BENEFICIALLY
|
8
|
|
OWNED BY
|
|
1,257,143
|
|
|
|
EACH
|
|
SOLE DISPOSITIVE POWER
|
REPORTING
|
9
|
|
PERSON
|
|
0
|
|
|
|
WITH
|
|
SHARED DISPOSITIVE POWER
|
|
10
|
|
|
|
1,257,143
|
|
|
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING
|
|
PERSON
|
11
|
|
|
1,257,143
|
|
|
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN
|
|
SHARES (SEE INSTRUCTIONS)
|
12
|
|
|
¨
|
|
|
|
PERCENT OF CLASS REPRESENTED BY AMOUNT
IN ROW (11)
|
13
|
|
|
15.4%
|
|
|
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
|
14
|
|
|
CO
|
CUSIP No. 92906L105
|
SCHEDULE 13D
|
Page 5 of 9
Pages
|
|
NAME OF REPORTING PERSON
|
1
|
|
|
Donald R.
Caldwell
|
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
|
|
2
|
(a)
¨
|
|
(b)
¨
|
|
SEC USE ONLY
|
3
|
|
|
|
|
SOURCE OF FUNDS
|
4
|
|
|
OO
|
|
|
|
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT
|
|
TO ITEMS 2(d) OR 2(e)
|
5
|
|
|
¨
|
|
|
|
CITIZENSHIP OR PLACE OF ORGANIZATION
|
6
|
|
|
United States of
America
|
|
|
|
|
|
SOLE VOTING POWER
|
|
7
|
|
NUMBER OF
|
|
9,378
|
|
|
|
SHARES
|
|
SHARED VOTING POWER
|
BENEFICIALLY
|
8
|
|
OWNED BY
|
|
2,419,228
|
|
|
|
EACH
|
|
SOLE DISPOSITIVE POWER
|
REPORTING
|
9
|
|
PERSON
|
|
9,378
|
|
|
|
WITH
|
|
SHARED DISPOSITIVE POWER
|
|
10
|
|
|
|
2,419,228
|
|
|
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING
|
|
PERSON
|
11
|
|
|
2,428,606
|
|
|
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN
|
|
SHARES (SEE INSTRUCTIONS)
|
12
|
|
|
¨
|
|
|
|
PERCENT OF CLASS REPRESENTED BY AMOUNT
IN ROW (11)
|
13
|
|
|
28.8%
|
|
|
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
|
14
|
|
|
IN
|
EXPLANATORY NOTE
This Amendment No. 1 amends the Statement on Schedule 13D filed on July
14, 2009, by and on behalf of Co-Investment Fund (the "Statement"), with respect
to the beneficial ownership of common stock, par value $0.001 per share, of the
Issuer. This Statement, as amended by this Amendment No. 1, is referred to
herein as "Schedule 13D." This Schedule 13D is being filed to report a change in
the percentage of beneficial ownership of Co-Investment Fund solely as a result
of an increase in the number of shares of the Issuer’s common stock outstanding.
Capitalized terms used and not defined herein have the meanings set forth
in the Statement. Except as specifically set forth herein, the Schedule 13D
remains unmodified.
Item 5. Interest in Securities of the
Issuer.
(a) Co-Investment Fund owns 1,142,857 shares
of Common Stock of the Issuer and a warrant to purchase 114,286 shares of Common
Stock of the Issuer (or 15.4% of the shares of Common Stock outstanding and
deemed outstanding pursuant to Rule 13d-3(d)(1)(i)).
Co-Invest Management may be deemed to beneficially own 1,142,857 shares
of Common Stock of the Issuer and a warrant to purchase 114,286 shares of Common
Stock of the Issuer (or 15.4% of the shares of Common Stock outstanding and
deemed outstanding pursuant to Rule 13d-3(d)(1)(i)) as the general partner of
Co-Investment Fund.
Co-Invest Capital may be deemed to beneficially own 1,142,857 shares of
Common Stock of the Issuer and a warrant to purchase 114,286 shares of Common
Stock of the Issuer (or 15.4% of the shares of Common Stock outstanding and
deemed outstanding pursuant to Rule 13d-3(d)(1)(i)) as the general partner of
Co-Invest Management.
Mr. Caldwell may be deemed to beneficially own 2,047,337 shares of Common
Stock of the Issuer and warrants to purchase 371,891 shares of Common Stock of
the Issuer as a director, officer, and shareholder of Co-Invest Capital and as
the Chairman and Chief Executive Officer of Cross Atlantic Technology Fund II,
L.P., the record owner of 904,480 shares of Common Stock of the Issuer and a
warrant to purchase 257,605 shares of Common Stock of the Issuer. Additionally,
Mr. Caldwell has been issued options to purchase 9,378 shares of Common Stock of
the Issuer in connection with his service as a member of the board of directors
of the Issuer, which are exercisable within 60 days of the date of this Schedule
13D. Therefore, Mr. Caldwell may be deemed to beneficially own 28.8% of the
shares of Common Stock outstanding and deemed outstanding pursuant to Rule
13d-3(d)(1)(i).
The foregoing should not be construed as an admission by any reporting
person as to its or his beneficial ownership of any shares of Common Stock owned
by another reporting person.
(b) See rows (7) through (10) of the cover page for each reporting person
at the beginning of this Schedule 13D, which are incorporated herein by
reference.
(c) Except as set forth above, none of the reporting persons has effected
any transaction in the Issuer Common Stock or the warrants to purchase shares of
Common Stock during the last 60 days.
(d) Not applicable.
(e) Not applicable.
SIGNATURES
After reasonable inquiry and to the best of its knowledge and belief,
each of the undersigned certifies that the information set forth in this
statement is true, complete and correct.
Dated: March 25, 2010
|
THE CO-INVESTMENT FUND II,
L.P.
|
|
|
|
By:
|
/s/ Brian Adamsky
|
|
|
Name: Brian Adamsky
|
|
Title: Chief Financial
Officer
|
|
Dated: March 25, 2010
|
CO-INVEST MANAGEMENT II,
L.P.
|
|
|
|
By:
|
/s/ Brian Adamsky
|
|
|
Name: Brian Adamsky
|
|
Title: Chief Financial
Officer
|
|
Dated: March 25, 2010
|
CO-INVEST II CAPITAL
PARTNERS,
|
|
INC.
|
|
|
|
By:
|
/s/ Brian Adamsky
|
|
|
Name: Brian Adamsky
|
|
Title: Chief Financial
Officer
|
|
Dated: March 25, 2010
|
/s/ Donald R. Caldwell
|
|
|
Donald R.
Caldwell
|
Attention: Intentional misstatements or
omissions of fact constitute Federal criminal violations
(See 18 U.S.C.
1001)
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