-----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, R7fKxPUNn73FQEBu4fmJGxOqF2eFyBc9Qfxzp9h7Dv7xb9n2yZzYI6Y0PLVaHct6 LMa0cHmrSmkrcl3Q9GdFyQ== 0000906344-03-000022.txt : 20030212 0000906344-03-000022.hdr.sgml : 20030212 20030212163056 ACCESSION NUMBER: 0000906344-03-000022 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20030212 GROUP MEMBERS: EUGENE EIDENBERG GROUP MEMBERS: H&Q PLUMTREE INVESTMENT MANAGEMENT, LLC GROUP MEMBERS: H&Q PLUMTREE INVESTORS, L.P. GROUP MEMBERS: H&Q TODD VENTURES MANAGEMENT LLC GROUP MEMBERS: RUPEN DOLASIA GROUP MEMBERS: STANDISH H. O'GRADY GROUP MEMBERS: TODD U.S. VENTURES LLC SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: PLUMTREE SOFTWARE INC CENTRAL INDEX KEY: 0001035656 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMPUTER PROGRAMMING SERVICES [7371] IRS NUMBER: 943249110 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-78738 FILM NUMBER: 03554913 BUSINESS ADDRESS: STREET 1: 500 SANSOME STREET CITY: SAN FRANCISCO STATE: CA ZIP: 94104 BUSINESS PHONE: 4152638900 MAIL ADDRESS: STREET 1: 500 SANSOME STREET CITY: SAN FRANCISCO STATE: CA ZIP: 94104 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: GRANITE VENTURES LLC CENTRAL INDEX KEY: 0001106556 IRS NUMBER: 943296215 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: ONE BUSH STRET 12TH FLOOR CITY: SAN FRANCISCO STATE: CA ZIP: 94104 BUSINESS PHONE: 4155763657 MAIL ADDRESS: STREET 1: ONE BUSH STREET 12TH FLOOR CITY: SAN FRANCISCO STATE: CA ZIP: 94104 FORMER COMPANY: FORMER CONFORMED NAME: H&Q VENTURE ASSOCIATES LLC DATE OF NAME CHANGE: 20000211 SC 13G 1 plum13g.txt SCHEDULE 13G SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. __) Plumtree Software, Inc. ----------------------- (Name of Issuer) Common Stock ------------ (Title of Class of Securities) 72940Q-10-4 ----------- (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) [ ] Rule 13d-1(c) [x] Rule 13d-1(d) CUSIP No. 72940Q-10-4 SCHEDULE 13G Page 2 of 14 1 Name Of Reporting Person H&Q PLUMTREE INVESTORS, L.P. IRS Identification No. Of Above Person 2 Check The Appropriate Box If A Member Of A Group (a) [ ] (b) [x] 3 SEC USE ONLY 4 Citizenship Or Place Of Organization California 5 Sole Voting Power -0- NUMBER OF 6 Shared Voting Power SHARES BENEFICIALLY OWNED BY EACH 2,809,928 REPORTING PERSON WITH 7 Sole Dispositive Power -0- 8 Shared Dispositive Power 2,809,928 9 Aggregate Amount Beneficially Owned By Each Reporting Person 2,809,928 10 Check Box If The Aggregate Amount In Row (9) Excludes Certain Shares* [ ] 11 Percent Of Class Represented By Amount In Row 9 9.5% 12 Type Of Reporting Person* PN CUSIP No. 72940Q-10-4 SCHEDULE 13G Page 3 of 14 1 Name Of Reporting Person TODD U.S. VENTURES LLC IRS Identification No. Of Above Person 2 Check The Appropriate Box If A Member Of A Group (a) [ ] (b) [x] 3 SEC USE ONLY 4 Citizenship Or Place Of Organization Texas 5 Sole Voting Power -0- NUMBER OF 6 Shared Voting Power SHARES BENEFICIALLY OWNED BY EACH 2,809,928 REPORTING PERSON WITH 7 Sole Dispositive Power -0- 8 Shared Dispositive Power 2,809,928 9 Aggregate Amount Beneficially Owned By Each Reporting Person 2,809,928 10 Check Box If The Aggregate Amount In Row (9) Excludes Certain Shares* [ ] 11 Percent Of Class Represented By Amount In Row 9 9.5% 12 Type Of Reporting Person* OO CUSIP No. 72940Q-10-4 SCHEDULE 13G Page 4 of 14 1 Name Of Reporting Person H&Q PLUMTREE INVESTMENT MANAGEMENT, LLC IRS Identification No. Of Above Person 2 Check The Appropriate Box If A Member Of A Group (a) [ ] (b) [x] 3 SEC USE ONLY 4 Citizenship Or Place Of Organization California 5 Sole Voting Power -0- NUMBER OF 6 Shared Voting Power SHARES BENEFICIALLY OWNED BY EACH 2,809,928 REPORTING PERSON WITH 7 Sole Dispositive Power -0- 8 Shared Dispositive Power 2,809,928 9 Aggregate Amount Beneficially Owned By Each Reporting Person 2,809,928 10 Check Box If The Aggregate Amount In Row (9) Excludes Certain Shares* [ ] 11 Percent Of Class Represented By Amount In Row 9 9.5% 12 Type Of Reporting Person* OO CUSIP No. 72940Q-10-4 SCHEDULE 13G Page 5 of 14 1 Name Of Reporting Person H&Q TODD VENTURES MANAGEMENT LLC IRS Identification No. Of Above Person 2 Check The Appropriate Box If A Member Of A Group (a) [ ] (b) [x] 3 SEC USE ONLY 4 Citizenship Or Place Of Organization California 5 Sole Voting Power -0- NUMBER OF 6 Shared Voting Power SHARES BENEFICIALLY OWNED BY EACH 2,809,928 REPORTING PERSON WITH 7 Sole Dispositive Power -0- 8 Shared Dispositive Power 2,809,928 9 Aggregate Amount Beneficially Owned By Each Reporting Person 2,809,928 10 Check Box If The Aggregate Amount In Row (9) Excludes Certain Shares* [ ] 11 Percent Of Class Represented By Amount In Row 9 9.5% 12 Type Of Reporting Person* OO CUSIP No. 72940Q-10-4 SCHEDULE 13G Page 6 of 14 1 Name Of Reporting Person GRANITE VENTURES, LLC IRS Identification No. Of Above Person 2 Check The Appropriate Box If A Member Of A Group (a) [ ] (b) [x] 3 SEC USE ONLY 4 Citizenship Or Place Of Organization California 5 Sole Voting Power -0- NUMBER OF 6 Shared Voting Power SHARES BENEFICIALLY OWNED BY EACH 2,809,928 REPORTING PERSON WITH 7 Sole Dispositive Power -0- 8 Shared Dispositive Power 2,809,928 9 Aggregate Amount Beneficially Owned By Each Reporting Person 2,809,928 10 Check Box If The Aggregate Amount In Row (9) Excludes Certain Shares* [ ] 11 Percent Of Class Represented By Amount In Row 9 9.5% 12 Type Of Reporting Person* OO CUSIP No. 72940Q-10-4 SCHEDULE 13G Page 7 of 14 1 Name Of Reporting Person RUPEN DOLASIA IRS Identification No. Of Above Person 2 Check The Appropriate Box If A Member Of A Group (a) [ ] (b) [x] 3 SEC USE ONLY 4 Citizenship Or Place Of Organization United States 5 Sole Voting Power -0- NUMBER OF 6 Shared Voting Power SHARES BENEFICIALLY OWNED BY EACH 2,809,928 REPORTING PERSON WITH 7 Sole Dispositive Power -0- 8 Shared Dispositive Power 2,809,928 9 Aggregate Amount Beneficially Owned By Each Reporting Person 2,809,928 10 Check Box If The Aggregate Amount In Row (9) Excludes Certain Shares* [ ] 11 Percent Of Class Represented By Amount In Row 9 9.5% 12 Type Of Reporting Person* IN CUSIP No. 72940Q-10-4 SCHEDULE 13G Page 8 of 14 1 Name Of Reporting Person EUGENE EIDENBERG IRS Identification No. Of Above Person 2 Check The Appropriate Box If A Member Of A Group (a) [ ] (b) [x] 3 SEC USE ONLY 4 Citizenship Or Place Of Organization United States 5 Sole Voting Power -0- NUMBER OF 6 Shared Voting Power SHARES BENEFICIALLY OWNED BY EACH 2,809,928 REPORTING PERSON WITH 7 Sole Dispositive Power -0- 8 Shared Dispositive Power 2,809,928 9 Aggregate Amount Beneficially Owned By Each Reporting Person 2,809,928 10 Check Box If The Aggregate Amount In Row (9) Excludes Certain Shares* [ ] 11 Percent Of Class Represented By Amount In Row 9 9.5% 12 Type Of Reporting Person* IN CUSIP No. 72940Q-10-4 SCHEDULE 13G Page 9 of 14 1 Name Of Reporting Person STANDISH H. O'GRADY IRS Identification No. Of Above Person 2 Check The Appropriate Box If A Member Of A Group (a) [ ] (b) [x] 3 SEC USE ONLY 4 Citizenship Or Place Of Organization United States 5 Sole Voting Power -0- NUMBER OF 6 Shared Voting Power SHARES BENEFICIALLY OWNED BY EACH 2,809,928 REPORTING PERSON WITH 7 Sole Dispositive Power -0- 8 Shared Dispositive Power 2,809,928 9 Aggregate Amount Beneficially Owned By Each Reporting Person 2,809,928 10 Check Box If The Aggregate Amount In Row (9) Excludes Certain Shares* [ ] 11 Percent Of Class Represented By Amount In Row 9 9.5% 12 Type Of Reporting Person* IN CUSIP No. 72940Q-10-4 SCHEDULE 13G Page 10 of 14 Item 1(a). Name of Issuer. Plumtree Software, Inc. (the "Issuer"). Item 1(b). Address of Issuer's Principal Executive Offices. 500 Sansome Street, San Francisco, CA 94104. Item 2(a). Names of Persons Filing. Reference is made to Item 1 of each of the cover pages of this Schedule, which Items are incorporated by reference herein. Item 2(b). Address of Principal Business Office or, if none, Residence. The address of each reporting person is One Bush Street, San Francisco, California 94104. Item 2(c). Citizenship. Reference is made to Item 4 of each of the cover pages of this Schedule, which Items are incorporated by reference herein. Item 2(d). Title of Class of Securities. Common Stock. Item 2(e). CUSIP Number. 72940Q-10-4 Item 3. Type of Reporting Person. Not applicable. Item 4. Ownership. Reference is made to Items 5-9 and 11 of each of the cover pages to this Schedule, which Items are incorporated by reference herein. According to information provided by the Issuer, there were 29,432,665 shares of Common Stock issued and outstanding as of December 31, 2002. At December 31, 2002, the reporting persons directly owned the following shares of Common Stock: Common Stock Person Directly Owned ------ -------------- H&Q Plumtree Investors, L.P. 2,666,145 Todd U.S. Ventures LLC 143,783 --------- TOTAL 2,809,928 ========= CUSIP No. 72940Q-10-4 SCHEDULE 13G Page 11 of 14 Because voting and investment decisions concerning the above securities may be made by or in conjunction with the other reporting persons, each of the reporting persons may be deemed a member of a group that shares voting and dispositive power over all of the above securities. Although the reporting persons are reporting such securities as if they were members of a group, the filing of this Schedule shall not be construed as an admission by any reporting person that it is a beneficial owner of any securities other than those directly held by such reporting person. Under the definition of "beneficial ownership" in Rule 13d-3 under the Securities Exchange Act of 1934, it is also possible that the individual general partners, directors, executive officers, members and/or managers of the foregoing entities might be deemed the "beneficial owners" of some or all of the securities to which this Schedule relates in that they might be deemed to share the power to direct the voting or disposition of such securities. Neither the filing of this Schedule nor any of its contents shall be deemed to constitute an admission that any of such individuals is, for any purpose, the beneficial owner of any of the securities to which this Schedule relates, and such beneficial ownership is expressly disclaimed. 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 Group. Not applicable. Item 10. Certification. Not applicable. CUSIP No. 72940Q-10-4 SCHEDULE 13G Page 12 of 14 Signature After reasonable inquiry and to the best of their knowledge and belief, the undersigned certify that the information set forth in this statement is true, complete and correct. DATED: February 10, 2003. H&Q PLUMTREE INVESTORS, L.P. H&Q TODD VENTURES MANAGEMENT LLC By:________/s/_____________ By:________/s/__________________ Jackie A. Berterretche Jackie A. Berterretche Attorney-in-Fact Attorney-in-Fact TODD U.S. VENTURES LLC GRANITE VENTURES, LLC By:________/s/_____________ By:________/s/__________________ Jackie A. Berterretche Jackie A. Berterretche Attorney-in-Fact Attorney-in-Fact H&Q PLUMTREE INVESTMENT RUPEN DOLASIA MANAGEMENT, LLC By:________/s/_____________ By:________/s/__________________ Jackie A. Berterretche Jackie A. Berterretche Attorney-in-Fact Attorney-in-Fact EUGENE EIDENBERG By:________/s/__________________ Jackie A. Berterretche Attorney-in-Fact STANDISH H. O'GRADY By:________/s/__________________ Jackie A. Berterretche Attorney-in-Fact CUSIP No. 72940Q-10-4 SCHEDULE 13G Page 13 of 14 EXHIBIT INDEX Exhibit A Joint Filing Undertaking Page 14 CUSIP No. 72940Q-10-4 SCHEDULE 13G Page 14 of 14 JOINT FILING UNDERTAKING The undersigned, being duly authorized thereunto, hereby execute this agreement as an exhibit to this Schedule 13G to evidence the agreement of the below-named parties, in accordance with rules promulgated pursuant to the Securities Exchange Act of 1934, to file this Schedule and any subsequent amendment jointly on behalf of each of such parties. DATED: February 10, 2003. H&Q PLUMTREE INVESTORS, L.P. H&Q TODD VENTURES MANAGEMENT LLC By:________/s/_____________ By:________/s/__________________ Jackie A. Berterretche Jackie A. Berterretche Attorney-in-Fact Attorney-in-Fact TODD U.S. VENTURES LLC GRANITE VENTURES, LLC By:________/s/_____________ By:________/s/__________________ Jackie A. Berterretche Jackie A. Berterretche Attorney-in-Fact Attorney-in-Fact H&Q PLUMTREE INVESTMENT RUPEN DOLASIA MANAGEMENT, LLC By:________/s/_____________ By:________/s/__________________ Jackie A. Berterretche Jackie A. Berterretche Attorney-in-Fact Attorney-in-Fact EUGENE EIDENBERG By:________/s/__________________ Jackie A. Berterretche Attorney-in-Fact STANDISH H. O'GRADY By:________/s/__________________ Jackie A. Berterretche Attorney-in-Fact -----END PRIVACY-ENHANCED MESSAGE-----