-----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, DyaE6lj43gkMKtsx6SqdiykRAB9DQnBUdhZbslL+fbBJltiU5KPdriSj43IRYPD3 eRP5aqImZWO6boMTdk8qLA== 0001047469-98-004068.txt : 19980209 0001047469-98-004068.hdr.sgml : 19980209 ACCESSION NUMBER: 0001047469-98-004068 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980206 SROS: NONE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: BEA SYSTEMS INC CENTRAL INDEX KEY: 0001031798 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMPUTER PROGRAMMING SERVICES [7371] IRS NUMBER: 770394711 STATE OF INCORPORATION: DE FISCAL YEAR END: 0131 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-52639 FILM NUMBER: 98524117 BUSINESS ADDRESS: STREET 1: 385 MOFFETT PK DR STREET 2: SUITE 105 CITY: SUNNYVALE STATE: CA ZIP: 94404 BUSINESS PHONE: 4087434000 MAIL ADDRESS: STREET 1: 385 MOFFETT PARK DRIVE STREET 2: SUITE 105 CITY: SUNNYVALE STATE: CA ZIP: 94404 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: WARBURG PINCUS VENTURES LP CENTRAL INDEX KEY: 0000942263 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] IRS NUMBER: 133784037 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: E M WARBURG PINCUS & CO INC STREET 2: 466 LEXINGTON AVE 10TH FL CITY: NEW YORK STATE: NY ZIP: 10017-3147 BUSINESS PHONE: 2128780600 MAIL ADDRESS: STREET 1: E M WARBURG PINCUS & CO INC STREET 2: 466 LEXINGTON AVE 10TH FL CITY: NEW YORK STATE: NY ZIP: 10017-3147 SC 13G 1 SCHEDULE 13G UNITED STATES -------------------------------------- SECURITIES AND EXCHANGE COMMISSION OMB APPROVAL WASHINGTON, D.C. 20549 -------------------------------------- OMB Number: 3235-0145 Expires: August 31, 1991 Estimated average burden hours per response.......14.90 --------------------------------------
SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. ____________)* BEA SYSTEMS, INC. - ------------------------------------------------------------------------------- (Name of Issuer) Common Stock - ------------------------------------------------------------------------------- (Title of Class of Securities) 073325 10 2 ------------------------------------ (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 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. 073325102 13G 1 NAME OF REPORTING PERSON S.S OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON WARBURG, PINCUS VENTURES, L.P. I.D. NO. 13-3784037 - ------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) / / (b) /X/ - ------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION DELAWARE - ------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES - 0 - BENEFICIALLY ------------------------------------------------------------ OWNED BY 6 SHARED VOTING POWER EACH 31,775,217 REPORTING ------------------------------------------------------------ PERSON 7 SOLE DISPOSITIVE POWER WITH - 0 - ------------------------------------------------------------ 8 SHARED DISPOSITIVE POWER 42,093,554 - ------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 42,093,554(1) - ------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - ------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 64.91% - ------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* PN - ------------------------------------------------------------------------------- (1)Assumes conversion into voting Common Stock of maximum number of shares of Class B Non-Voting Common Stock as is permitted pursuant to the Issuer's Amended and Restated Certificate of Incorporation (49% of Voting Common Stock). The Reporting Person currently hold 11,870,000 shares of Common Stock and 30,223,554 shares of Class B Non-Voting Common Stock. 1 CUSIP No. 073325102 13G 1 NAME OF REPORTING PERSON S.S OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON WARBURG, PINCUS & CO. I.D. NO. 13-6358475 - ------------------------------------------------------------------------------- 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 - ------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES - 0 - BENEFICIALLY ------------------------------------------------------------ OWNED BY 6 SHARED VOTING POWER EACH 31,775,217 REPORTING ------------------------------------------------------------ PERSON 7 SOLE DISPOSITIVE POWER WITH - 0 - ------------------------------------------------------------ 8 SHARED DISPOSITIVE POWER 42,093,554 - ------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 42,093,554(1) - ------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - ------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 64.91% - ------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* PN - ------------------------------------------------------------------------------- (1)Assumes conversion into voting Common Stock of maximum number of shares of Class B Non-Voting Common Stock as is permitted pursuant to the Issuer's Amended and Restated Certificate of Incorporation (49% of Voting Common Stock). The Reporting Person currently hold 11,870,000 shares of Common Stock and 30,223,554 shares of Class B Non-Voting Common Stock. 2 CUSIP No. 073325102 13G 1 NAME OF REPORTING PERSON S.S OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON E.M. WARBURG, PINCUS & CO., LLC I.D. NO. 13-3536050 - ------------------------------------------------------------------------------- 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 - ------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES - 0 - BENEFICIALLY ------------------------------------------------------------ OWNED BY 6 SHARED VOTING POWER EACH 31,775,217 REPORTING ------------------------------------------------------------ PERSON 7 SOLE DISPOSITIVE POWER WITH - 0 - ------------------------------------------------------------ 8 SHARED DISPOSITIVE POWER 42,093,554 - ------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 42,093,554(1) - ------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - ------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 64.91% - ------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* PN - ------------------------------------------------------------------------------- (1)Assumes conversion into voting Common Stock of maximum number of shares of Class B Non-Voting Common Stock as is permitted pursuant to the Issuer's Amended and Restated Certificate of Incorporation (49% of Voting Common Stock). The Reporting Person currently hold 11,870,000 shares of Common Stock and 30,223,554 shares of Class B Non-Voting Common Stock. 3 CUSIP No. 073325102 13G ITEM 1. (a) Name of Issuer: BEA Systems, Inc. (the "Issuer") (b) Address of Issuer's Principal Executive Offices: 385 Moffett Park Drive, Sunnyvale, CA 94089 ITEM 2. (a) & (b) Name of Person Filing; Address of Principal Business Office: This statement is filed by and on behalf of (a) Warburg, Pincus Ventures, L.P., a Delaware limited partnership ("WPV"); (b) Warburg, Pincus & Co., a New York general partnership ("WP"); and (c) E.M. Warburg, Pincus & Co., LLC, a New York limited liability company ("EMW LLC"), which manages WPV. WP, as the sole general partner of WPV, has a 20% interest in the profits of WPV. Lionel I. Pincus is the managing partner of WP and the managing member of EMW LLC and may be deemed to control both WP and EMW LLC. The members of EMW LLC are substantially the same as the partners of WP. The business address of each of the foregoing is 466 Lexington Avenue, New York, New York 10017. (c) Citizenship: Not applicable. (d) Title of Class of Securities: Common Stock (e) CUSIP Number: 073325 10 2 ITEM 3. Not applicable. ITEM 4. OWNERSHIP (a) Amount Beneficially Owned: 42,093,554 shares as of December 31, 1997(1). (b) Percent of Class: 64.91%, as of December 31, 1997. ______________________________ (1)Assumes conversion into voting Common Stock of maximum number of shares of Class B Non-Voting Common Stock as is permitted pursuant to the Issuer's Amended and Restated Certificate of Incorporation (49% of Voting Common Stock). The Reporting Person currently hold 11,870,000 shares of Common Stock and 30,223,554 shares of Class B Non-Voting Common Stock. 4 CUSIP No. 073325102 13G (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: - 0 - shares. (ii) shared power to vote or to direct the vote: 31,275,217 shares (iii) sole power to dispose or to direct the disposition of: - 0 - shares. (iv) shared power to dispose or to direct the disposition of: 42,093,554 shares 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. ITEM 9. NOTICE OF DISSOLUTION OF THE GROUP Not applicable. ITEM 10. CERTIFICATION Not applicable. 5 CUSIP No. 073325102 13G SIGNATURE After reasonable inquiry and to the best of our knowledge and belief, the undersigned certify that the information set forth in this statement is true, complete and correct. Date: January 28, 1998 WARBURG, PINCUS VENTURES, L.P. By: Warburg, Pincus & Co., General Partner By: /s/ Stephen Distler ------------------------------------ Stephen Distler Its: Partner WARBURG, PINCUS & CO. By: /s/ Stephen Distler ------------------------------------ Stephen Distler Its: Partner E.M. WARBURG, PINCUS & CO., LLC By: /s/ Stephen Distler ------------------------------------ Stephen Distler Its: Partner 6 CUSIP No. 073325102 13G EXHIBITS Exhibit 1 Joint Filing Agreement, dated _______________, 1998, among the signatories to this Schedule 13G. 7 CUSIP No. 073325102 13G Exhibit 1 JOINT FILING AGREEMENT PURSUANT TO RULE 13d-1(f)(1) The undersigned acknowledge and agree that the foregoing statement on Schedule 13G is filed on behalf of each of the undersigned and that all subsequent amendments to this statement on Schedule 13G shall be filed on behalf of each of the undersigned without the necessity of filing additional joint filing agreements. The undersigned acknowledge that each shall be responsible for the timely filing of such amendments, and for the completeness and accuracy of the information concerning it contained therein, but shall not be responsible for the completeness and accuracy of the information concerning the others, except to the extent that it knows or has reason to believe that such information is inaccurate. This Agreement may be executed in any number of counterparts and all of such counterparts taken together shall constitute one and the same instrument. Dated: January 28, 1998 WARBURG, PINCUS VENTURES, L.P. By: Warburg, Pincus & Co., General Partner By: /s/ Stephen Distler ------------------------------------ Stephen Distler Its: Partner WARBURG, PINCUS & CO. By: /s/ Stephen Distler ------------------------------------ Stephen Distler Its: Partner 8 CUSIP No. 073325102 13G E.M. WARBURG, PINCUS & CO., LLC By: /s/ Stephen Distler ------------------------------------ Stephen Distler Its: Partner 9 -----END PRIVACY-ENHANCED MESSAGE-----