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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. 1)*
AMERIGON, INC.
- --------------------------------------------------------------------------------
(Name of Issuer)
COMMON STOCK
- --------------------------------------------------------------------------------
(Title of Class Securities)
03070L300
------------------------------------
(CUSIP Number)
DECEMBER 31, 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 2 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
1,331,302
NUMBER OF SHARES ------------------------------------------------------------
BENEFICIALLY
OWNED BY SOLE DISPOSITIVE POWER
EACH 7
REPORTING
PERSON WITH ------------------------------------------------------------
SHARED DISPOSITIVE POWER
8
1,331,302
- --------------------------------------------------------------------------------
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
9
1,331,302
- --------------------------------------------------------------------------------
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
10 (SEE INSTRUCTIONS)
- --------------------------------------------------------------------------------
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
11 11.99%
- --------------------------------------------------------------------------------
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
12 IA
- --------------------------------------------------------------------------------
Page 3 of 3 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
1,331,302
NUMBER OF SHARES ------------------------------------------------------------
BENEFICIALLY
OWNED BY SOLE DISPOSITIVE POWER
EACH 7
REPORTING
PERSON WITH ------------------------------------------------------------
SHARED DISPOSITIVE POWER
8
1,331,302
- --------------------------------------------------------------------------------
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
9
1,331,302
- --------------------------------------------------------------------------------
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
10 (SEE INSTRUCTIONS)
- --------------------------------------------------------------------------------
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
11 11.99%
- --------------------------------------------------------------------------------
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
12 IN, HC
- --------------------------------------------------------------------------------
Page 4 of 4 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
716,602
NUMBER OF SHARES ------------------------------------------------------------
BENEFICIALLY
OWNED BY SOLE DISPOSITIVE POWER
EACH 7
REPORTING
PERSON WITH ------------------------------------------------------------
SHARED DISPOSITIVE POWER
8
716,602
- --------------------------------------------------------------------------------
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
9
716,602
- --------------------------------------------------------------------------------
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
10 (SEE INSTRUCTIONS)
- --------------------------------------------------------------------------------
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
11 6.45%
- --------------------------------------------------------------------------------
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
12 PN
- --------------------------------------------------------------------------------
Page 5 of 5 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
516,700
NUMBER OF SHARES ------------------------------------------------------------
BENEFICIALLY
OWNED BY SOLE DISPOSITIVE POWER
EACH 7
REPORTING
PERSON WITH ------------------------------------------------------------
SHARED DISPOSITIVE POWER
8
516,700
- --------------------------------------------------------------------------------
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
9
516,700
- --------------------------------------------------------------------------------
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
10 (SEE INSTRUCTIONS)
- --------------------------------------------------------------------------------
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
11 4.65%
- --------------------------------------------------------------------------------
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
12 CO
- --------------------------------------------------------------------------------
Page 6 of 6 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
0
NUMBER OF SHARES ------------------------------------------------------------
BENEFICIALLY
OWNED BY SOLE DISPOSITIVE POWER
EACH 7
REPORTING
PERSON WITH ------------------------------------------------------------
SHARED DISPOSITIVE POWER
8
0
- --------------------------------------------------------------------------------
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
9
0
- --------------------------------------------------------------------------------
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
10 (SEE INSTRUCTIONS)
- --------------------------------------------------------------------------------
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
11 0%
- --------------------------------------------------------------------------------
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
12 CO
- --------------------------------------------------------------------------------
Page 7 of 7 Pages
...................................
CUSIP No. 03070L300
...................................
- --------------------------------------------------------------------------------
NAME OF REPORTING PERSONS.
1 I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
Price Trust UTA Dated 10/5/84, As Amended
###-##-####
- --------------------------------------------------------------------------------
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
- --------------------------------------------------------------------------------
SOLE VOTING POWER
5
------------------------------------------------------------
SHARED VOTING POWER
6
98,000
NUMBER OF SHARES ------------------------------------------------------------
BENEFICIALLY
OWNED BY SOLE DISPOSITIVE POWER
EACH 7
REPORTING
PERSON WITH ------------------------------------------------------------
SHARED DISPOSITIVE POWER
8
98,000
- --------------------------------------------------------------------------------
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
9
98,000
- --------------------------------------------------------------------------------
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
10 (SEE INSTRUCTIONS)
- --------------------------------------------------------------------------------
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
11 0.88%
- --------------------------------------------------------------------------------
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
12 OO
- --------------------------------------------------------------------------------
Page 8 of 8 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., (v) Nattak
Corporation, and (vi) Price Trust UTA Dated 10/5/84, As
Amended (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 9 of 9 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.
Price Trust UTA Dated 10/5/84, As Amended: 2400 Bridgeway,
Suite 230, Sausalito, California 94965
(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:
Page 12 of 12 Pages
Items 5-9 and 11 of each cover sheet are incorporated
by reference.
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: March 27, 2003
MICROCAPITAL LLC
/s/ Ian P. Ellis
-------------------------------------------------
Ian P. Ellis, Managing Member
IAN P. ELLIS
/s/ Ian P. Ellis
-------------------------------------------------
Ian P. Ellis
Page 11 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
PRICE TRUST UTA DATED 10/5/84, AS AMENDED
/s/ Ian P. Ellis
-------------------------------------------------
Ian P. Ellis, Managing Member, Investment Adviser
Page 12 of 12 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
Price Trust UTA Dated 10/5/84, As A California Trust
Amended