-----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, RFgbbCptV/d3fY2knD4ZmznRpEW94s39lU1VYECJlEsk8hT8HdS1BEJyEyNCotEU tkNrnu/Ix4epenKIrRvhNw== 0000912057-97-005116.txt : 19970222 0000912057-97-005116.hdr.sgml : 19970222 ACCESSION NUMBER: 0000912057-97-005116 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 19970213 SROS: NASD GROUP MEMBERS: ANTHONY MOORES GROUP MEMBERS: CHARLES NOELL GROUP MEMBERS: HARRY GRUNER GROUP MEMBERS: JMI EQUITY FUND LP ET AL GROUP MEMBERS: JMI PARTNERS, L.P. GROUP MEMBERS: NORRIS VAN DEN BERG SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: OPTIKA IMAGING SYSTEMS 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: 1934 Act SEC FILE NUMBER: 005-48917 FILM NUMBER: 97531608 BUSINESS ADDRESS: STREET 1: 5755 MARK DABLING BLVD STREET 2: STE 100 CITY: COLORADO SPRINGS STATE: CO ZIP: 80919 BUSINESS PHONE: 7195489800 MAIL ADDRESS: STREET 1: 5755 MARK DABLING BLVD CITY: COLORADO SPRINGS STATE: CO ZIP: 80919 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: JMI EQUITY FUND LP ET AL 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: 1119 ST PAUL ST CITY: BALTIMORE STATE: MD ZIP: 21202 MAIL ADDRESS: STREET 1: 1119 ST PAUL STREET CITY: BALTIMORE STATE: MD ZIP: 21202 SC 13G 1 SC 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. )* ------ Optika Imaging Systems, Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock - -------------------------------------------------------------------------------- (Title of Class of Securities) 683973101 - -------------------------------------------------------------------------------- (CUSIP Number) Check the following box if a fee is being paid with this statement / /. (A fee is not required only if the filing person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of five percent or less of such class.) (See Rule 13d-7.) *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 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). CUSIP No. 683973101 13G Page 2 of 7 --------- --- ---- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON JMI Equity Fund, L.P. 76-0367611 - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) / / (b) / / - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States of America - -------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES 0 shares ------------------------------------------------------- BENEFICIALLY 6 SHARED VOTING POWER OWNED BY 400,533 shares ------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING 0 shares ------------------------------------------------------- PERSON 8 SHARED DISPOSITIVE POWER WITH 400,533 shares - ------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 400,533 shares - ------------------------------------------------------------------------------- 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 September 1996 10Q - ------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* PN - ------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP No. 683973101 13G Page 3 of 7 --------- --- ---- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON JMI Partners, L.P. 76-0367609 - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) / / (b) / / - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States of America - -------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES 0 shares ------------------------------------------------------- BENEFICIALLY 6 SHARED VOTING POWER OWNED BY 400,533 shares ------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING 0 shares ------------------------------------------------------- PERSON 8 SHARED DISPOSITIVE POWER WITH 400,533 shares - ------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 400,533 shares - ------------------------------------------------------------------------------- 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 September 1996 10Q - ------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* PN - ------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP No. 683973101 13G Page 4 of 7 --------- --- ---- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Charles Noell ###-##-#### - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) / / (b) / / - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States of America - -------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES 0 shares ------------------------------------------------------- BENEFICIALLY 6 SHARED VOTING POWER OWNED BY 400,533 shares ------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING 0 shares ------------------------------------------------------- PERSON 8 SHARED DISPOSITIVE POWER WITH 400,533 shares - ------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 400,533 shares - ------------------------------------------------------------------------------- 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 September 1996 10Q - ------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - ------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP No. 683973101 13G Page 5 of 7 --------- --- ---- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Anthony Moores ###-##-#### - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) / / (b) / / - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States of America - -------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES 0 shares ------------------------------------------------------- BENEFICIALLY 6 SHARED VOTING POWER OWNED BY 400,533 shares ------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING 0 shares ------------------------------------------------------- PERSON 8 SHARED DISPOSITIVE POWER WITH 400,533 shares - ------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 400,533 shares - ------------------------------------------------------------------------------- 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 September 1996 10Q - ------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - ------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP No. 683973101 13G Page 6 of 7 --------- --- ---- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Norris van den Berg ###-##-#### - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) / / (b) / / - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States of America - -------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES 0 shares ------------------------------------------------------- BENEFICIALLY 6 SHARED VOTING POWER OWNED BY 400,533 shares ------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING 0 shares ------------------------------------------------------- PERSON 8 SHARED DISPOSITIVE POWER WITH 400,533 shares - ------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 400,533 shares - ------------------------------------------------------------------------------- 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 September 1996 10Q - ------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - ------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP No. 683973101 13G Page 7 of 7 --------- --- ---- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Harry Gruner ###-##-#### - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) / / (b) / / - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States of America - -------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES 10,000 shares ------------------------------------------------------- BENEFICIALLY 6 SHARED VOTING POWER OWNED BY 400,533 shares ------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING 10,000 shares ------------------------------------------------------- PERSON 8 SHARED DISPOSITIVE POWER WITH 400,533 shares - ------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 410,533 shares - ------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - ------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 6.2% based on September 1996 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: 5755 Mark Dabling Boulevard Suite 100 Colorado Springs, CO 80919 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-l(b)(1)(ii)(F) of the Act. (g) [] Parent Holding Company, in accordance with Rule 13d-l(b)(ii)(G) of the Act. (h) [] Group, in accordance with Rule 13d-l(b)(1)(ii)(H) of the Act. Not applicable. This Schedule 13G is not being filed pursuant to Rule 13d-l(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, 1996. 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 410,533 shares which includes 10,000 shares of Common Stock issuable upon exercise of options that are currently exercisable. (b) Percent of Class: Each Reporting Person, except Harry Gruner: 6.0%. Harry Gruner: 6.2%. The foregoing percentage is calculated based on the 6,670,319 shares of Common Stock reported to be outstanding at November 7, 1996 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 10,000 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-l(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-l(b). EX-99.1 2 EXHIBIT 99.1 EXHIBIT 99.1 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 13th day of February, 1997. JMI EQUITY FUND, L.P. By: JMI PARTNERS, L.P. By: /s/ Harry S. Gruner -------------------------- General Partner JMI PARTNERS, L.P. By: /s/ Harry S. Gruner ----------------------------- General Partner /s/ Harry S. Gruner - -------------------------------- Harry S. Gruner /s/ Anthony Moores - -------------------------------- Anthony Moores /s/ Charles Noell - -------------------------------- Charles Noell - -------------------------------- Norris van den Berg -----END PRIVACY-ENHANCED MESSAGE-----