-----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, L4mD8oE5gSgS/f17aBOR/PtaggTKL3PysYLxDp3UwYxZFT1ctaEZBAo3HbW/9t4J DRGUZ+UNkD6DXabhvWlSZw== 0000950135-99-000820.txt : 19990217 0000950135-99-000820.hdr.sgml : 19990217 ACCESSION NUMBER: 0000950135-99-000820 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19990216 GROUP MEMBERS: ADVENT ATLANTIC & PACIFIC III L.P. GROUP MEMBERS: ADVENT NEW YORK L.P. GROUP MEMBERS: ADVENT VII L P GROUP MEMBERS: TA VENTURE INVESTORS L.P. SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: NATROL INC CENTRAL INDEX KEY: 0001025573 STANDARD INDUSTRIAL CLASSIFICATION: MEDICINAL CHEMICALS & BOTANICAL PRODUCTS [2833] IRS NUMBER: 953560780 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-55331 FILM NUMBER: 99543316 BUSINESS ADDRESS: STREET 1: 21411 PRAIRIE ST CITY: CHATSWORTH STATE: CA ZIP: 91311 BUSINESS PHONE: 8187396000 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: ADVENT VII L P CENTRAL INDEX KEY: 0000938846 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 043181563 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: C/O TA ASSOCIATES STREET 2: 125 HIGH ST STE 2500 CITY: BOSTON STATE: MA ZIP: 02110 BUSINESS PHONE: 6175746700 MAIL ADDRESS: STREET 1: C/O TA ASSOCIATES STREET 2: 125 HIGH STREET SUITE 2500 CITY: BOSTON STATE: MA ZIP: 02110 SC 13G 1 NATROL, INC. 1 -------------------------- OMB APPROVAL -------------------------- OMB Number: 3235-0145 Expires: 31-Aug-99 Estimated Average burden hours per reponse -------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. _________)* NATROL, INC. - -------------------------------------------------------------------------------- (Name of Issuer) COMMON STOCK, par value $.01 - -------------------------------------------------------------------------------- (Title of Class of Securities) 638789 10 7 - -------------------------------------------------------------------------------- (CUSIP Number) (Continued on the following pages) (Page 1 of 4 Pages) - -------------------- 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 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). 2 - --------------------- ----------------- CUSIP No. 638789 10 7 SCHEDULE 13G Page 2 of 4 Pages - -------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Advent VII L.P. 04-3181563 Advent New York L.P. 04-3095408 Advent Atlantic & Pacific III L.P. 04-32993018 TA Venture Investors L.P. 04-3068354 - -------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [X] (b) [ ] - -------------------------------------------------------------------------------- 3. SEC USE ONLY - -------------------------------------------------------------------------------- 4. CITIZENSHIP OR PLACE OF ORGANIZATION Advent VII L.P. Delaware Advent New York L.P. Delaware Advent Atlantic & Pacific III L.P. Delaware TA Venture Investors L.P. Massachusetts - -------------------------------------------------------------------------------- 5. SOLE VOTING POWER Advent VII L.P. 1,368,000 Advent New York L.P. 135,800 Advent Atlantic & Pacific III L.P. 630,000 TA Venture Investors L.P. 25,200 NUMBER OF ------------------------------------------------------------- SHARES 6. SHARED VOTING POWER BENEFICIALLY OWNED BY N/A EACH ------------------------------------------------------------- REPORTING 7. SOLE DISPOSITIVE POWER PERSON WITH: Advent VII L.P. 1,368,000 Advent New York L.P. 135,800 Advent Atlantic & Pacific III L.P. 630,000 TA Venture Investors L.P. 25,200 ------------------------------------------------------------- 8. SHARED DISPOSITIVE POWER N/A - -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON Advent VII L.P. 1,368,000 Advent New York L.P. 135,800 Advent Atlantic & Pacific III L.P. 630,000 TA Venture Investors L.P. 25,200 - -------------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - -------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 Advent VII L.P. 10.28% Advent New York L.P. 1.02% Advent Atlantic & Pacific III L.P. 4.74% TA Venture Investors L.P. 0.19% - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON Each entity is a Limited Partnership - -------------------------------------------------------------------------------- SEE INSTRUCTIONS BEFORE FILLING OUT! 3 ATTACHMENT TO FORM 13G Page 3 ITEM 1(a) NAME OF ISSUER: Natrol, Inc. ITEM 1(b) ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: 21411 Prairie Street Chatsworth, CA 21411 ITEM 2(a) NAME OF PERSON FILING: Advent VII L.P. Advent New York L.P. Advent Atlantic and Pacific III L.P. TA Venture Investors L.P. ITEM 2(b) ADDRESS OF PRINCIPAL BUSINESS OFFICE: c/o TA Associates 125 High Street, Suite 2500 Boston, MA 02110 ITEM 2(c) CITIZENSHIP: Not Applicable ITEM 2(d) TITLE AND CLASS OF SECURITIES: Common ITEM 2(e) CUSIP NUMBER: 638789107 ITEM 3 IF THIS STATEMENT IS FILED PURSUANT TO RULES 13d-1(b) OR 13d-2(b), CHECK WHETHER THE PERSON FILING IS A: Not Applicable ITEM 4 OWNERSHIP ITEM 4(a) AMOUNT BENEFICIALLY OWNED: COMMON STOCK ------------ Advent VII L.P. 1,368,000 Advent New York L.P. 135,800 Advent Atlantic and Pacific III L.P. 630,000 TA Venture Investors L.P. 25,200 ITEM 4(b) PERCENT OF CLASS PERCENTAGE ---------- Advent VII L.P. 10.28% Advent New York L.P. 1.02% Advent Atlantic and Pacific III L.P. 4.74% TA Venture Investors L.P. 0.19% ITEM 4(c) NUMBER OF SHARES AS TO WHICH SUCH PERSON HAS: (i) SOLE POWER TO VOTE OR DIRECT THE VOTE: COMMON STOCK ------------ Advent VII L.P. 1,368,000 Advent New York L.P. 135,800 Advent Atlantic and Pacific III L.P. 630,000 TA Venture Investors L.P. 25,200 (ii) SHARED POWER TO VOTE OR DIRECT THE VOTE: N/A (iii) SOLE POWER TO DISPOSE OR DIRECT THE DISPOSITION: COMMON STOCK ------------ Advent VII L.P. 1,368,000 Advent New York L.P. 135,800 Advent Atlantic and Pacific III L.P. 630,000 TA Venture Investors L.P. 25,200 (iv) SHARED POWER TO DISPOSE OR DIRECT THE DISPOSITION N/A 4 Page 4 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 THAT ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY: Not Applicable ITEM 8 IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP: This schedule 13G is filed pursuant to Rule 13d-1 (c). For the agreement of group members to a joint filing, see below. ITEM 9 NOTICE OF DISSOLUTION OF GROUP: Not Applicable ITEM 10 CERTIFICATION: Not Applicable 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. AGREEMENT FOR JOINT FILING Advent VII L.P., Advent New York L.P., Advent Atlantic and Pacific II L.P., and TA Venture Investors Limited Partnership, hereby agree that TA Associates shall file with the Securities and Exchange Commission a joint schedule 13G on behalf of the above-named parties concerning their beneficial ownership of Natrol, Inc. Dated: ADVENT VII L.P. By: TA Associates VII L.P., its General Partner By: TA Associates, Inc. its General Partner By: _________________________________________________________ Katherine S. Cromwell, Managing Director ADVENT ATLANTIC AND PACIFIC III L.P. By: TA Associates AAP III Partners L.P., its General Partner By: TA Associates, Inc. its General Partner By: _________________________________________________________ Katherine S. Cromwell, Managing Director ADVENT NEW YORK L.P. By: TA Associates VI L.P., its General Partner By: TA Associates, Inc. its General Partner By: _________________________________________________________ Katherine S. Cromwell, Managing Director TA VENTURE INVESTORS L.P. By: _________________________________________________________ Katherine S. Cromwell, General Partner -----END PRIVACY-ENHANCED MESSAGE-----