-----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, Oij/l/FvRf7FI655DglDpxfBAciCaYNSqTpFg5JSrNMqxKrPcuazKfkLL6UVzr6h fBgJzzA5F8egqlqz5HuQDA== 0001072613-00-000290.txt : 20000215 0001072613-00-000290.hdr.sgml : 20000215 ACCESSION NUMBER: 0001072613-00-000290 CONFORMED SUBMISSION TYPE: SC 13D PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20000214 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: SCIENTIFIC LEARNING CORP CENTRAL INDEX KEY: 0001042173 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-EDUCATIONAL SERVICES [8200] IRS NUMBER: 943234458 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D SEC ACT: SEC FILE NUMBER: 005-58137 FILM NUMBER: 540876 BUSINESS ADDRESS: STREET 1: 1995 UNIVERSITY AVENUE STREET 2: STE 400 CITY: BERKELEY STATE: CA ZIP: 94704 BUSINESS PHONE: 5106659700 MAIL ADDRESS: STREET 1: 1995 UNIVERSITY AVENUE STREET 2: SUITE 400 CITY: BERKELEY STATE: CA ZIP: 94704 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: HLM MANAGEMENT CO INC CENTRAL INDEX KEY: 0000938635 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 042803046 FILING VALUES: FORM TYPE: SC 13D BUSINESS ADDRESS: STREET 1: 222 BERKELEY ST CITY: BOSTON STATE: MA ZIP: 02116 BUSINESS PHONE: 6172600030 MAIL ADDRESS: STREET 1: 222 BERKELEY ST CITY: BOSTON STATE: MA ZIP: 02116 SC 13D 1 SCHEDULE 13D SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (Amendment No.__ )* SCIENTIFIC LEARNING CORP. - -------------------------------------------------------------------------------- (Name of Issuer) COMMON - -------------------------------------------------------------------------------- (Title of Class of Securities) 808760102 - -------------------------------------------------------------------------------- (CUSIP Number) A.R. Haberkorn III, HLM MGMT. Co., Inc. 222 Berkeley St. Boston, MA 01746 - -------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) IPO / Lock-Up Expiration - -------------------------------------------------------------------------------- (Date of Event which Requires Filing of This Statement) If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(e), 13d-1(f) or 13d-1(g), check the following box [_]. Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Rule 13d-7(b) for other parties to whom copies are to be sent. * 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 disclosures provided in a prior cover page. 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). (SC13D-07/99) - -------------------- ------------------- CUSIP No. 808760102 13D Page 2 of 4 Pages - -------------------- ------------------- ================================================================================ 1 NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) HLM MGMT. CO., INC. 222 Berkeley St. Boston, MA 04 280 3046 - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [_] (b) [_] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [_] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER NUMBER OF 567,067 SHARES ----------------------------------------------------------------- 8 SHARED VOTING POWER BENEFICIALLY OWNED BY ----------------------------------------------------------------- EACH 9 SOLE DISPOSITIVE POWER REPORTING 567,067 PERSON ----------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER WITH - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 567,067 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [_] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 5.48% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* IA - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 13D Page 3 of 4 Pages ________________________________________________________________________________ Item 1. Security and Issuer. Scientific Learning 1995 University Ave., Ste. 400, Berkeley, CA 94704 ________________________________________________________________________________ Item 2. Identity and Background. (a) HLM Management Co., Inc. (b) 222 Berkeley St., Boston, MA 02116 (c) IA (d) n/a (e) n/a (f) Incorporated in Massachusetts ________________________________________________________________________________ Item 3. Source and Amount of Funds or Other Consideration. $8,764,976.80 ________________________________________________________________________________ Item 4. Purpose of Transaction. Investment. (a) 567,067 Sole (b) 5.48% (c) n/a (d) n/a (e) n/a (f) (g) (h) (i) (j) ________________________________________________________________________________ Item 5. Interest in Securities of the Issuer. (a) 567,067 common shares 5.48% (b) 100% (c) n/a (d) n/a (e) n/a ________________________________________________________________________________ Item 6. Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer. n/a ________________________________________________________________________________ Item 7. Material to be Filed as Exhibits. ________________________________________________________________________________ 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. February 14, 2000 ---------------------------------------- (Date) A. R. Haberkorn ---------------------------------------- (Signature) Clerk ---------------------------------------- (Name/Title) Attention. Intentional misstatements or omissions of fact constitute federal criminal violations (see 18 U.S.C. 1001). -----END PRIVACY-ENHANCED MESSAGE-----