-----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, VsfzoegcAk9qQJqz8/1A+yVEc82INSxvigUw6LgvMcElzF3Nqp/DFhcLKQSu/HKB /tArBTLzdPMeUIWWR2B34g== 0001047469-98-006678.txt : 19980218 0001047469-98-006678.hdr.sgml : 19980218 ACCESSION NUMBER: 0001047469-98-006678 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980217 SROS: NASD GROUP MEMBERS: EL DORADO C&L FUND LP GROUP MEMBERS: EL DORADO TECHNOLOGY IV, L.P. GROUP MEMBERS: EL DORADO VENTURE PARTNERS III GROUP MEMBERS: EL DORADO VENTURES III, L.P. 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: 98543613 BUSINESS ADDRESS: STREET 1: 850 SW 35TH ST CITY: CORVALLIS STATE: OR ZIP: 97333 BUSINESS PHONE: 5417543010 MAIL ADDRESS: STREET 1: ROGUE WAVE SOFTWARE INC STREET 2: 850 SW 35TH ST CITY: CORVALLIS STATE: OR ZIP: 97333 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: EL DORADO C&L FUND LP CENTRAL INDEX KEY: 0000875835 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 20300 STEVENS CREEK BLVD STE 395 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 SCHEDULE 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A (Amendment No. 1)* Under the Securities Exchange Act of 1934 ROGUE WAVE, INC. ---------------------------------- (Name of Issuer) Common Stock ---------------------------------- (Title of Class of Securities) 775369 10 1 ---------------------------------- (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 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). Page 1 of 12 Pages CUSIP No. 775369 10 1 13G Page 2 of 14 Pages - ------------------------------------------------------------------------------- (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 12,233 Owned by -------------------------------------------------- Each Reporting (6) Shared Voting Person With Power 0 -------------------------------------------------- (7) Sole Dispositive Power 12,233 -------------------------------------------------- (8) Shared Dispositive Power 0 - ------------------------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned by Each Reporting Person 12,233 - ------------------------------------------------------------------------------- (10) Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares* - ------------------------------------------------------------------------------- (11) Percent of Class Represented by Amount in Row (9) 0.1% - ------------------------------------------------------------------------------- (12) Type of Reporting Person* PN - ------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! Page 2 of 12 pages CUSIP No. 775369 10 1 13G Page 3 of 14 Pages - ------------------------------------------------------------------------------- (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 22,159 Owned by -------------------------------------------------- Each Reporting (6) Shared Voting Person With Power 0 -------------------------------------------------- (7) Sole Dispositive Power 22,159 -------------------------------------------------- (8) Shared Dispositive Power 0 - ------------------------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned by Each Reporting Person 22,159 - ------------------------------------------------------------------------------- (10) Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares* - ------------------------------------------------------------------------------- (11) Percent of Class Represented by Amount in Row (9) 0.3% - ------------------------------------------------------------------------------- (12) Type of Reporting Person* PN - ------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! Page 3 of 12 pages CUSIP No. 775369 10 1 13G Page 4 of 14 Pages - ------------------------------------------------------------------------------- (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 660,595 Owned by -------------------------------------------------- Each Reporting (6) Shared Voting Person With Power 0 -------------------------------------------------- (7) Sole Dispositive Power 660,595 -------------------------------------------------- (8) Shared Dispositive Power 0 - ------------------------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned by Each Reporting Person 660,595 - ------------------------------------------------------------------------------- (10) Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares* - ------------------------------------------------------------------------------- (11) Percent of Class Represented by Amount in Row (9) 7.9% - ------------------------------------------------------------------------------- (12) Type of Reporting Person* PN - ------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! Page 4 of 12 pages CUSIP No. 775369 10 1 13G Page 5 of 14 Pages - ------------------------------------------------------------------------------- (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 0 Owned by -------------------------------------------------- Each Reporting (6) Shared Voting Person With Power 694,987 -------------------------------------------------- (7) Sole Dispositive Power 0 -------------------------------------------------- (8) Shared Dispositive Power 694,987 - ------------------------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned by Each Reporting Person 694,987 - ------------------------------------------------------------------------------- (10) Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares* - ------------------------------------------------------------------------------- (11) Percent of Class Represented by Amount in Row (9) 8.3% - ------------------------------------------------------------------------------- (12) Type of Reporting Person* PN - ------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! Page 5 of 12 pages CUSIP No. 775369 10 1 13G Page 6 of 14 Pages - ------------------------------------------------------------------------------- (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 0 Owned by -------------------------------------------------- Each Reporting (6) Shared Voting Person With Power 694,987 -------------------------------------------------- (7) Sole Dispositive Power 0 -------------------------------------------------- (8) Shared Dispositive Power 694,987 - ------------------------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned by Each Reporting Person 694,987 - ------------------------------------------------------------------------------- (10) Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares* - ------------------------------------------------------------------------------- (11) Percent of Class Represented by Amount in Row (9) 8.3% - ------------------------------------------------------------------------------- (12) Type of Reporting Person* IN - ------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! Page 6 of 12 pages CUSIP No. 775369 10 1 13G Page 7 of 14 Pages - ------------------------------------------------------------------------------- (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 0 Owned by -------------------------------------------------- Each Reporting (6) Shared Voting Person With Power 694,987 -------------------------------------------------- (7) Sole Dispositive Power 0 -------------------------------------------------- (8) Shared Dispositive Power 694,987 - ------------------------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned by Each Reporting Person 694,987 - ------------------------------------------------------------------------------- (10) Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares* - ------------------------------------------------------------------------------- (11) Percent of Class Represented by Amount in Row (9) 8.3% - ------------------------------------------------------------------------------- (12) Type of Reporting Person* IN - ------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! Page 7 of 12 pages CUSIP No. 775369 10 1 13G Page 8 of 14 Pages - ------------------------------------------------------------------------------- (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 0 Owned by -------------------------------------------------- Each Reporting (6) Shared Voting Person With Power 694,987 -------------------------------------------------- (7) Sole Dispositive Power 0 -------------------------------------------------- (8) Shared Dispositive Power 694,987 - ------------------------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned by Each Reporting Person 694,987 - ------------------------------------------------------------------------------- (10) Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares* - ------------------------------------------------------------------------------- (11) Percent of Class Represented by Amount in Row (9) 8.3% - ------------------------------------------------------------------------------- (12) Type of Reporting Person* IN - ------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! Page 8 of 12 pages ITEM 1. (a) Name of Issuer: Rogue Wave, Inc. ("Issuer") (b) Address of Issuer's Principal Executive Offices: 850 S.W. 35th Street Corvallis, OR 97333 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: 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. Page 9 of 12 pages ITEM 4. OWNERSHIP.
EDC&L EDT IV EDV III EDVP III BAHLES KALBACH PETERSON (a) Beneficial Ownership 12,233 22,159 660,595 694,987 694,987 694,987 694,987 (b) Percentage of Class 0.1% 0.3% 7.9% 8.3% 8.3% 8.3% 8.3% (c) Sole Voting Power 12,233 22,159 660,595 -0- -0- -0- -0- Shared Voting Power -0- -0- -0- 694,987 694,987 694,987 694,987 Sole Dispositive Power 12,233 22,159 660,595 -0- -0- -0- -0- Shared Dispositive Power -0- -0- -0- 694,987 694,987 694,987 694,987
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 No reporting person is a member of a group as defined in Section 240.13d-1(b)(1)(ii)(H) of the Act. ITEM 9. NOTICE OF DISSOLUTION OF GROUP Not applicable. ITEM 10. CERTIFICATION Not applicable. EXHIBITS A: Joint Filing Statement Page 10 of 12 pages 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 13, 1998 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 Page 11 of 12 pages 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 13, 1998 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/ By: /s/ ---------------------- ---------------------- General Partner General Partner EL DORADO VENTURES III, L.P. EL DORADO VENTURE PARTNERS III By: El Dorado Venture Partners III By: /s/ its general partner ---------------------- General Partner By: /s/ ---------------------- General Partner By: /s/ ---------------------- Shanda Bahles By: /s/ ---------------------- Gary W. Kalbach By: /s/ ---------------------- Thomas H. Peterson Page 12 of 12 pages -----END PRIVACY-ENHANCED MESSAGE-----