Bryan & all:
Looks like everyone except Safeguard is selling. Below I've pasted
the selling stockholders from the S-3, and also below that, the
initial selling stockholders from the original S-1. Recalling that at
the Groundhog investor's forum Donald Caldwell mentioned that when you
see Safeguard and others selling, in addition to the company, it means
the newly public company didn't want to give up that much of their
capitalization, so other shareholders would have to make up the
difference to keep the rights offering ratio desired by Safeguard.
So, given that, what this means for DTPI is for someone else to
interpret. (I sold late last year.)
BENEFICIAL OWNERSHIP BENEFICIAL OWNERSHIP
PRIOR TO THE OFFERING(1) NUMBER OF AFTER THE OFFERING(1)
------------------------- SHARES -----------------------------
NUMBER OF TO BE SOLD IN NUMBER OF
NAME SHARES PERCENTAGE THE OFFERING SHARES PERCENTAGE
-------------------------------- ---------- ----------- ------------- --------------- ----------
Anthony L. Abbattista(2) Class A 4,288 * -- 4,288 *
Class B 81,675 1.7% 16,300 65,375 1.7%
Edward R. Anderson(3)(4) Class A 18,920 * -- 18,920 *
Class B -- -- -- -- --
Timothy A. Andrews(2) Class A 288 * -- 288 *
Class B 62,287 1.3% 23,600 38,687 *
Michael J. Beller Class A 17,500 * -- 17,500 *
Class B 107,250 2.2% 21,400 85,850 2.2%
Melvyn E. Bergstein, Class A 159,288 2.1% -- 159,288 1.8%
individually
(2)(4)(5)(6)(7) Class B 594,083 12.4% 89,000 505,083 12.9%
Melvyn E. Bergstein, as proxy Class A -- -- -- -- --
holder(8) Class B 4,193,187 87.6% -- 3,403,487 87.1%
Laura M. Bestor(2) Class A 288 * -- 288 *
Class B 73,426 1.5% 16,200 57,226 1.5%
Robert E. Bloyd(2) Class A 1,288 * -- 1,288 *
Class B 28,875 * 18,200 10,675 *
Karl E. Bupp(2) Class A 8,788 * -- 8,788 *
Class B 122,513 2.6% 24,500 98,013 2.5%
Donald R. Caldwell(4)(9) Class A 46,517 * -- 46,517 *
Class B -- -- -- -- --
CompuCom Systems, Inc. Class A 65,019 * 65,019 -- --
Class B -- -- -- -- --
Michael J. Connolly(2) Class A 13,288 * -- 13,288 *
Class B 49,502 1.0% 16,300 33,202 *
Elwood G. Forsythe(2) Class A 15,588 * -- 15,588 *
Class B 236,776 4.9% 48,800 187,976 4.8%
Adam J. Gutstein(2) Class A 11,288 * -- 11,288 *
Class B 199,856 4.2% 44,600 155,256 4.0%
Alan C. Kay(4) Class A 22,001 * -- 22,001 *
Class B -- -- -- -- --
Jay R. Kingley(2) Class A 2,288 * -- 2,288 *
Class B 92,400 1.9% 20,000 72,400 1.9%
Chapman H. Kistler(2) Class A 21,288 * -- 21,288 *
Class B 47,850 1.0% 14,500 33,350 *
39
BENEFICIAL OWNERSHIP BENEFICIAL OWNERSHIP
PRIOR TO THE OFFERING(1) NUMBER OF AFTER THE OFFERING(1)
------------------------- SHARES -----------------------------
NUMBER OF TO BE SOLD IN NUMBER OF
NAME SHARES PERCENTAGE THE OFFERING SHARES PERCENTAGE
-------------------------------- ---------- ----------- ------------- --------------- ----------
John D. Loewenberg(4) Class A 16,800 * -- 16,800 *
Class B -- -- -- -- --
Charles B. Lohrmann(2) Class A 290 * -- 290 *
Class B 64,764 1.3% 19,600 45,164 1.2%
Alan A. Matsumura(2) Class A 1,288 * -- 1,288 *
Class B 120,244 2.5% 18,000 102,244 2.6%
James V. McGee(2) Class A 1,288 * -- 1,288 *
Class B 150,873 3.2% 30,000 120,873 3.1%
Michael E. Mikolajczyk Class A 3,788 * -- 3,788 *
(2)(4)(5)(7)(10) Class B 550,687 11.4% 85,000 465,687 11.8%
Christopher J. Moffitt Class A 40,270 * -- 40,270 *
(2)(4)(5)(7)(11) Class B 330,600 6.9% 51,000 279,600 7.2%
Elizabeth M. Moffitt(11) Class A 293,000 3.9% 50,000 243,000 2.8%
Class B -- -- -- -- --
James W. Niland Class A 288 * -- 288 *
Class B 173,044 3.6% 35,800 137,244 3.5%
Michael J. Palmer(2) Class A 5,588 * -- 5,588 *
Class B 236,776 4.9% 48,800 187,976 4.8%
Claire M. Parker Class A 78,127 1.0% 25,000 53,127 *
Class B -- -- -- -- --
Bruce R. Quade(2) Class A 1,288 * -- 1,288 *
Class B 189,131 3.9% 39,500 149,631 3.8%
David M. Rappaport(2) Class A 2,288 * -- 2,288 *
Class B 167,888 3.5% 33,000 134,888 3.5%
Scott H. Rupple(2)(12) Class A 2,190 * -- 2,190 *
Class B 54,038 1.1% 10,300 43,738 1.1%
Safeguard Scientifics, Inc. Class A 1,079,959 13.9% -- 1,079,959 12.1%
(13)(14) Class B -- -- -- -- --
Mark E. Siefertson(2)(15) Class A 9,288 * -- 9,288 *
Class B 122,059 2.5% 15,000 107,059 2.7%
Kirk E. Siefkas(2) Class A 1,288 * -- 1,288 *
Class B 189,132 3.9% 39,500 149,632 3.8%
Martha J. Silva Class A 23,388 * 23,100 288 *
Class B -- -- -- -- --
James C. Spira Class A 29,588 * -- 29,588 *
(2)(4)(7) Class B 216,564 4.5% 40,000 176,564 4.5%
Steven G. Steinberg Class A 51,563 * 13,200 38,363 *
Class B -- -- -- -- --
Strategic Horizons, LLP Class A 33,000 * 25,000 8,000 *
Class B -- -- -- -- --
Technology Leaders(14)(16) Class A 1,249,689 16.6% 1,249,689 -- --
Class B -- -- -- -- --
All Directors and Named Officers Class A 335,088 4.4% -- 335,088 3.8%
as a group (8 persons) Class B 4,839,238 100.0% 878,700 3,960,538 100.0%
(17)(18)
Other Selling Stockholders (each Class A 111,658 1.5% 15,500 96,158 1.1%
of whom are selling 10,000 Class B 603,419 12.4% 59,800 543,619 13.7%
or fewer shares of Common
Stock) (13 persons)(19)
---------------
For reference, here is who sold in the initial offering in 1997 (from S-1):
Number of Shares
Beneficial Ownership to be Sold in the Beneficial Ownership
Prior to the Offering (1) Offering After the Offering (1)
------------------------- ------------------- ----------------------
Number of Number of
Name and Address(2) shares Percentage Shares Percentage
- -------------------- --------- ------------ --------- ----------
Melvyn E. Bergstein(3) 5,389,274 56.4% -- 5,389,274 47.8%
Safeguard Scientifics, Inc.(4) 2,534,099 25.1 844,409 1,689,690 14.3
800 The Safeguard Building
435 Devon Park Drive
Wayne, PA 19087
Technology Leaders(5) 1,512,501 15.8 503,994 1,008,507 9.0
800 The Safeguard Building
435 Devon Park Drive
Wayne, PA 19087
Christopher J. Moffitt(6) 707,850 7.4 -- 707,850 6.3
Michael E. Mikolajczyk(7) 560,183 5.9 -- 560,183 5.0
James C. Spira(8) 205,425 2.1 -- 205,425 1.8
CIP Capital L.P. (9) 274,999 2.9 91,635 183,364 1.6
Cambridge Technology Partners
(Massachusetts), Inc.(9) 165,000 1.7 54,981 110,019 1.0
CompuCom Systems, Inc.(9) 165,000 1.7 54,981 110,019 1.0
John D. Loewenberg(10) 8,250 * -- 8,250 *
Alan Kay -- -- -- -- --
Donald R. Caldwell(11) -- -- -- -- --
Edward R. Anderson(12) -- -- -- -- --
All executive officers and
directors as a group (8
persons)(13) 5,406,549 56.6 -- 5,406,549 48.0 |
