-----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, COO2zi4dmCrVGQfFPNLapTWgHsyXMR6ySiZBbUfZcIgAWJZ0wll8DOKoRm3Y+o/9 L7RnJej3i1pLW4bc0dsbnA== 0000950005-99-000181.txt : 19990217 0000950005-99-000181.hdr.sgml : 19990217 ACCESSION NUMBER: 0000950005-99-000181 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19990216 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: PERVASIVE SOFTWARE INC CENTRAL INDEX KEY: 0001042821 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 742693793 STATE OF INCORPORATION: DE FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-53293 FILM NUMBER: 99540741 BUSINESS ADDRESS: STREET 1: 12365 RIATA TRACE PARKWAY CITY: AUSTIN STATE: TX ZIP: 78727 BUSINESS PHONE: 5122316000 MAIL ADDRESS: STREET 1: 12365 RIATA TRACE PARKWAY CITY: AUSTIN STATE: TX ZIP: 78727 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: AUSTIN VENTURES L P CENTRAL INDEX KEY: 0000827185 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 114 W 7TH ST STREET 2: STE 1300 CITY: AUSTIN STATE: TX ZIP: 78701 BUSINESS PHONE: 5124790055 MAIL ADDRESS: STREET 1: 114 W 7TH ST STREET 2: STE 1300 CITY: AUSTIN STATE: TX ZIP: 78701 SC 13G/A 1 FORM SC-13G/A 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 13d-2 (b) (Amendment No. 1)* Pervasive Software, Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock - -------------------------------------------------------------------------------- (Title of Class of Securities) 715710109 - -------------------------------------------------------------------------------- (CUSIP Number) December 31, 1998 - -------------------------------------------------------------------------------- (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) *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 ("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). (Continued on following pages) Page 1 of 10 Pages
- ---------------------------------------------------------- -------------------------------------- CUSIP NO. 715710109 13 G Page 2 of 10 - ---------------------------------------------------------- -------------------------------------- - ------------ --------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS Austin Ventures IV-A, L.P. ("AV IV-A") Tax ID Number: - ------------ --------------------------------------------------------------------------------------------------------- 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 702,081 shares, except that AV Partners IV, L.P. ("AV IV"), the general BENEFICIALLY partner of AV IV-A, and Aragona, DeAngelis, Garvey and Wood, the general OWNED BY EACH REPORTING partners of AV IV, may be deemed to have shared voting power with PERSON respect to such shares. WITH -------- ------------------------------------------------------------------------ 6 SHARED VOTING POWER See response to row 5. -------- ------------------------------------------------------------------------ 7 SOLE DISPOSITIVE POWER 702,081 shares, except that AV Partners IV, L.P. ("AV IV"), the general partner of AV IV-A, and Aragona, DeAngelis, Garvey and Wood, the general partners of AV IV, may be deemed to have shared dispositive power with respect to such shares. -------- ------------------------------------------------------------------------ 8 SHARED DISPOSITIVE POWER See response to row 7. - ------------------------------------ -------- ------------------------------------------------------------------------ 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 702,081 - ------------ --------------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - ------------ --------------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 5.21% - ------------ --------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* PN - ------------ --------------------------------------------------------------------------------------------------------- * SEE INSTRUCTIONS BEFORE FILLING OUT!
- ---------------------------------------------------------- -------------------------------------- CUSIP NO. 715710109 13 G Page 3 of 10 - ---------------------------------------------------------- -------------------------------------- - ------------ --------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS Austin Ventures IV-B, L.P. ("AV IV-B") Tax ID Number: - ------------ --------------------------------------------------------------------------------------------------------- 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 1,472,976 shares, except that Austin Ventures IV, L.P. ("AV IV"), the BENEFICIALLY general partner of AV IV-B, and Aragona, DeAngelis, Garvey and Wood, the OWNED BY EACH REPORTING general partners of AV-IV, may be deemed to have shared voting power PERSON with respect to such shares. WITH -------- ------------------------------------------------------------------------ 6 SHARED VOTING POWER See response to row 5. -------- ------------------------------------------------------------------------ 7 SOLE DISPOSITIVE POWER 1,472,976 shares, except that Austin Ventures IV, L.P. ("AV IV"), the general partner of AV IV-B, and Aragona, DeAngelis, Garvey and Wood, the general partners of AV-IV, may be deemed to have shared dispositive power with respect to such shares. -------- ------------------------------------------------------------------------ 8 SHARED DISPOSITIVE POWER See response to row 7. - ------------------------------------ -------- ------------------------------------------------------------------------ 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,472,976 - ------------ --------------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - ------------ --------------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 10.93% - ------------ --------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* PN - ------------ --------------------------------------------------------------------------------------------------------- * SEE INSTRUCTIONS BEFORE FILLING OUT!
- ---------------------------------------------------------- -------------------------------------- CUSIP NO. 715710109 13 G Page 4 of 10 - ---------------------------------------------------------- -------------------------------------- - ------------ --------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS AV Partners IV, L.P. ("AV IV") Tax ID Number: - ------------ --------------------------------------------------------------------------------------------------------- 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 shares. BENEFICIALLY -------- ------------------------------------------------------------------------ OWNED BY EACH REPORTING 6 SHARED VOTING POWER PERSON 2,175,057 shares, of which 702,081 are shares directly owned by AV IV-A, WITH and 1,472,976 are shares directly owned by AV IV-B. AV IV is the general partner of AV IV-A and AV IV-B and may be deemed to have shared voting power with respect to such shares. -------- ------------------------------------------------------------------------ 7 SOLE DISPOSITIVE POWER 0 shares. -------- ------------------------------------------------------------------------ 8 SHARED DISPOSITIVE POWER 2,175,057 shares, of which 702,081 are shares directly owned by AV IV-A, and 1,472,976 are shares directly owned by AV IV-B. AV IV is the general partner of AV IV-A and AV IV-B and may be deemed to have shared dispositive power with respect to such shares. - ------------------------------------ -------- ------------------------------------------------------------------------ 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,175,057 - ------------ --------------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - ------------ --------------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 16.14% - ------------ --------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* PN - ------------ --------------------------------------------------------------------------------------------------------- * SEE INSTRUCTIONS BEFORE FILLING OUT!
- ---------------------------------------------------------- -------------------------------------- CUSIP NO. 715710109 13 G Page 5 of 10 - ---------------------------------------------------------- -------------------------------------- - ------------ --------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS Joseph C. Aragona ("Aragona") - ------------ --------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - ------------ --------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------ --------------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION U.S. Citizen - ------------------------------------ -------- ------------------------------------------------------------------------ NUMBER OF 5 SOLE VOTING POWER SHARES 3,300 shares. BENEFICIALLY -------- ------------------------------------------------------------------------ OWNED BY EACH REPORTING 6 SHARED VOTING POWER PERSON 2,175,057 shares, of which 702,081 are shares directly owned by AV IV-A, WITH and 1,472,976 are shares directly owned by AV IV-B. Aragona is a general partner of AV IV, the general partner of AV IV-A and AV IV-B, and may be deemed to have shared voting power with respect to such shares. -------- ------------------------------------------------------------------------ 7 SOLE DISPOSITIVE POWER 3,300 shares. -------- ------------------------------------------------------------------------ 8 SHARED DISPOSITIVE POWER 2,175,057 shares, of which 702,081 are shares directly owned by AV IV-A, and 1,472,976 are shares directly owned by AV IV-B. Aragona is a general partner of AV IV, the general partner of AV IV-A and AV IV-B, and may be deemed to have shared dispositive power with respect to such shares. - ------------ --------------------------------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,178,357 - ------------ --------------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - ------------ --------------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 16.17% - ------------ --------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - ------------ --------------------------------------------------------------------------------------------------------- * SEE INSTRUCTIONS BEFORE FILLING OUT!
- ---------------------------------------------------------- -------------------------------------- CUSIP NO. 715710109 13 G Page 6 of 10 - ---------------------------------------------------------- -------------------------------------- - ------------ --------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS Kenneth P. DeAngelis ("DeAngelis") - ------------ --------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - ------------ --------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------ --------------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION U.S. Citizen - ------------------------------------ -------- ------------------------------------------------------------------------ NUMBER OF 5 SOLE VOTING POWER SHARES 3,300 shares. BENEFICIALLY -------- ------------------------------------------------------------------------ OWNED BY EACH REPORTING 6 SHARED VOTING POWER PERSON 2,175,057 shares, of which 702,081 are shares directly owned by AV IV-A, WITH and 1,472,976 are shares directly owned by AV IV-B. DeAngelis is a general partner of AV IV, the general partner of AV IV-A and AV IV-B, and may be deemed to have shared voting power with respect to such shares. -------- ------------------------------------------------------------------------ 7 SOLE DISPOSITIVE POWER 3,300 shares. -------- ------------------------------------------------------------------------ 8 SHARED DISPOSITIVE POWER 2,175,057 shares, of which 702,081 are shares directly owned by AV IV-A, and 1,472,976 are shares directly owned by AV IV-B. DeAngelis is a general partner of AV IV, the general partner of AV IV-A and AV IV-B, and may be deemed to have shared dispositive power with respect to such shares. - ------------------------------------ -------- ------------------------------------------------------------------------ 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,178,357 - ------------ --------------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - ------------ --------------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 16.17% - ------------ --------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - ------------ --------------------------------------------------------------------------------------------------------- * SEE INSTRUCTIONS BEFORE FILLING OUT!
- ---------------------------------------------------------- -------------------------------------- CUSIP NO. 715710109 13 G Page 7 of 10 - ---------------------------------------------------------- -------------------------------------- - ------------ --------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS Jeffrey C. Garvey ("Garvey") - ------------ --------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - ------------ --------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------ --------------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION U.S. Citizen - ------------------------------------ -------- ------------------------------------------------------------------------ NUMBER OF 5 SOLE VOTING POWER SHARES 3,300 shares. BENEFICIALLY -------- ------------------------------------------------------------------------ OWNED BY EACH REPORTING 6 SHARED VOTING POWER PERSON 2,175,057 shares, of which 702,081 are shares directly owned by AV IV-A, WITH and 1,472,976 are shares directly owned by AV IV-B. Garvey is a general partner of AV IV, the general partner of AV IV-A and AV IV-B, and may be deemed to have shared voting power with respect to such shares. -------- ------------------------------------------------------------------------ 7 SOLE DISPOSITIVE POWER 3,300 shares. -------- ------------------------------------------------------------------------ 8 SHARED DISPOSITIVE POWER 2,175,057 shares, of which 702,081 are shares directly owned by AV IV-A, and 1,472,976 are shares directly owned by AV IV-B. Garvey is a general partner of AV IV, the general partner of AV IV-A and AV IV-B, and may be deemed to have shared dispositive power with respect to such shares. - ------------------------------------ -------- ------------------------------------------------------------------------ 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,178,357 - ------------ --------------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - ------------ --------------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 16.17% - ------------ --------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - ------------ --------------------------------------------------------------------------------------------------------- * SEE INSTRUCTIONS BEFORE FILLING OUT!
- ---------------------------------------------------------- -------------------------------------- CUSIP NO. 715710109 13 G Page 8 of 10 - ---------------------------------------------------------- -------------------------------------- - ------------ --------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS William P. Wood - ------------ --------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - ------------ --------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------ --------------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION U.S. Citizen - ------------------------------------ -------- ------------------------------------------------------------------------ NUMBER OF 5 SOLE VOTING POWER SHARES 0 shares. BENEFICIALLY -------- ------------------------------------------------------------------------ OWNED BY EACH REPORTING 6 SHARED VOTING POWER 2,175,057 shares, of which 702,081 are shares directly owned by AV IV-A, and 1,472,976 are shares directly owned by AV IV-B. Wood is a general partner of AV IV, the general partner of AV IV-A and AV IV-B, and may be deemed to have shared voting power with respect to such shares. -------- ------------------------------------------------------------------------ 7 SOLE DISPOSITIVE POWER 0 shares. -------- ------------------------------------------------------------------------ 8 SHARED DISPOSITIVE POWER 2,175,057 shares, of which 702,081 are shares directly owned by AV IV-A, and 1,472,976 are shares directly owned by AV IV-B. Wood is a general partner of AV IV, the general partner of AV IV-A and AV IV-B, and may be deemed to have shared dispositive power with respect to such shares. - ------------------------------------ -------- ------------------------------------------------------------------------ 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,175,057 - ------------ --------------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - ------------ --------------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 16.14% - ------------ --------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - ------------ --------------------------------------------------------------------------------------------------------- * SEE INSTRUCTIONS BEFORE FILLING OUT!
Page 9 of 10 This Statement amends and restates the Statement on 13(G) (the "Original Statement") filed by Austin Ventures IV-A, L.P. ("AV IV-A"), Austin Ventures IV-B, L.P. (AV IV-B"), AV Partners IV, L.P. ("AV IV"), Joseph C. Aragona ("Aragona"), Kenneth P. DeAngelis ("DeAngelis"), Jeffrey C. Garvey ("Garvey"), and William P. Wood ("Wood"). The foregoing entities and individuals are collectively referred to as the "Reporting Persons". Only those items as to which there has been a change are included in this Statement ITEM 4. OWNERSHIP: The following information with respect to the ownership of the Common Stock of the issuer by the persons filing this Statement is provided as of December 31, 1998: (a) Amount beneficially owned: See Row 9 of cover page for each Reporting Person. (b) Percent of Class: See Row 11 of cover page for each Reporting Person. (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote: See Row 5 of cover page for each Reporting Person. (ii) Shared power to vote or to direct the vote: See Row 6 of cover page for each Reporting Person. (iii) Sole power to dispose or to direct the disposition of: See Row 7 of cover page for each Reporting Person. (iv) Shared power to dispose or to direct the disposition of: See Row 8 of cover page for each Reporting Person. Page 10 of 10 SIGNATURES 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. Dated: February 11, 1998 Austin Ventures IV-A, L.P. /s/ John Nicholson by AV Partners IV, L.P. ------------------------------------------ Its General Partner John Nicholson Chief Financial Officer/Attorney-In-Fact Austin Ventures IV-B, L.P. /s/ John Nicholson by AV Partners, IV, L.P., ------------------------------------------ Its General Partner John Nicholson Chief Financial Officer/Attorney-In-Fact AV Partners, IV, L.P. /s/ John Nicholson ------------------------------------------ John Nicholson Chief Financial Officer/Attorney-In-Fact Joseph C. Aragona /s/ Joseph C. Aragona ------------------------------------------ Joseph C. Aragona Kenneth P. DeAngelis /s/ Kenneth P. DeAngelis ------------------------------------------ Kenneth P. DeAngelis Jeffrey C. Garvey /s/ Jeffrey C. Garvey ------------------------------------------ Jeffrey C. Garvey William P. Wood /s/ William P. Wood ------------------------------------------ William P. Wood -----END PRIVACY-ENHANCED MESSAGE-----