-----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, IOwdHV9hrwGiVvNUAcN7VhegPFw1pqZXmI/L9W6E+qcqhLtZWd9M4rax5Jq1PhCd xfWtR74JHRw9nCNuPeiqEg== 0001037792-03-000012.txt : 20030214 0001037792-03-000012.hdr.sgml : 20030214 20030214132056 ACCESSION NUMBER: 0001037792-03-000012 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20030214 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: 1934 Act SEC FILE NUMBER: 005-49409 FILM NUMBER: 03565410 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: PARADIGM CAPITAL MANAGEMENT INC/NY CENTRAL INDEX KEY: 0001037792 IRS NUMBER: 141770168 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 9 ELK STREET CITY: ALBANY STATE: NY ZIP: 12207 BUSINESS PHONE: 5184313500 MAIL ADDRESS: STREET 1: 9 ELK STREET CITY: ALBANY STATE: NY SC 13G/A 1 roguewav13gfeb142003.txt SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 - - --------------- SCHEDULE 13G (Rule 13d-102) (Amendment No. 2) ROGUE WAVE SOFTWARE, INC. - - ------------------------- (Name of Issuer) COMMON STOCK - - ----------------------------------------------------------------------------- (Title of Class of Securities) 775369-10-1 - - ----------------------------------------------------------------------------- (CUSIP Number) December 31, 2002 - - ----------------------------------------------------------------------------- (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [ ] Rule 13d-1(b) [ X ] Rule 13d-1(c) [ ] Rule 13d-1(d) - - ---------------- The information required on 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 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). (Page 1 of 13 Pages) CUSIP NO. 775369-10-1 Page 2 of 13 Pages --------------------- (1) NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) PCM Partners L.P. ----------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ X ] ----------------------------------------------------------------- (3) SEC USE ONLY ----------------------------------------------------------------- (4) CITIZENSHIP OR PLACE OF ORGANIZATION New York State ----------------------------------------------------------------- (5) SOLE VOTING POWER NUMBER OF -0- SHARES ----------------------------------------------------------- BENEFICIALLY (6) SHARED VOTING POWER OWNED BY -0- EACH ----------------------------------------------------------- REPORTING (7) SOLE DISPOSITIVE POWER PERSON WITH -0- ----------------------------------------------------------- (8) SHARED DISPOSITIVE POWER -0- ----------------------------------------------------------- (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON -0- ----------------------------------------------------------------- (10) CHECK BOX IF AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] ----------------------------------------------------------------- (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.0% ----------------------------------------------------------------- (12) TYPE OF REPORTING PERSON OO ----------------------------------------------------------------- (Page 2 of 13 Pages) CUSIP NO. 775369-10-1 Page 3 of 13 Pages --------------------- SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 - - --------------- SCHEDULE 13G (Rule 13d-102) (Amendment No. 2) ROGUE WAVE SOFTWARE, INC. - - ------------------------- (Name of Issuer) COMMON STOCK - - ----------------------------------------------------------------------------- (Title of Class of Securities) 775369-10-1 - - ----------------------------------------------------------------------------- (CUSIP Number) December 31, 2002 - - ----------------------------------------------------------------------------- (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [ ] Rule 13d-1(b) [ X ] Rule 13d-1(c) [ ] Rule 13d-1(d) - - ---------------- The information required on 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 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). (Page 3 of 13 Pages) CUSIP NO. 775369-10-1 Page 4 of 13 Pages --------------------- (1) NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) PCM Ventures, LLC ----------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ X ] ----------------------------------------------------------------- (3) SEC USE ONLY ----------------------------------------------------------------- (4) CITIZENSHIP OR PLACE OF ORGANIZATION New York State ----------------------------------------------------------------- (5) SOLE VOTING POWER NUMBER OF - 0 - SHARES ----------------------------------------------------------- BENEFICIALLY (6) SHARED VOTING POWER OWNED BY 500,000 EACH ----------------------------------------------------------- REPORTING (7) SOLE DISPOSITIVE POWER PERSON WITH - 0 - ----------------------------------------------------------- (8) SHARED DISPOSITIVE POWER 500,000 ----------------------------------------------------------- (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 500,000 ----------------------------------------------------------------- (10) CHECK BOX IF AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] ----------------------------------------------------------------- (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 4.6% ----------------------------------------------------------------- (12) TYPE OF REPORTING PERSON OO ----------------------------------------------------------------- (Page 4 of 13 Pages) CUSIP NO. 775369-10-1 Page 5 of 13 Pages --------------------- SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 - - --------------- SCHEDULE 13G (Rule 13d-102) (Amendment No. 3) ROGUE WAVE SOFTWARE, INC. - - ------------------------- (Name of Issuer) COMMON STOCK - - ----------------------------------------------------------------------------- (Title of Class of Securities) 775369-10-1 - - ----------------------------------------------------------------------------- (CUSIP Number) December 31, 2002 - - ----------------------------------------------------------------------------- (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [ X ] Rule 13d-1(b) [ ] Rule 13d-1(c) [ ] Rule 13d-1(d) - - ---------------- The information required on 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 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). (Page 5 of 13 Pages) CUSIP NO. 775369-10-1 Page 6 of 13 Pages --------------------- (1) NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) Paradigm Capital Management, Inc. 14-170168 ----------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ X ] ----------------------------------------------------------------- (3) SEC USE ONLY ----------------------------------------------------------------- (4) CITIZENSHIP OR PLACE OF ORGANIZATION ----------------------------------------------------------------- (5) SOLE VOTING POWER NUMBER OF - 0 - SHARES ----------------------------------------------------------- BENEFICIALLY (6) SHARED VOTING POWER OWNED BY 869,400 EACH ----------------------------------------------------------- REPORTING (7) SOLE DISPOSITIVE POWER PERSON WITH - 0 - ----------------------------------------------------------- (8) SHARED DISPOSITIVE POWER 869,400 ----------------------------------------------------------- (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 869,400 ----------------------------------------------------------------- (10) CHECK BOX IF AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] ----------------------------------------------------------------- (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 8.0% ----------------------------------------------------------------- (12) TYPE OF REPORTING PERSON* IA ----------------------------------------------------------------- (Page 6 of 13 Pages) CUSIP NO. 775369-10-1 Page 7 of 13 Pages --------------------- Item 1(a). Name of Issuer: Rogue Wave Software, Inc. Item 1(b). Address of Issuer's Principal Executive Offices: 5500 Flatiron Parkway Boulder, CO 80301 Item 2(a). Name of Person Filing: PCM Partners L.P. Item 2(b). Address of Principal Business Office: 9 Elk Street Albany, NY 12207 Item 2(c). Citizenship: A New York limited partnership Item 2(d). Title of Class of Securities: Common Stock Item 2(e). CUSIP Number: 775369-10-1 Item 3. Inapplicable. This Statement is filed pursuant to Rule 13d-1(c). Item 4. Ownership. (a) Amount beneficially owned: -0- (b) Percent of class: 0.0% (c) Number of shares as to which has person has: (i) Sole power to vote or to direct the vote: - 0 - (ii) Shared power to vote or to direct the vote: -0- (iii) Sole power to dispose or to direct the disposition - 0 - (iv) Shared power to dispose or to direct the disposition -0- (Page 7 of 13 Pages) CUSIP NO. 775369-10-1 Page 8 of 13 Pages --------------------- Item 5. Ownership of Five Percent or Less of a Class. If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following [X]. Item 6. Ownership of More than Five Percent on Behalf of Another Person. The Reporting Person is a limited partnership, of which the general partner is PCM Ventures, LLC. PCM Ventures, LLC manages the property of PCM Partners L.P. Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person: Not applicable. Item 8. Identification and Classification of Members of the Group. Not applicable. Item 9. Notice of Dissolution of Group. Not applicable. Item 10. Certification. By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. 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. Dated: February 14, 2003 PCM PARTNERS L.P., by PCM VENTURES, LLC, its General Partner By: _____________________________ Peter E. Bulger (Page 8 of 13 Pages) CUSIP NO. 775369-10-1 Page 9 of 13 Pages --------------------- Item 1(a). Name of Issuer: Rogue Wave Software, Inc. Item 1(b). Address of Issuer's Principal Executive Offices: 5500 Flatiron Parkway Boulder, CO 80301 Item 2(a). Name of Person Filing: PCM Ventures, LLC Item 2(b). Address of Principal Business Office: 9 Elk Street Albany, NY 12207 Item 2(c). Citizenship: A New York limited liability company Item 2(d). Title of Class of Securities: Common Stock Item 2(e). CUSIP Number: 775369-10-1 Item 3. Inapplicable. This Statement is filed pursuant to Rule 13d-1(c). Item 4. Ownership. (a) Amount beneficially owned: 500,000 (b) Percent of class: 4.6% (c) Number of shares as to which has person has: (i) Sole power to vote or to direct the vote: - 0 - (ii) Shared power to vote or to direct the vote: 500,000 (iii) Sole power to dispose or to direct the disposition - 0 - (iv) Shared power to dispose or to direct the disposition 500,000 (Page 9 of 13 Pages) CUSIP NO. 775369-10-1 Page 10 of 13 Pages --------------------- Item 5. Ownership of Five Percent or Less of a Class. If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following [X]. Item 6. Ownership of More than Five Percent on Behalf of Another Person. The Reporting Person is the general partner of PCM Partners L.P. II and as such manages the property of PCM Partners L.P. II. All shares of Common Stock reported by the Reporting Person are owned by PCM Partners L.P. II. Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person: See Exhibit A. Item 8. Identification and Classification of Members of the Group. Not applicable. Item 9. Notice of Dissolution of Group. Not applicable. Item 10. Certification. By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. 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. Dated: February 14, 2002 PCM VENTURES, LLC By: _____________________________ Peter E. Bulger (Page 10 of 13 Pages) CUSIP NO. 775369-10-1 Page 11 of 13 Pages --------------------- Item 1(a). Name of Issuer: Rogue Wave Software, Inc. Item 1(b). Address of Issuer's Principal Executive Offices: 5500 Flatiron Parkway Boulder, CO 80301 Item 2(a). Name of Person Filing: Paradigm Capital Management, Inc. Item 2(b). Address of Principal Business Office: 9 Elk Street Albany, NY 12207 Item 2(c). Citizenship: A New York corporation Item 2(d). Title of Class of Securities: Common Stock Item 2(e). CUSIP Number: 775369-10-1 Item 3. This statement is filed pursuant to Rule 13d-1(b), or 13d-2(b) or (c) and the person filing is an investment adviser in accordance Rule 13d-1(b)(1)(ii)(E). Item 4. Ownership. (a) Amount beneficially owned: 869,400 (b) Percent of class: 8.0% (c) Number of shares as to which has person has: (i) Sole power to vote or to direct the vote: - 0 - (ii) Shared power to vote or to direct the vote: 869,400 (iii) Sole power to dispose or to direct the disposition - 0 - (iv) Shared power to dispose or to direct the disposition 869,400 (Page 11 of 13 Pages) CUSIP NO. 775369-10-1 Page 12 of 13 Pages --------------------- Item 5. Ownership of Five Percent or Less of a Class. If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following [ ]. Item 6. Ownership of More than Five Percent on Behalf of Another Person. The Reporting Person holds shares of Common Stock for the benefit of third parties, in customer and fiduciary accounts in the ordinary course of business. The Reporting Person disclaims all beneficial interest in any shares of Common Stock. Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person: See Exhibit A. Item 8. Identification and Classification of Members of the Group. Not applicable. Item 9. Notice of Dissolution of Group. Not applicable. Item 10. Certification. By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. 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. PARADIGM CAPITAL MANAGEMENT, INC. Dated: February 14, 2003 By_/s/ Robert A. Benton (Signature) Vice President and CFO (Name/Title) Telephone: (518) 431-3500 (Page 12 of 13 Pages) CUSIP NO. 775369-10-1 Page 13 of 13 Pages --------------------- Exhibit A PCM Ventures, LLC is the general partner of PCM Partners L.P. Exhibit B Joint Filing Agreement In accordance with Rule 13d-1(f) under the Securities Exchange Act of 1934 (the "Act"), the persons named below agree to the joint filing on behalf of each of them of a statement on Schedule 13D or Schedule 13G, including any amendments thereto; but such joint filing shall not be construed as an admission that a filing person is, for the purposes of Section 13(d) or 13(g) of the Act, the beneficial owner of any securities not counted on such filing person's cover page. PCM PARTNERS L.P., by PCM VENTURES, LLC, its General Partner By: _____________________________ Peter E. Bulger PCM VENTURES, LLC By: _____________________________ Peter E. Bulger PARADIGM CAPITAL MANAGEMENT, INC. By: _____________________________ Robert A. Benton (Page 13 of 13 Pages) -----END PRIVACY-ENHANCED MESSAGE-----