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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. _____)*
AMERIGON, INC.
- --------------------------------------------------------------------------------
(Name of Issuer)
COMMON STOCK
- --------------------------------------------------------------------------------
(Title of Class Securities)
03070L300
------------------------------------
(CUSIP Number)
February 25, 2002
------------------------------------------------------------------
(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(b)
|_| 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 the
disclosure provided in a prior cover page.
The information required in 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).
Page 2 of 11 Pages
..................................
CUSIP No. 03070L300
---------
..................................
- --------------------------------------------------------------------------------
NAME OF REPORTING PERSONS.
1 I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
MicroCapital LLC
13-4103993
- --------------------------------------------------------------------------------
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
2
(A) |X|
(B) |_|
- --------------------------------------------------------------------------------
SEC USE ONLY
3
- --------------------------------------------------------------------------------
CITIZENSHIP OR PLACE OF ORGANIZATION
4
Delaware
- --------------------------------------------------------------------------------
SOLE VOTING POWER
5
------------------------------------------------------------
SHARED VOTING POWER
6
1,113,602
NUMBER OF SHARES ------------------------------------------------------------
BENEFICIALLY
OWNED BY SOLE DISPOSITIVE POWER
EACH 7
REPORTING
PERSON WITH ------------------------------------------------------------
SHARED DISPOSITIVE POWER
8
1,113,602
- --------------------------------------------------------------------------------
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
9
1,113,602
- --------------------------------------------------------------------------------
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
10 (SEE INSTRUCTIONS)
- --------------------------------------------------------------------------------
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
11 10.02%
- --------------------------------------------------------------------------------
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
12 IA
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Page 3 of 11 Pages
..................................
CUSIP No. 03070L300
---------
..................................
- --------------------------------------------------------------------------------
NAME OF REPORTING PERSONS.
1 I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
Ian P. Ellis
- --------------------------------------------------------------------------------
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
2
(A) |X|
(B) |_|
- --------------------------------------------------------------------------------
SEC USE ONLY
3
- --------------------------------------------------------------------------------
CITIZENSHIP OR PLACE OF ORGANIZATION
4
U.K.
- --------------------------------------------------------------------------------
SOLE VOTING POWER
5
------------------------------------------------------------
SHARED VOTING POWER
6
1,113,602
NUMBER OF SHARES ------------------------------------------------------------
BENEFICIALLY
OWNED BY SOLE DISPOSITIVE POWER
EACH 7
REPORTING
PERSON WITH ------------------------------------------------------------
SHARED DISPOSITIVE POWER
8
1,113,602
- --------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,113,602
- --------------------------------------------------------------------------------
10 CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
(SEE INSTRUCTIONS)
- --------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
10.02%
- --------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
IN, HC
- --------------------------------------------------------------------------------
Page 4 of 11 Pages
..................................
CUSIP No. 03070L300
---------
..................................
- --------------------------------------------------------------------------------
NAME OF REPORTING PERSONS.
1 I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
MicroCapital Fund LP
52-2286453
- --------------------------------------------------------------------------------
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
2
(A) |X|
(B) |_|
- --------------------------------------------------------------------------------
SEC USE ONLY
3
- --------------------------------------------------------------------------------
CITIZENSHIP OR PLACE OF ORGANIZATION
4
Delaware
- --------------------------------------------------------------------------------
SOLE VOTING POWER
5
------------------------------------------------------------
SHARED VOTING POWER
6
590,502
NUMBER OF SHARES ------------------------------------------------------------
BENEFICIALLY
OWNED BY SOLE DISPOSITIVE POWER
EACH 7
REPORTING
PERSON WITH ------------------------------------------------------------
SHARED DISPOSITIVE POWER
8
590,502
- --------------------------------------------------------------------------------
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
9
590,502
- --------------------------------------------------------------------------------
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
(SEE INSTRUCTIONS)
10
- --------------------------------------------------------------------------------
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
11 5.31%
- --------------------------------------------------------------------------------
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
12 PN
- --------------------------------------------------------------------------------
Page 5 of 11 Pages
..................................
CUSIP No. 03070L300
---------
..................................
- --------------------------------------------------------------------------------
NAME OF REPORTING PERSONS.
1 I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
MicroCapital Fund Ltd.
- --------------------------------------------------------------------------------
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
2
(A) |X|
(B) |_|
- --------------------------------------------------------------------------------
SEC USE ONLY
3
- --------------------------------------------------------------------------------
CITIZENSHIP OR PLACE OF ORGANIZATION
4
Cayman Islands
- --------------------------------------------------------------------------------
SOLE VOTING POWER
5
------------------------------------------------------------
SHARED VOTING POWER
6
469,700
NUMBER OF SHARES ------------------------------------------------------------
BENEFICIALLY
OWNED BY SOLE DISPOSITIVE POWER
EACH 7
REPORTING
PERSON WITH ------------------------------------------------------------
SHARED DISPOSITIVE POWER
8
469,700
- --------------------------------------------------------------------------------
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
9
469,700
- --------------------------------------------------------------------------------
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
10 (SEE INSTRUCTIONS)
- --------------------------------------------------------------------------------
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
11 4.23%
- --------------------------------------------------------------------------------
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
12 CO
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Page 6 of 11 Pages
..................................
CUSIP No. 03070L300
---------
..................................
- --------------------------------------------------------------------------------
NAME OF REPORTING PERSONS.
1 I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
Nattak Corporation
- --------------------------------------------------------------------------------
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
2
(A) |X|
(B) |_|
- --------------------------------------------------------------------------------
SEC USE ONLY
3
- --------------------------------------------------------------------------------
CITIZENSHIP OR PLACE OF ORGANIZATION
4
Cayman Islands
- --------------------------------------------------------------------------------
SOLE VOTING POWER
5
-----------------------------------------------------------
SHARED VOTING POWER
6
53,400
NUMBER OF SHARES -----------------------------------------------------------
BENEFICIALLY
OWNED BY SOLE DISPOSITIVE POWER
EACH 7
REPORTING
PERSON WITH -----------------------------------------------------------
SHARED DISPOSITIVE POWER
8
53,400
- --------------------------------------------------------------------------------
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
9
53,400
- --------------------------------------------------------------------------------
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
10 (SEE INSTRUCTIONS)
- --------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
0.5%
- --------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
CO
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Page 7 of 11 Pages
Item 1.
(a) Name of Issuer
Amerigon, Inc.
(b) Address of Issuer's Principal Executive Offices
5462 Irwindale Avenue
Irwindale, CA 91760
Item 2.
(a) Name of Person Filing
This statement is being filed by (i) MicroCapital LLC, a Delaware
limited liability company and registered investment adviser ("IA"),
(ii) Ian P. Ellis ("Managing Member"), (iii) MicroCapital Fund LP,
(iv) MicroCapital Fund Ltd., and (v) Nattak Corporation
(collectively, the "Reporting Persons"). Managing Member controls IA
by virtue of Managing Member's position as managing member and
majority owner of IA.
IA's beneficial ownership of the Common Stock is direct as a result
of IA's discretionary authority to buy, sell, and vote shares of such
Common Stock for its investment advisory clients. Managing Member's
beneficial ownership of Common Stock is indirect as a result of
Managing Member's ownership and management of IA. The beneficial
ownership of Managing Member is reported solely because Rules
13d-1(a) and (b) under the Securities Exchange Act of 1934, as
amended, require any person who is "directly or indirectly" the
beneficial owner of more than five percent of any equity security of
a specified class to file a Schedule 13G. The answers in blocks 6, 8,
9 and 11 above and the response to item 4 by Managing Member are
given on the basis of the "indirect" beneficial ownership referred to
in such Rule, based on the direct beneficial ownership of Common
Stock by IA and the relationship of Managing Member to IA referred to
above.
Information with respect to each Reporting Person is given solely by
the respective Reporting Person, and no Reporting Person undertakes
hereby any responsibility for the accuracy or completeness or such
information concerning any other Reporting Person.
(b) Address of Principal Business office or, if None, Residence
IA's principal business office is located at:
410 Jessie Street, Suite 1002, San Francisco, CA 94103
Managing Member's principal business office is located at:
410 Jessie Street, Suite 1002, San Francisco, CA 94103
Page 8 of 11 Pages
MicroCapital Fund LP's principal business office is located at:
410 Jessie Street, Suite 1002, San Francisco, CA 94103
MicroCapital Fund Ltd.'s principal business office is located at: c/o
Citco Fund Services (Curacao) N.V., Kaya Flamboyan 9, Curacao,
Netherland Antilles
Nattak Corporation's principal business office is located at: West
Wind Building, Harbour Drive, George Town, Grand Cayman, Cayman
Islands, B.W.I.
(c) Citizenship
Item 4 of each cover page is incorporated by reference
(d) Title of Class Securities
Common
(e) CUSIP Number
03070L300
Item 3. If this statement is filed pursuant to Sections 240.13d-1(b), or
240.13d-2(b) or (c), check whether the person filing is a:
(a) |_| Broker or dealer registered under section 15 of the Act (15
U.S.C. 78o).
(b) |_| Bank as defined in section 3(a)(6) of the Act (15 U.S.C.
78c).
(c) |_| Insurance company as defined in section 3(a)(19) of the Act
(15 U.S.C. 78c).
(d) |_| Investment company registered under section 8 of the
Investment Company Act (15 U.S.C. 80a-8).
(e) |X| An investment adviser in accordance with Section
240.13d-1(b)(1)(ii)(E).
(f) |_| An employee benefit plan or endowment fund in accordance
with Section 240.13d-1(b)(ii)(F).
(g) |_| A parent holding company or control person in accordance
with Section 240.13d-1(b)(1)(ii)(G).
(h) |_| A savings association as defined in Section 3(b) of
the Federal Deposit Insurance Act (12 U.S.C. 1813).
(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 (15 U.S.C. 80a-3).
(j) |_| Group in accordance with Section 240.13d-1(b)(ii)(J).
Item 4. Ownership
Common Stock:
Items 5-9 and 11 of each cover sheet are incorporated by
reference.
Page 9 of 11 Pages
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 securities, check the
following |_|
Item 6. Ownership of More than Five Percent on Behalf of Another Person.
IA, a registered investment adviser, and Managing Member, the
majority owner and managing member of IA, have the right or the power
to direct the receipt of dividends from Common Stock, and to direct
the receipt of proceeds from the sale of Common Stock to IA's
investment advisory clients. MicroCapital LP owns more than 5% of the
Common Stock.
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.
See Exhibit A
Item 9. Notice of Dissolution of Group.
Not Applicable
Item 10. Certification:
(a) The following certification shall be included if the statement
is filed pursuant to Section 240.13d-1(b):
By signing below I certify that, to the best of my knowledge
and belief, the securities referred to above were acquired and
are held I the ordinary course of business and 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
Date: April 4, 2002
MICROCAPITAL LLC
/s/ Ian P. Ellis
-------------------------------------------------
Ian P. Ellis, Managing Member
IAN P. ELLIS
/s/ Ian P. Ellis
-------------------------------------------------
Ian P. Ellis
Page 10 of 11 Pages
MICROCAPITAL FUND LP
/s/ Ian P. Ellis
-------------------------------------------------
Ian P. Ellis, Managing Member, Investment Adviser
MICROCAPITAL FUND LTD.
/s/ Ian P. Ellis
-------------------------------------------------
Ian P. Ellis, Managing Member, Investment Adviser
NATTAK CORPORATION
/s/ Ian P. Ellis
-------------------------------------------------
Ian P. Ellis, Managing Member, Investment Adviser
Page 11 of 11 Pages
EXHIBIT A
Identification and Classification of Members of the Group
---------------------------------------------------------
Pursuant to Rule 13d-1(b)(1)(ii)(J) and Rule 13d-1(k)(1) under the Securities
and Exchange Act of 1934, as amended, the members of the group making this joint
filing are identified and classified as follows:
Name Classification
---- --------------
MicroCapital LLC A Delaware limited liability company,
Investment Adviser
Ian P. Ellis Individual, control person of
MicroCapital LLC
MicroCapital LP A Delaware limited partnership
MicroCapital Ltd. A Cayman Islands company
Nattak Corporation A Cayman Islands company