-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, LrxCyBdZjqLaKJ8rVQsNJxkeQFwOPFexCTkPVeUrYnK7o1De5fl5cKO6vrZgyfgO Vgj1QY73yD/9V7VWMSkuAA== 0000950123-99-003656.txt : 19990426 0000950123-99-003656.hdr.sgml : 19990426 ACCESSION NUMBER: 0000950123-99-003656 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19990423 GROUP MEMBERS: AUSTIN W. MARXE GROUP MEMBERS: DAVID M. GREENHOUSE GROUP MEMBERS: SPECIAL SITUATIONS CAYMAN FUND, L.P. GROUP MEMBERS: SPECIAL SITUATIONS FUND III L P SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: GENSYM CORP CENTRAL INDEX KEY: 0001005387 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 042932756 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: SEC FILE NUMBER: 005-48011 FILM NUMBER: 99600190 BUSINESS ADDRESS: STREET 1: 125 CAMBRIDGE PARK DR CITY: CAMBRIDGE STATE: MA ZIP: 02140 BUSINESS PHONE: 6175472500 MAIL ADDRESS: STREET 1: 125 CAMBRIDGE PARK DR CITY: CAMBRIDGE STATE: MA ZIP: 02140 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: SPECIAL SITUATIONS FUND III L P CENTRAL INDEX KEY: 0000914248 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 133737427 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 153 E 53 ST 51ST FL CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2128325300 MAIL ADDRESS: STREET 1: 153 EAST 53RD STREET 51ST FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 SC 13D/A 1 AMENDMENT #3 TO SCHEDULE 13D 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. 3)* GENSYM CORP. (NAME OF ISSUER) COMMON STOCK, $.01 PAR VALUE (TITLE OF CLASS OF SECURITIES) 37245R107 (CUSIP NUMBER) AUSTIN W. MARXE, 153 EAST 53RD STREET, NEW YORK, NY 10022 (212) 832-5300 (NAME, ADDRESS AND TELEPHONE NUMBER OF PERSON AUTHORIZED TO RECEIVE NOTICES AND COMMUNICATIONS) APRIL 23, 1999 (DATE OF EVENT WHICH REQUIRES FILING 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 SECTION 240.13d-(e), 240.13d-1(f) OR 240.13d-(g), CHECK THE FOLLOWING BOX / /. NOTE: SIX COPIES OF THIS STATEMENT, INCLUDING ALL EXHIBITS, SHOULD BE FILED WITH THE COMMISSION. SEE SECTION 240.13d-7(b) 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). 2 CUSIP NO. 37245R107 13D Page 2 of 7 --------------------- -------- -------- (1) NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Special Situations Cayman Fund, L.P. (the "Cayman Fund") - 98-0132442 AWN Investment Company, Inc. ("AWN") 11-3086452 --------------------------------------------------------------------- (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 PROCEEDINGS [ ] IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) --------------------------------------------------------------------- (6) CITIZENSHIP OR PLACE OF ORGANIZATION AWN-Delaware The Cayman Fund-Cayman Islands --------------------------------------------------------------------- (7) SOLE VOTING POWER NUMBER OF See Marxe/Greenhouse SHARES -------------------------------------------------------- BENEFICIALLY (8) SHARED VOTING POWER OWNED BY None EACH -------------------------------------------------------- REPORTING (9) SOLE DISPOSITIVE POWER PERSON WITH See Marxe/Greenhouse -------------------------------------------------------- (10) SHARED DISPOSITIVE POWER None -------------------------------------------------------- (11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 145,000 --------------------------------------------------------------------- (12) CHECK BOX IF AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] --------------------------------------------------------------------- (13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 2.4% --------------------------------------------------------------------- (14) TYPE OF REPORTING PERSON* IV/IA --------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! 3 CUSIP NO. 37245R107 PAGE 3 OF 7 PAGES --------------------- -------- -------- (1) NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Special Situations Fund III, L.P. F13-3737427 MGP Advisers Limited Partnership * 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 PROCEEDINGS [ ] IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) --------------------------------------------------------------------- (6) CITIZENSHIP OR PLACE OF ORGANIZATION Delaware --------------------------------------------------------------------- (7) SOLE VOTING POWER NUMBER OF See Marxe/Greenhouse SHARES -------------------------------------------------------- BENEFICIALLY (8) SHARED VOTING POWER OWNED BY None EACH -------------------------------------------------------- REPORTING (9) SOLE DISPOSITIVE POWER PERSON WITH See Marx/Greenhouse -------------------------------------------------------- (10) SHARED DISPOSITIVE POWER None -------------------------------------------------------- (11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 410,200 --------------------------------------------------------------------- (12) CHECK BOX IF AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] --------------------------------------------------------------------- (13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 6.8% --------------------------------------------------------------------- (14) TYPE OF REPORTING PERSON* IV/IA --------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! 4 CUSIP NO. 37245R107 PAGE 4 OF 7 PAGES --------------------- -------- -------- (1) NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) 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 PROCEEDINGS [ ] IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) --------------------------------------------------------------------- (6) CITIZENSHIP OR PLACE OF ORGANIZATION United States of America --------------------------------------------------------------------- (7) SOLE VOTING POWER NUMBER OF 555,200 SHARES -------------------------------------------------------- BENEFICIALLY (8) SHARED VOTING POWER OWNED BY None EACH -------------------------------------------------------- REPORTING (9) SOLE DISPOSITIVE POWER PERSON WITH 555,200 -------------------------------------------------------- (10) SHARED DISPOSITIVE POWER None -------------------------------------------------------- (11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 555,200 --------------------------------------------------------------------- (12) CHECK BOX IF AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] --------------------------------------------------------------------- (13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 9.2% --------------------------------------------------------------------- (14) TYPE OF REPORTING PERSON* IN --------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! 5 SCHEDULE 13D Page 5 of 7 Item 1. Security and Issuer. No change. Item 2. Identity and Background. No change. Item 3. Source and Amount of Funds or Other Consideration. No change. Item 4. Purpose of the Transaction. On February 24, 1999, the Reporting Persons, as represented by David Greenhouse, furnished a letter to management of the Company for the purpose of seeking appropriate responses from such management with respect to the concerns of the Reporting Persons relating to the poor performance of the Company. In that letter, Mr. Greenhouse demanded a reconstitution of the Board of Directors of the Issuer as necessary to improve shareholders' value and to respond to the interests of shareholders. In the absence of a satisfactory response, Special Situations Fund III, L.P. has requested a list of the Issuer's stockholders from the Issuer so that the Reporting Persons, as represented by David Greenhouse, may communicate their concerns and address appropriate action with certain of such stockholders. As stated above, the Reporting Persons furnished a request to the Issuer for its list of shareholders, which request was appropriately made in accordance with Delaware law. The Issuer, in response, has refused to furnish such list and, as a result, the Reporting Persons have authorized their Delaware counsel to institute an action against the Issuer, on an expedited basis, to seek production of such list and to recover court costs and attorney's fees, which the Reporting Persons believe are being unreasonably incurred. Overall, the Reporting Persons are dismayed at the Issuer's responses to their attempts to address the Issuer's poor performance. The Reporting Persons may or may not acquire additional Securities or take other actions. Alternatively, the Reporting Persons may determine to sell or otherwise dispose of some or all of the Securities owned by them, depending upon a continued assessment of developments. In making any such determinations, the Reporting Persons will consider their goals and objectives, other investment opportunities available to them, as well as other factors. The foregoing actions may be taken by one or more of the Reporting Persons and, while currently there are no plans to do so, possibly in combination with others. The Reporting Persons may also consider whether or not other stockholders of the Company will become members of their group. Except as set forth herein, the Reporting Persons have no present plans or proposals to engage in any transactions involving the Issuer or the Securities of the Issuer. Item 5. Interest in Securities of the Issuer. No change. 6 SCHEDULE 13D Page 6 of 7 Item 6. Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer. No change. Item 7. Material to be Filed as Exhibits. None. 7 SCHEDULE 13D Page 7 of 7 SIGNATURE After reasonable inquiry and to the best of the knowledge and belief of the undersigned, the undersigned hereby certifies that the information set forth in this Statement is true, complete and correct. Dated: April 23, 1999 SPECIAL SITUATIONS FUND III, L.P. By MGP Advisers Limited Partnership, General Partner By AWM Investment Company, Inc., General Partner By: /s/ David M. Greenhouse David M. Greenhouse Managing Director SPECIAL SITUATIONS CAYMAN FUND, L.P. By AWM Investment Company, Inc., General Partner By: /s/ David M. Greenhouse David M. Greenhouse Managing Director By: /s/ Austin W. Marxe Austin W. Marxe, individually By: /s/ David M. Greenhouse David M. Greenhouse, individually -----END PRIVACY-ENHANCED MESSAGE-----