-----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, Mh+YMbx2pFPUGSxZ99g2TDDZ0i6TH5ETfcY/aF4WKBoCJ1rrK2I9BAcpSZc9hd/z 9I97ZM1CyMdIcQHcSRy7bw== 0000927356-99-000158.txt : 19990212 0000927356-99-000158.hdr.sgml : 19990212 ACCESSION NUMBER: 0000927356-99-000158 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19990211 GROUP MEMBERS: EL DORADO C&L FUND LP GROUP MEMBERS: EL DORADO VENTURE PARTNERS III GROUP MEMBERS: EL DORADO VENTURES III LP ET AL GROUP MEMBERS: EL DOROADO TECHNOLOGY IV LP GROUP MEMBERS: GARY W. KALBACH GROUP MEMBERS: SHANDA BAHLES GROUP MEMBERS: THOMAS H. PETERSON SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ROGUE WAVE SOFTWARE INC /OR/ CENTRAL INDEX KEY: 0001023184 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 931064214 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-49409 FILM NUMBER: 99532060 BUSINESS ADDRESS: STREET 1: 5500 FLATIRON PARKWAY CITY: BOULDER STATE: CO ZIP: 80301 BUSINESS PHONE: 3034739118 MAIL ADDRESS: STREET 1: ROGUE WAVE SOFTWARE INC STREET 2: 5500 FLATIRON PARKWAY CITY: BOULDER STATE: CO ZIP: 80301 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: EL DORADO VENTURES III LP ET AL CENTRAL INDEX KEY: 0001008046 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 20300 STEVENS CREEK BLVD CITY: CUPERTINO STATE: CA ZIP: 95014 BUSINESS PHONE: 4087252474 MAIL ADDRESS: STREET 1: 20300 STEVENS CREEK BLVD STE 395 CITY: CUPERTINO STATE: CA ZIP: 95014 SC 13G/A 1 AMENDMENT #2 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A (Amendment No. 2)* Under the Securities Exchange Act of 1934 Rogue Wave Software, Inc. ------------------------------ (Name of Issuer) Common Stock ------------------------------ (Title of Class of Securities) 775369 10 1 ------------------------------ (CUSIP Number) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [_] Rule 13d-1(b) [_] Rule 13d-1(c) [X] 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 disclosures 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). CUSIP NO. 775369 10 1 13G - ------------------------------------------------------------------------------ (1) Names of Reporting Persons. S.S. or I.R.S. Identification Nos. of Above Persons El Dorado C&L Fund, L.P. - ------------------------------------------------------------------------------ (2) Check the Appropriate Box if a Member (a) [_] of a Group* (b) [X] - ------------------------------------------------------------------------------ (3) SEC Use Only - ------------------------------------------------------------------------------ (4) Citizenship or Place of Organization California - ------------------------------------------------------------------------------ Number of Shares (5) Sole Voting Beneficially Power 8,713 Owned by ----------------------------------------------------------- Each Reporting (6) Shared Voting Person With Power 0 ----------------------------------------------------------- (7) Sole Dispositive Power 8,713 ----------------------------------------------------------- (8) Shared Dispositive Power 0 - ------------------------------------------------------------------------------ (9) Aggregate Amount Beneficially Owned by Each Reporting Person 8,713 - ------------------------------------------------------------------------------ (10) Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares* - ------------------------------------------------------------------------------ (11) Percent of Class Represented by Amount in Row (9) 0.08% - ------------------------------------------------------------------------------ (12) Type of Reporting Person* PN - ------------------------------------------------------------------------------ *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP NO. 775369 10 1 13G - ------------------------------------------------------------------------------ (1) Names of Reporting Persons. S.S. or I.R.S. Identification Nos. of Above Persons El Dorado Technology IV, L.P. - ------------------------------------------------------------------------------ (2) Check the Appropriate Box if a Member (a) [_] of a Group * (b) [X] - ------------------------------------------------------------------------------ (3) SEC Use Only - ------------------------------------------------------------------------------ (4) Citizenship or Place of Organization California - ------------------------------------------------------------------------------ Number of Shares (5) Sole Voting Beneficially Power 15,782 Owned by ----------------------------------------------------------- Each Reporting (6) Shared Voting Person With Power 0 ----------------------------------------------------------- (7) Sole Dispositive Power 15,782 ----------------------------------------------------------- (8) Shared Dispositive Power 0 - ------------------------------------------------------------------------------ (9) Aggregate Amount Beneficially Owned by Each Reporting Person 15,782 - ------------------------------------------------------------------------------ (10) Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares* - ------------------------------------------------------------------------------ (11) Percent of Class Represented by Amount in Row (9) 0.15% - ------------------------------------------------------------------------------ (12) Type of Reporting Person* PN - ------------------------------------------------------------------------------ *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP No. 775369 10 1 13G - ------------------------------------------------------------------------------ (1) Names of Reporting Persons. S.S. or I.R.S. Identification Nos.. of Above Persons El Dorado Ventures III, L.P. - ------------------------------------------------------------------------------ (2) Check the Appropriate Box if a Member (a) [_] of a Group * (b) [X] - ------------------------------------------------------------------------------ (3) SEC Use Only - ------------------------------------------------------------------------------ (4) Citizenship or Place of Organization California - ------------------------------------------------------------------------------ Number of Shares (5) Sole Voting Beneficially Power 470,492 Owned by ----------------------------------------------------------- Each Reporting (6) Shared Voting Person With Power 0 ----------------------------------------------------------- (7) Sole Dispositive Power 470,492 ----------------------------------------------------------- (8) Shared Dispositive Power 0 - ------------------------------------------------------------------------------ (9) Aggregate Amount Beneficially Owned by Each Reporting Person 470,492 - ------------------------------------------------------------------------------ (10) Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares* - ------------------------------------------------------------------------------ (11) Percent of Class Represented by Amount in Row (9) 4.5% - ------------------------------------------------------------------------------ (12) Type of Reporting Person* PN - ------------------------------------------------------------------------------ *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP No. 775369 10 1 13G - ------------------------------------------------------------------------------ (1) Names of Reporting Persons. S.S. or I.R.S. Identification Nos.. of Above Persons El Dorado Venture Partners III - ------------------------------------------------------------------------------ (2) Check the Appropriate Box if a Member (a) [_] of a Group * (b) [X] - ------------------------------------------------------------------------------ (3) SEC Use Only - ------------------------------------------------------------------------------ (4) Citizenship or Place of Organization California - ------------------------------------------------------------------------------ Number of Shares (5) Sole Voting Beneficially Power 494,987 Owned by ----------------------------------------------------------- Each Reporting (6) Shared Voting Person With Power 0 ----------------------------------------------------------- (7) Sole Dispositive Power 494,987 ----------------------------------------------------------- (8) Shared Dispositive Power 0 - ------------------------------------------------------------------------------ (9) Aggregate Amount Beneficially Owned by Each Reporting Person 494,987 - ------------------------------------------------------------------------------ (10) Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares* - ------------------------------------------------------------------------------ (11) Percent of Class Represented by Amount in Row (9) 4.7% - ------------------------------------------------------------------------------ (12) Type of Reporting Person* PN - ------------------------------------------------------------------------------ *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP No. 775369 10 1 13G - ------------------------------------------------------------------------------ (1) Names of Reporting Persons. S.S. or I.R.S. Identification Nos. of Above Persons Shanda Bahles - ------------------------------------------------------------------------------ (2) Check the Appropriate Box if a Member (a) [_] of a Group * (b) [X] - ------------------------------------------------------------------------------ (3) SEC Use Only - ------------------------------------------------------------------------------ (4) Citizenship or Place of Organization United States - ------------------------------------------------------------------------------ Number of Shares (5) Sole Voting Beneficially Power 353 Owned by ----------------------------------------------------------- Each Reporting (6) Shared Voting Person With Power 494,987 ----------------------------------------------------------- (7) Sole Dispositive Power 353 ----------------------------------------------------------- (8) Shared Dispositive Power 494,987 - ------------------------------------------------------------------------------ (9) Aggregate Amount Beneficially Owned by Each Reporting Person 495,340 - ------------------------------------------------------------------------------ (10) Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares* - ------------------------------------------------------------------------------ (11) Percent of Class Represented by Amount in Row (9) 4.7% - ------------------------------------------------------------------------------ (12) Type of Reporting Person* IN - ------------------------------------------------------------------------------ *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP No. 775369 10 1 13G - ------------------------------------------------------------------------------ (1) Names of Reporting Persons. S.S. or I.R.S. Identification Nos. of Above Persons Gary W. Kalbach - ------------------------------------------------------------------------------ (2) Check the Appropriate Box if a Member (a) [_] of a Group * (b) [X] - ------------------------------------------------------------------------------ (3) SEC Use Only - ------------------------------------------------------------------------------ (4) Citizenship or Place of Organization United States - ------------------------------------------------------------------------------ Number of Shares (5) Sole Voting Beneficially Power 770 Owned by ----------------------------------------------------------- Each Reporting (6) Shared Voting Person With Power 494,987 ----------------------------------------------------------- (7) Sole Dispositive Power 770 ----------------------------------------------------------- (8) Shared Dispositive Power 494,987 - ------------------------------------------------------------------------------ (9) Aggregate Amount Beneficially Owned by Each Reporting Person 495,757 - ------------------------------------------------------------------------------ (10) Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares* - ------------------------------------------------------------------------------ (11) Percent of Class Represented by Amount in Row (9) 4.7% - ------------------------------------------------------------------------------ (12) Type of Reporting Person* IN - ------------------------------------------------------------------------------ *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP No. 775369 10 1 13G - ------------------------------------------------------------------------------ (1) Names of Reporting Persons. S.S. or I.R.S. Identification Nos. of Above Persons Thomas H. Peterson - ------------------------------------------------------------------------------ (2) Check the Appropriate Box if a Member (a) [_] of a Group * (b) [X] - ------------------------------------------------------------------------------ (3) SEC Use Only - ------------------------------------------------------------------------------ (4) Citizenship or Place of Organization United States - ------------------------------------------------------------------------------ Number of Shares (5) Sole Voting Beneficially Power 353 Owned by ----------------------------------------------------------- Each Reporting (6) Shared Voting Person With Power 494,987 ----------------------------------------------------------- (7) Sole Dispositive Power 353 ----------------------------------------------------------- (8) Shared Dispositive Power 494,987 - ------------------------------------------------------------------------------ (9) Aggregate Amount Beneficially Owned by Each Reporting Person 495,340 - ------------------------------------------------------------------------------ (10) Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares* - ------------------------------------------------------------------------------ (11) Percent of Class Represented by Amount in Row (9) 4.7% - ------------------------------------------------------------------------------ (12) Type of Reporting Person* IN - ------------------------------------------------------------------------------ *SEE INSTRUCTION BEFORE FILLING OUT! ITEM 1. (a) Name of Issuer: Rogue Wave, Software, Inc. ("Issuer") (b) Address of Issuer's Principal Executive Offices 5500 Flatiron Parkway Boulder, Colorado 80301 ITEM 2. (a) Name of Person Filing El Dorado C&L Fund, L.P. ("EDC&L") El Dorado Technology IV, L.P. ("EDT IV") El Dorado Ventures III, L.P. ("EDT III") El Dorado Ventures Partners III ("EDVP III") Shanda Bahles Gary W. Kalbach Thomas H. Peterson (b) Address of Principal Business Office or, if none, Residence 2400 Sand Hill Road Suite 100 Menlo Park, CA 94025 (c) Citizenship/Place of Organization: Entities: EDC&L - California EDT IV - California EDV III - California EDVP III - California Individuals: Ms. Bahles - United States Mr. Kalbach - United States Mr Peterson - United States (d) Title of Class of Securities: Common Stock (e) CUSIP Number: 775369 10 1 ITEM 3. NOT APPLICABLE. ITEM 4. OWNERSHIP
EDC&L EDT IV EDV III EDVP III BAHLES KALBACH PETERSON (a) Beneficial Ownership 8,713 15,782 470,492 494,987 495,340 495,757 495,340 (b) Percentage of Class 0.08% 0.15% 4.5% 4.7% 4.7% 4.7% 4.7% (c) Sole Voting Power 8,713 15,782 470,492 494,987 353 770 353 Shared Voting Power -0- -0- -0- -0- 494,987 494,987 494,987 Sole Dispositive Power 8,713 15,782 470,492 494,987 353 770 353 Shared Dispositive Power -0- -0- -0- -0- 494,987 494,987 494,987
ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS. [X] 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. No reporting person is a member of a group as defined in Section 240.13d-1(b) (1) (ii) (J) of the Act. ITEM 9. NOTICE OF DISSOLUTION OF A GROUP Not applicable. ITEM 10. CERTIFICATION Not applicable. EXHIBITS A: Joint Filing Statement SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Date: February 11, 1999 EL DORADO C&L FUND, L.P. EL DORADO TECHNOLOGY IV, L.P. By: El Dorado Venture Partners III By: El Dorado Venture Partners III its general partner its general partner By: /s/ Thomas H. Peterson By: /s/ Thomas H. Peterson ---------------------- ---------------------- General Partner General Partner EL DORADO VENTURES III, L.P. EL DORADO VENTURE PARTNERS III By: El Dorado Venture Partners III By: /s/ Thomas H. Peterson its general partner ---------------------- General Partner By: /s/ Thomas H. Peterson ---------------------- General Partner By: /s/ Shanda Bahles ---------------------- Shanda Bahles By: /s/ Gary W. Kalbach ---------------------- Gary W. Kalbach By: /s/ Thomas H. Peterson ---------------------- Thomas H. Peterson EXHIBIT A AGREEMENT OF JOINT FILING We, the undersigned, hereby express our agreement that the attached Schedule 13G is filed on behalf of us. Date: February 11, 1999 EL DORADO C&L FUND, L.P. EL DORADO TECHNOLOGY IV, L.P. By: El Dorado Venture Partners III By: El Dorado Venture Partners III its general partner its general partner By: /s/ Thomas H. Peterson By: /s/ Thomas H. Peterson ---------------------- ---------------------- General Partner General Partner EL DORADO VENTURES III, L.P. EL DORADO VENTURE PARTNERS III By: El Dorado Venture Partners III By: /s/ Thomas H. Peterson its general partner ---------------------- General Partner By: /s/ Thomas H. Peterson ---------------------- General Partner By: /s/ Shanda Bahles ---------------------- Shanda Bahles By: /s/ Gary W. Kalbach ---------------------- Gary W. Kalbach By: /s/ Thomas H. Peterson ---------------------- Thomas H. Peterson -----END PRIVACY-ENHANCED MESSAGE-----