View:
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D
Under the Securities Exchange Act of 1934
(Amendment No. _____)*
Amerigon Inc.
______________________________________________________
(Name of Issuer)
Common Stock
______________________________________________________
(Title of Class of Securities)
03070L300
____________________________________
(CUSIP Number)
Austin W. Marxe, 153 East 53rd Street, New York, NY 10022
(212) 207-6500
______________________________________________________
(Name, Address and Telephone Number of Person Authorized to
Receive Notices and Communications)
February 25, 2002
_________________________________________________________
(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-I(b)(3) or (4), check the following
box ___.
Note: Six copies of this statement, including all exhibits, should be filed
with the Commission. See Rule 13d-1(a) 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 the disclosures provided in a prior cover page.
The information required in the remainder of the 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 13D
CUSIP No. 03070L300 Page 2 of 9 Pages
- ----------------------------------------------------------------
(1) NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Special Situations Fund III, L.P. ("SSF3")
F13-3737427
MGP Advisers Limited Partnership * ("MGP")
F13-3263120
- ----------------------------------------------------------------
(2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) | |
(b) |X|
- ----------------------------------------------------------------
(3) SEC USE ONLY
- ----------------------------------------------------------------
(4) SOURCE OF FUNDS* 00
________________________________________________________________
(5) CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDING IS REQUIRED
PURSUANT TO 2(d)OR 2(e) ____
_________________________________________________________________
(6) CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
- ----------------------------------------------------------------
NUMBER OF (7) SOLE VOTING POWER See Marxe/Greenhouse
SHARES -------------------------------------------------
BENEFICIALLY (8) SHARED VOTING POWER None
OWNED BY -------------------------------------------------
EACH (9) SOLE DISPOSITIVE POWER See Marxe/Greenhouse
REPORTING -------------------------------------------------
PERSON WITH (10) SHARED DISPOSITIVE POWER None
- ----------------------------------------------------------------
(11) AGGREGATE AMOUNT BENEFICALLY OWNED BY EACH REPORTING PERSON
2,800,050 (includes 933,350 wts)
- ----------------------------------------------------------------
(12) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES*
- ----------------------------------------------------------------
(13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
23.9
- ----------------------------------------------------------------
(14) TYPE OF REPORTING PERSON*
IV/IA
- ----------------------------------------------------------------
* AWM Investment Company, Inc., a Delaware corporation is the General Partner
of this entity.
SCHEDULE 13D
CUSIP No.03070L300 Page 3 of 9 Pages
- ----------------------------------------------------------------
(1) NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Special Situations Private Equity Fund, L.P. ("SSPE")
F13-3916551
MG Advisers, L.L.C. F13-3916549 ("MGA")
- ----------------------------------------------------------------
(2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) | |
(b) |X|
- ----------------------------------------------------------------
(3) SEC USE ONLY
- ----------------------------------------------------------------
(4) SOURCE OF FUNDS* 00
________________________________________________________________
(5) CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDING IS REQUIRED
PURSUANT TO 2(d) OR 2(e) ____
_________________________________________________________________
(6) CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
- ----------------------------------------------------------------
NUMBER OF (7) SOLE VOTING POWER See Marxe/Greenhouse
SHARES -------------------------------------------------
BENEFICIALLY (8) SHARED VOTING POWER None
OWNED BY -------------------------------------------------
EACH (9) SOLE DISPOSITIVE POWER See Marxe/Greenhouse
REPORTING -------------------------------------------------
PERSON WITH (10) SHARED DISPOSITIVE POWER None
- ----------------------------------------------------------------
(11) AGGREGATE AMOUNT BENEFICALLY OWNED BY EACH REPORTING PERSON
1,399,950 (includes 466,650 wts)
- ----------------------------------------------------------------
(12) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES*
- ----------------------------------------------------------------
(13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
12.4
- ----------------------------------------------------------------
(14) TYPE OF REPORTING PERSON*
IV/IA
- ----------------------------------------------------------------
SCHEDULE 13D
CUSIP No.03070L300 Page 4 of 9 Pages
- ----------------------------------------------------------------
(1) NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Special Situations Cayman Fund, L.P. ("CAY")
98-0132442
AWM Investment Company, Inc. 11-3086452 ("AWM")
- ----------------------------------------------------------------
(2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) | |
(b) |X|
- ----------------------------------------------------------------
(3) SEC USE ONLY
- ----------------------------------------------------------------
(4) SOURCE OF FUNDS* 00
________________________________________________________________
(5) CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDING IS REQUIRED
PURSUANT TO 2(d) OR 2(e) ____
_________________________________________________________________
(6) CITIZENSHIP OR PLACE OF ORGANIZATION
Cayman Islands
- ----------------------------------------------------------------
NUMBER OF (7) SOLE VOTING POWER See Marxe/Greenhouse
SHARES -------------------------------------------------
BENEFICIALLY (8) SHARED VOTING POWER None
OWNED BY -------------------------------------------------
EACH (9) SOLE DISPOSITIVE POWER See Marxe/Greenhouse
REPORTING ------------------------------------------------
PERSON WITH (10) SHARED DISPOSITIVE POWER None
- ----------------------------------------------------------------
(11) AGGREGATE AMOUNT BENEFICALLY OWNED BY EACH REPORTING PERSON
850,050 (includes 283,350 wts)
- ----------------------------------------------------------------
(12) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES*
- ----------------------------------------------------------------
(13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
7.6
- ----------------------------------------------------------------
(14) TYPE OF REPORTING PERSON*
IV/IA
- ----------------------------------------------------------------
SCHEDULE 13D
CUSIP No.03070L300 Page 5 of 9 Pages
- ----------------------------------------------------------------
(1) NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Special Situations Technology Fund, L.P. ("TECH")
13-3937585
SST Advisers L.L.C. ("SSTA") 13-3937583
- ----------------------------------------------------------------
(2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) | |
(b) |X|
- ----------------------------------------------------------------
(3) SEC USE ONLY
- ----------------------------------------------------------------
(4) SOURCE OF FUNDS* 00
________________________________________________________________
(5) CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDING IS REQUIRED
PURSUANT TO 2(d) OR 2(e) ____
_________________________________________________________________
(6) CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
- ----------------------------------------------------------------
NUMBER OF (7) SOLE VOTING POWER See Marxe/Greenhouse
SHARES -------------------------------------------------
BENEFICIALLY (8) SHARED VOTING POWER None
OWNED BY -------------------------------------------------
EACH (9) SOLE DISPOSITIVE POWER See Marxe/Greenhouse
REPORTING ------------------------------------------------
PERSON WITH (10) SHARED DISPOSITIVE POWER None
- ----------------------------------------------------------------
(11) AGGREGATE AMOUNT BENEFICALLY OWNED BY EACH REPORTING PERSON
450,000 (includes 150,000 wts)
- ----------------------------------------------------------------
(12) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES*
- ----------------------------------------------------------------
(13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
4.1
- ----------------------------------------------------------------
(14) TYPE OF REPORTING PERSON*
IV/IA
- ----------------------------------------------------------------
CUSIP No.03070L300 Page 6 of 9 Pages
- ----------------------------------------------------------------
(1) NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Austin W. Marxe
David M. Greenhouse
- ----------------------------------------------------------------
(2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) | |
(b) |X|
- ----------------------------------------------------------------
(3) SEC USE ONLY
- ----------------------------------------------------------------
(4) SOURCE OF FUNDS* 00
________________________________________________________________
(5) CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDING IS REQUIRED
PURSUANT TO 2(d) OR 2(e) ____
_________________________________________________________________
(6) CITIZENSHIP OR PLACE OF ORGANIZATION
United States of America
- ----------------------------------------------------------------
NUMBER OF (7) SOLE VOTING POWER 5,500,050
SHARES -------------------------------------------------
BENEFICIALLY (8) SHARED VOTING POWER None
OWNED BY -------------------------------------------------
EACH (9) SOLE DISPOSITIVE POWER 5,500,050
REPORTING -------------------------------------------------
PERSON WITH (10) SHARED DISPOSITIVE POWER None
- ----------------------------------------------------------------
(11) AGGREGATE AMOUNT BENEFICALLY OWNED BY EACH REPORTING PERSON
5,500,050 (includes 1,883,350 wts)
- ----------------------------------------------------------------
(12) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES*
- ----------------------------------------------------------------
(13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
43.6
- ----------------------------------------------------------------
(14) TYPE OF REPORTING PERSON*
IN
- ----------------------------------------------------------------
Page 7 of 9 Pages
Item 1. Security and Issuer. This Schedule relates to the common shares and
warrants of Amerigon Inc. (the "Issuer"). The Issuer's principal executive
offices are located at 5462 Irwindale Avenue, Irwindale, CA 91760
Item 2. Identity and Background. This Schedule is filed on behalf of (i)
Special Situations Fund III, L.P., a Delaware limited partnership ("SSF3");
(ii) Special Situations Private Equity Fund, L.P., a Delaware limited
partnership ("SSPE"); (iii) Special Situations Cayman Fund, L.P., a Cayman
Islands limited partnership ("CAY"); (iv) Special Situations Technology Fund,
L.P., a Delaware limited partnership ("TECH"); (v) MGP Advisers Limited
Partnership, a Delaware limited partnership ("MGP"); (vi) MG Advisers,
L.L.C., a New York Limited Liability Company ("MGA"); (vii) AWM Investment
Company, Inc., a Delaware corporation ("AWM"); (viii) SST Advisers, L.L.C., a
Delaware limited liability company ("SSTA"); (ix) Austin W. Marxe and (x)
David Greenhouse. Each of the foregoing is hereinafter referred to,
individually, as a "Reporting Person" and, collectively, as the "Reporting
Persons."
The principal office and business address of the Reporting Persons, other
than the Cayman Fund, is 153 East 53rd Street, 55th floor, New York, NY
10022. The principal office and business address of the Cayman Fund is c/o
CIBC Bank and Trust Company (Cayman) Limited, CIBC Bank Building, P. O. Box
694, Grand Cayman, Cayman Islands, British West Indies.
The principal business of SSF3, SSPE, CAY and TECH (individually, a "Fund"
and, collectively, the "Funds") is to invest in equity and equity related
securities. The principal business of MGP is to act as the general partner
of and the investment adviser to SSF3. The principal business of MGA is to
act as general partner of and the investment adviser to SSPE. The principal
business of AWM is to act as the general partner of MGP and as the general
partner of and the investment adviser to the CAY. The principal business of
SSTA is to act as general partner of and investment adviser to TECH. MGP,
MGA, AWM, SSTA are referred to herein, individually, as an "Adviser" and,
collectively, as the "Advisers." The principal occupation of Austin W. Marxe
and David Greenhouse, both of whom are United States citizens, is to serve as
officers, directors and members or principal shareholders of the Advisers.
Neither any Fund, any Adviser, Austin W. Marxe nor David Greenhouse, during
the last 5 years, has been convicted in any criminal proceeding or was or is
subject to a judgment, decree or final order enjoining future violations of,
or prohibiting or mandating activities subject to, Federal or state
securities laws or finding any violations with respect to such laws.
Item 3. Source and Amount of Funds or Other Consideration.
Each Fund utilized available cash assets to purchase the Securities.
Item 4. Purpose of the Transaction. Each of the Reporting Persons has
acquired and is holding the Securities solely for investment purposes and not
with the purpose or the effect of changing or influencing control of the
Issuer. Each Fund acquired the Securities in the ordinary course of business
and is holding such Securities for the benefit of its third party investors.
Page 8 of 9 Pages
Item 5. Interest in Securities of the Issuer. See pps. 2-6 of this
Schedule, setting forth the aggregate number and percentage of the Securities
beneficially owned by each Reporting Person, the number of shares as to which
there is sole or shared power to vote, or to direct the vote, and sole or
shared power to dispose or to direct the disposition.
On February 25, 2002 the following Funds acquired the following common shares
and warrants at $1.50 per share in a private placement transaction:
1. SSF3 - Purchased 1,866,700 common shares and 933,350 warrants
2. SSPE - Purchased 933,300 common shares and 466,650 warrants.
3. CAY - Purchased 566,700 common shares and 283,350 warrants.
4. TECH - Purchased 300,000 common shares and 150,000 warrants.
No other trades occurred within the last 60 days.
Item 6. Contracts, Arrangements, Understandings or Relationships with Respect
to Securities of the Issuer. See Item 2 and Item 4 of this Schedule. Based
on such Items. Messrs. Marxe and Greenhouse maintain sole voting power and
sole dispositive power with respect to the Securities.
Item 7. Material to be filed as Exhibits. None
Page 9 of 9 Pages
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.
March 1, 2002
/s/ Austin W. Marxe
-----------------------------
Special Situations Fund III, L.P.
By: Austin W. Marxe, Managing Director
/s/ Austin W. Marxe
_________________________________
Special Situations Private Equity Fund, L.P.
by: Austin W. Marxe, Managing Director
/s/ Austin W. Marxe
_____________________________
Special Situations Cayman Fund, L.P
By: Austin Marxe, Managing Director
/s/ Austin W. Marxe
_____________________________
MGP Advisers Limited Partnership
By: Austin Marxe, President and CEO
/s/ Austin W. Marxe
_____________________________
MG Advisers, L.L.C.
By: Austin Marxe, President and CEO
/s/ Austin W. Marxe
_____________________________
AWM Investment Company, Inc.
By: Austin Marxe, President and CEO
/s/ Austin W. Marxe
_____________________________
Austin W. Marxe
/s/ David Greenhouse
________________________
David Greenhouse