-----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, Khqt7rim7s4Gyp9Vj8sqLfYnWpFTuhui6d1DfTHyWsmqJ3/ne9mo6iInWx00uiCX 7rZMaLpYZvNgaz1YLUbCSA== 0000912057-00-006388.txt : 20000215 0000912057-00-006388.hdr.sgml : 20000215 ACCESSION NUMBER: 0000912057-00-006388 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20000214 GROUP MEMBERS: ANTHONY MOORES GROUP MEMBERS: CHARLES E. NOELL GROUP MEMBERS: HARRY S. GRUNER GROUP MEMBERS: JMI EQUITY FUND LP GROUP MEMBERS: JMI PARTNERS GROUP MEMBERS: NORRIS VAN DEN BERG SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: OPTIKA INC CENTRAL INDEX KEY: 0001014920 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 954154552 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-48917 FILM NUMBER: 540203 BUSINESS ADDRESS: STREET 1: 7450 CAMPUS DR 2ND FLOOR STREET 2: STE 200 CITY: COLORADO SPRINGS STATE: CO ZIP: 80920 BUSINESS PHONE: 7195489800 MAIL ADDRESS: STREET 1: 7450 CAMPUS DR 2ND FLOOR STREET 2: STE 200 CITY: COLORADO SPRINGS STATE: CO ZIP: 80920 FORMER COMPANY: FORMER CONFORMED NAME: OPTIKA IMAGING SYSTEMS INC DATE OF NAME CHANGE: 19960520 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: JMI EQUITY FUND LP CENTRAL INDEX KEY: 0001008497 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 760367611 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 14100 SOUTHWEST FREEWAY, SUITE 500 CITY: SUGARLAND STATE: TX ZIP: 77478 BUSINESS PHONE: 18005056366 SC 13G 1 SCHEDULE 13G SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* -------- OPTIKA, INC. ----------------------------- (Name of Issuer) Common Stock ------------------------------ (Title of Class of Securities) 683973101 ----------------------------- (CUSIP Number) *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 could alter the disclosures provided in a prior 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). (Continued on following page(s)) Page 1 of Pages --- CUSIP No. 683973101 13G Page 2 of Pages --------- --- --- - -------------------------------------------------------------------------------- (1) Names of Reporting Persons, S.S. or I.R.S. Identification Nos. of Above Persons JMI Partners 76-0367609 - -------------------------------------------------------------------------------- (2) Check the Appropriate Box if a Member (a) / / of a Group* (b) / / - -------------------------------------------------------------------------------- (3) SEC Use Only - -------------------------------------------------------------------------------- (4) Citizenship or Place of Organization United States of America - -------------------------------------------------------------------------------- Number of Shares (5) Sole Voting Beneficially Power 0 Owned by ---------------------------------------------------- Each Reporting (6) Shared Voting Person With Power 400,533 ---------------------------------------------------- (7) Sole Dispositive Power 0 ---------------------------------------------------- (8) Shared Dispositive Power 400,533 - -------------------------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned by Each Reporting Person 400,533 - -------------------------------------------------------------------------------- (10) Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares* - -------------------------------------------------------------------------------- (11) Percent of Class Represented by Amount in Row (9) 5.8% based on November 1997 10Q - -------------------------------------------------------------------------------- (12) Type of Reporting Person* PN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP No. 683973101 13G Page 3 of Pages --------- --- --- - -------------------------------------------------------------------------------- (1) Names of Reporting Persons, S.S. or I.R.S. Identification Nos. of Above Persons JMI Equity Fund, L.P. 76-0367611 - -------------------------------------------------------------------------------- (2) Check the Appropriate Box if a Member (a) / / of a Group* (b) / / - -------------------------------------------------------------------------------- (3) SEC Use Only - -------------------------------------------------------------------------------- (4) Citizenship or Place of Organization United States of America - -------------------------------------------------------------------------------- Number of Shares (5) Sole Voting Beneficially Power 0 Owned by ---------------------------------------------------- Each Reporting (6) Shared Voting Person With Power 400,533 ---------------------------------------------------- (7) Sole Dispositive Power 0 ---------------------------------------------------- (8) Shared Dispositive Power 400,533 - -------------------------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned by Each Reporting Person 400,533 - -------------------------------------------------------------------------------- (10) Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares* - -------------------------------------------------------------------------------- (11) Percent of Class Represented by Amount in Row (9) 5.8% based on November 1997 10Q - -------------------------------------------------------------------------------- (12) Type of Reporting Person* PN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP No. 683973101 13G Page 4 of Pages --------- --- --- - -------------------------------------------------------------------------------- (1) Names of Reporting Persons, S.S. or I.R.S. Identification Nos. of Above Persons Charles E. Noell ###-##-#### - -------------------------------------------------------------------------------- (2) Check the Appropriate Box if a Member (a) / / of a Group* (b) / / - -------------------------------------------------------------------------------- (3) SEC Use Only - -------------------------------------------------------------------------------- (4) Citizenship or Place of Organization United States of America - -------------------------------------------------------------------------------- Number of Shares (5) Sole Voting Beneficially Power 0 Owned by ---------------------------------------------------- Each Reporting (6) Shared Voting Person With Power 400,533 ---------------------------------------------------- (7) Sole Dispositive Power 0 ---------------------------------------------------- (8) Shared Dispositive Power 400,533 - -------------------------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned by Each Reporting Person 400,533 - -------------------------------------------------------------------------------- (10) Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares* - -------------------------------------------------------------------------------- (11) Percent of Class Represented by Amount in Row (9) 5.8% based on November 1997 10Q - -------------------------------------------------------------------------------- (12) Type of Reporting Person* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP No. 683973101 13G Page 5 of Pages --------- --- --- - -------------------------------------------------------------------------------- (1) Names of Reporting Persons, S.S. or I.R.S. Identification Nos. of Above Persons Harry S. Gruner ###-##-#### - -------------------------------------------------------------------------------- (2) Check the Appropriate Box if a Member (a) / / of a Group* (b) / / - -------------------------------------------------------------------------------- (3) SEC Use Only - -------------------------------------------------------------------------------- (4) Citizenship or Place of Organization United States of America - -------------------------------------------------------------------------------- Number of Shares (5) Sole Voting Beneficially Power 17,500 Owned by ---------------------------------------------------- Each Reporting (6) Shared Voting Person With Power 400,533 ---------------------------------------------------- (7) Sole Dispositive Power 17,500 ---------------------------------------------------- (8) Shared Dispositive Power 400,533 - -------------------------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned by Each Reporting Person 413,033 - -------------------------------------------------------------------------------- (10) Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares* - -------------------------------------------------------------------------------- (11) Percent of Class Represented by Amount in Row (9) 6.0% based on November 1997 10Q - -------------------------------------------------------------------------------- (12) Type of Reporting Person* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP No. 683973101 13G Page 6 of Pages --------- --- --- - -------------------------------------------------------------------------------- (1) Names of Reporting Persons, S.S. or I.R.S. Identification Nos. of Above Persons Norris van den Berg ###-##-#### - -------------------------------------------------------------------------------- (2) Check the Appropriate Box if a Member (a) / / of a Group* (b) / / - -------------------------------------------------------------------------------- (3) SEC Use Only - -------------------------------------------------------------------------------- (4) Citizenship or Place of Organization United States of America - -------------------------------------------------------------------------------- Number of Shares (5) Sole Voting Beneficially Power 0 Owned by ---------------------------------------------------- Each Reporting (6) Shared Voting Person With Power 400,533 ---------------------------------------------------- (7) Sole Dispositive Power 0 ---------------------------------------------------- (8) Shared Dispositive Power 400,533 - -------------------------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned by Each Reporting Person 400,533 - -------------------------------------------------------------------------------- (10) Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares* - -------------------------------------------------------------------------------- (11) Percent of Class Represented by Amount in Row (9) 5.8% based on November 1997 10Q - -------------------------------------------------------------------------------- (12) Type of Reporting Person* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP No. 683973101 13G Page 7 of Pages --------- --- --- - -------------------------------------------------------------------------------- (1) Names of Reporting Persons, S.S. or I.R.S. Identification Nos. of Above Persons Anthony Moores ###-##-#### - -------------------------------------------------------------------------------- (2) Check the Appropriate Box if a Member (a) / / of a Group* (b) / / - -------------------------------------------------------------------------------- (3) SEC Use Only - -------------------------------------------------------------------------------- (4) Citizenship or Place of Organization United States of America - -------------------------------------------------------------------------------- Number of Shares (5) Sole Voting Beneficially Power 0 Owned by ---------------------------------------------------- Each Reporting (6) Shared Voting Person With Power 400,533 ---------------------------------------------------- (7) Sole Dispositive Power 0 ---------------------------------------------------- (8) Shared Dispositive Power 400,533 - -------------------------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned by Each Reporting Person 400,533 - -------------------------------------------------------------------------------- (10) Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares* - -------------------------------------------------------------------------------- (11) Percent of Class Represented by Amount in Row (9) 5.8% based on November 1997 10Q - -------------------------------------------------------------------------------- (12) Type of Reporting Person* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! ITEM 1(a). NAME OF ISSUER: Optika Imaging Systems, Inc. ITEM 1(b). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: 7450 Campus Dr. Ste 200 Colorado Springs, CO 80920 ITEM 2(a). NAMES OF PERSONS FILING: JMI Equity Fund, L.P. ("JMI"), JMI Partners, L.P. ("JMI Partners"), which is the sole general partner of JMI, and Messrs. Harry S. Gruner ("Gruner"), Anthony Moores ("Moores"), Charles Noell ("Noell") and Norris van den Berg ("van den Berg") (the "General Partners"). Gruner, Moores, Noell and van den Berg are individual general partners of JMI Partners. The persons named in this paragraph are referred to individually herein as a "Reporting Person" and collectively as the "Reporting Persons". ITEM 2(b). ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE: The address of the principal business office of the Reporting Persons is JMI, Inc., 1119 St. Paul Street, Baltimore, Maryland 21202. ITEM 2(c). CITIZENSHIP: Each of JMI and JMI Partners is a limited partnership organized under the laws of the State of Delaware. Each of the General Partners is a United States citizen. ITEM 2(d). TITLE OF CLASS OF SECURITIES: Common Stock, $.001 par value per share. ITEM 2(e). CUSIP NUMBER: 683973101 ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO RULES 13d-1(b). OR 13d-2(b). CHECK WHETHER THE PERSON FILING AS A: (a) / / Broker or dealer registered under Section 15 of the Securities Exchange Act of 1934 (the "Act"). (b) / / Bank as defined in Section 3(a)(6) of the Act. (c) / / Insurance Company as defined in Section 3(a)(19) of the Act. (d) / / Investment Company registered under Section 8 of the Investment Company Act of 1940. (e) / / Investment Adviser registered under Section 203 of the Investment Advisers Act of 1940. (f) / / Employee Benefit Plan, Pension Fund which is subject to the provisions of the Employee Retirement Income Security Act of 1974 or Endowment Fund; see Rule 13d-1(b)(1)(ii)(F) of the Act. (g) / / Parent Holding Company, in accordance with Rule 13d-1(b)(ii)(G) of the Act. (h) / / Group, in accordance with Rule 13d-1(b)(1)(ii)(H) of the Act. Not applicable. This Schedule 13G is not being filed pursuant to Rule 13d-1(b) or 13d-2(b). ITEM 4. OWNERSHIP. (a) Amount Beneficially Owned: JMI is the record owner of 400,533 shares (the "Record Shares") as of December 31, 1998. As the general partner of JMI, JMI Partners may be deemed to own beneficially the Record Shares. As the general partners of JMI Partners, the sole general partner of JMI, each of the General Partners may also be deemed to own beneficially the Record Shares. Therefore, JMI, JMI Partners and each of the General Partners, except Harry Gruner, may be deemed to own beneficially 400,533 shares. Harry Gruner, a general partner of JMI Partners may be deemed to own beneficially 415,533 shares which includes 15,000 shares of Common Stock issuable upon exercise of options that are currently exercisable. (b) Percent of Class: Each Reporting Person, except Harry Gruner: 5.6%. Harry Gruner: 5.9%. The foregoing percentage is calculated based on the 7,078,469 shares of Common Stock reported to be outstanding at November 13, 1998 in the most recent Form 10Q of Optika Imaging Systems,Inc., as adjusted pursuant to Rule 13d-3(d)(1). (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: 0 shares for each Reporting Person.(1) (ii) shared power to vote or to direct the vote: 400,533 for each Reporting Person. (iii) sole power to dispose or to direct the disposition of: 0 shares for each Reporting Person.(1) (iv) shared power to dispose or to direct the disposition of: 400,533 for each Reporting Person. Each Reporting Person disclaims beneficial ownership of such shares of Common Stock, except in the case of JMI, for the 400,533 shares it holds of record. (1) Except for Harry Gruner who in addition to the shares owned beneficially by all general partners of JMI Partners, L.P., may be deemed to beneficially own 15,000 shares of Common stock which are currently exercisable over which he would have sole power to vote or direct the vote and sole power to dispose. ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS. Not applicable. ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON. Not applicable. 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. Not applicable. The Reporting Persons expressly disclaim membership in a "group" as used in Rule 13d-1(b)(ii)(H). ITEM 9. NOTICE OF DISSOLUTION OF GROUP. Not applicable. ITEM 10. CERTIFICATION. Not applicable. This statement on Schedule 13G is not filed pursuant to Rule 13d-1(b). SIGNATURE After reasonable inquiry and to the best of its knowledge and belief, each of the undersigned certifies that the information set forth in this statement is true, complete and correct. Date: February 12, 1999 JMI EQUITY FUND, L.P. By: JMI PARTNERS, L.P. By: ------------------------------ General Partner JMI PARTNERS, L.P. By: ------------------------------ General Partner - ----------------------------------- Harry S. Gruner - ----------------------------------- Anthony Moores - ----------------------------------- Charles Noell - ----------------------------------- Norris van den Berg EXHIBIT 1 AGREEMENT Pursuant to Rule 13d-1 (f)( 1 ) under the Securities Exchange Act of 1934, the undersigned hereby agree that only one statement containing the information required by Schedule 13G need be filed with respect to the ownership by each of the undersigned of shares of Common Stock of Optika Imaging Systems, Inc.. EXECUTED as a sealed instrument this ____ day of February, 1999. JMI EQUITY FUND, L.P. By: JMI PARTNERS, L.P. By: ------------------------------ General Partner JMI PARTNERS, L.P. By: ------------------------------ General Partner - ----------------------------------- Harry S. Gruner - ----------------------------------- Anthony Moores - ----------------------------------- Charles Noell - ----------------------------------- Norris van den Berg -----END PRIVACY-ENHANCED MESSAGE-----