-----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, VIdwQJRUhiihDTwx8SEJenzlHQ1ghr1x9sAnWXyfw6SMAfa0yO88wOr46Zmqfnwj 68ZloMH4dQKvAdlMBPMd1A== 0000950135-00-000808.txt : 20000215 0000950135-00-000808.hdr.sgml : 20000215 ACCESSION NUMBER: 0000950135-00-000808 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20000214 GROUP MEMBERS: ANDREW W. VERHALEN GROUP MEMBERS: MATRIX IV ENTREPRENEURS FUND, L.P. GROUP MEMBERS: MATRIX IV MANAGEMENT CO., L.P. GROUP MEMBERS: MATRIX PARTNERS IV L P ET AL SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: PHONE COM INC CENTRAL INDEX KEY: 0001082506 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 943219054 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-57801 FILM NUMBER: 542754 BUSINESS ADDRESS: STREET 1: 800 CHESAPEAKE DRIVE CITY: REDWOOD CITY STATE: CA ZIP: 94063 BUSINESS PHONE: 6505620200 MAIL ADDRESS: STREET 1: 800 CHESAPEAKE DRIVE CITY: REDWOOD CITY STATE: CA ZIP: 94063 FORMER COMPANY: FORMER CONFORMED NAME: UNWIRED PLANET INC DATE OF NAME CHANGE: 19990324 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: MATRIX PARTNERS IV L P ET AL CENTRAL INDEX KEY: 0001030677 STANDARD INDUSTRIAL CLASSIFICATION: [] STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 1000 WINTER STREET STREET 2: SUITE 4500 CITY: WALTHAM STATE: MA ZIP: 02154 BUSINESS PHONE: 6178902244 MAIL ADDRESS: STREET 1: 1000 WINTER STREET STREET 2: SUITE 4500 CITY: WALTHAM STATE: MA ZIP: 02154 SC 13G 1 MATRIX PARTNERS IV, L.P. 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Phone.com, Inc. (Name of Issuer) Common Stock, $.001 par value per share (Title of Class of Securities) 71920Q 10 0 (CUSIP Number) December 31, 1999 (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 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). POTENTIAL PERSONS WHO ARE TO RESPOND TO THE COLLECTION OF INFORMATION CONTAINED IN THIS FORM ARE NOT REQUIRED TO RESPOND UNLESS THE FORM DISPLAYS A CURRENTLY VALID OMB CONTROL NUMBER. 2 CUSIP No. 71920Q 10 0 ________________________________________________________________________________ 1. NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY). Matrix Partners IV, L.P. (04-3260303) ________________________________________________________________________________ 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [_] (b) [_] ________________________________________________________________________________ 3. SEC USE ONLY ________________________________________________________________________________ 4. CITIZENSHIP OR PLACE OF ORGANIZATION Delaware ________________________________________________________________________________ NUMBER OF 5. SOLE VOTING POWER SHARES -4,821,658- _________________________________________________________________ BENEFICIALLY 6. SHARED VOTING POWER OWNED BY -0- _________________________________________________________________ EACH 7. SOLE DISPOSITIVE POWER REPORTING -4,821,658- _________________________________________________________________ PERSON 8. SHARED DISPOSITIVE POWER WITH: -0- ________________________________________________________________________________ 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON -4,821,658- ________________________________________________________________________________ 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions) [_] ________________________________________________________________________________ 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 7.06% ________________________________________________________________________________ 12. TYPE OF REPORTING PERSON (See Instructions) PN ________________________________________________________________________________ Page 2 of 8 pages 3 CUSIP No. 71920Q 10 0 ________________________________________________________________________________ 1. NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY). Matrix IV Entrepreneurs Fund, L.P. (04-3293062) ________________________________________________________________________________ 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [_] (b) [_] ________________________________________________________________________________ 3. SEC USE ONLY ________________________________________________________________________________ 4. CITIZENSHIP OR PLACE OF ORGANIZATION Delaware ________________________________________________________________________________ NUMBER OF 5. SOLE VOTING POWER SHARES -258,318- _________________________________________________________________ BENEFICIALLY 6. SHARED VOTING POWER OWNED BY -0- _________________________________________________________________ EACH 7. SOLE DISPOSITIVE POWER REPORTING -258,318- _________________________________________________________________ PERSON 8. SHARED DISPOSITIVE POWER WITH: -0- ________________________________________________________________________________ 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON -258,318- ________________________________________________________________________________ 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions) [_] ________________________________________________________________________________ 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.38% ________________________________________________________________________________ 12. TYPE OF REPORTING PERSON (See Instructions) PN ________________________________________________________________________________ Page 3 of 8 pages 4 CUSIP No. 71920Q 10 0 ________________________________________________________________________________ 1. NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY). Matrix IV Management Co., L.P. (04-3260294) ________________________________________________________________________________ 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [_] (b) [_] ________________________________________________________________________________ 3. SEC USE ONLY ________________________________________________________________________________ 4. CITIZENSHIP OR PLACE OF ORGANIZATION Delaware ________________________________________________________________________________ NUMBER OF 5. SOLE VOTING POWER SHARES -5,079,976- _________________________________________________________________ BENEFICIALLY 6. SHARED VOTING POWER OWNED BY -0- _________________________________________________________________ EACH 7. SOLE DISPOSITIVE POWER REPORTING -5,079,976- _________________________________________________________________ PERSON 8. SHARED DISPOSITIVE POWER WITH: -0- ________________________________________________________________________________ 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON -5,079,976- ________________________________________________________________________________ 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions) [_] ________________________________________________________________________________ 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 7.44% ________________________________________________________________________________ 12. TYPE OF REPORTING PERSON (See Instructions) PN ________________________________________________________________________________ Page 4 of 8 pages 5 CUSIP No. 71920Q 10 0 ________________________________________________________________________________ 1. NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Andrew W. Verhalen (###-##-####) ________________________________________________________________________________ 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [_] (b) [_] ________________________________________________________________________________ 3. SEC USE ONLY ________________________________________________________________________________ 4. CITIZENSHIP OR PLACE OF ORGANIZATION United States ________________________________________________________________________________ NUMBER OF 5. SOLE VOTING POWER SHARES 5,093,590 _________________________________________________________________ BENEFICIALLY 6. SHARED VOTING POWER OWNED BY -0- _________________________________________________________________ EACH 7. SOLE DISPOSITIVE POWER REPORTING -5,093,590- _________________________________________________________________ PERSON 8. SHARED DISPOSITIVE POWER WITH: -0- ________________________________________________________________________________ 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON -5,093,590- ________________________________________________________________________________ 10. CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) [_] ________________________________________________________________________________ 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 7.46% ________________________________________________________________________________ 12. TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) IN ________________________________________________________________________________ Page 5 of 8 pages 6 CUSIP No. 71920Q 10 0 Item 1(a) Name of Issuer: Phone.com, Inc. Item 1(b) Address of Issuer's Principal Executive Offices: 800 Chesapeake Street Redwood City, CA 94063 Item 2(a) Name of Person Filing: Matrix Partners IV, L.P. ("Matrix IV"); Matrix IV Entrepreneurs Fund, L.P. ("Entrepreneurs", and together with Matrix IV, the "Partnerships"); Matrix IV Management Co., L.P. ("Management"), the general partner of each of the Partnerships; and Andrew W. Verhalen ("Verhalen") the general partner of Management who has sole voting and dispositive authority with respect to shares of Phone.com, Inc. held of record by the Partnerships. Item 2(b) Address of Principal Business Office or, if none, Residence: The address of the reporting persons is: 1000 Winter Street, Suite 4500 Waltham, MA 02451 Item 2(c) Citizenship: Matrix IV is a limited partnership organized under the laws of the State of Delaware. Entrepreneurs is a limited partnership organized under the laws of the State of Delaware. Management is a limited partnership organized under the laws of the State of Delaware. Mr. Verhalen is a citizen of the United States. Item 2(d) Title of Class of Securities: Common Stock, par value $.001 per share (the "Common Stock"). Item 2(e) CUSIP Number: 71920Q 10 0 Item 3 Description of Person Filing: Not applicable. Item 4 Ownership(1): (a) Amount Beneficially Owned: Matrix IV is the record holder of 4,821,658 shares of Common Stock and may be deemed to beneficially own the 4,821,658 shares of Common Stock held of record by it. Entrepreneurs is the record holder of 258,318 shares of Common Stock and may be deemed to beneficially own the 258,318 shares of Common Stock held of record by it. Management, as general partner of the Partnerships, - ------------------------ 1 As of December 31, 1999. Page 6 of 8 pages 7 CUSIP No. 71920Q 10 0 may be deemed to beneficially own the 5,079,976 shares of Common Stock held of record by the Partnerships. Mr. Verhalen, as the general partner who has sole voting and dispositive authority with respect to shares of Phone.com, Inc. held of record by the Partnerships, may be deemed to beneficially own the 5,079,976 shares of Common Stock held of record by the Partnerships and 13,614 shares held in his name. The filing of this statement shall not be construed as an admission that any of the reporting persons are, for the purpose of Section 13(d) or 13(g) of the Act, the beneficial owners of any securities covered under this statement. (b) Percent of Class: Matrix IV: 7.06% Entrepreneurs: 0.38% Management: 7.44% Verhalen: 7.46% (c) Number of Shares as to which the person has: (i) sole voting power; (ii) shared voting power; (iii) sole dispositive power; (iv) shared dispositive power: Matrix IV may be deemed to have sole power to vote and dispose of 4,821,658 shares of Common Stock held of record by it. Entrepreneurs may be deemed to have sole power to vote and dispose of 258,318 shares of Common Stock held of record by it. Management, as general partner of the Partnerships, may be deemed to have sole power to vote and dispose of 5,079,976 shares of Common Stock held of record by the Partnerships. Mr. Verhalen, as general partner who has sole voting and dispositive authority with respect to shares of Phone.com, Inc. held of record by the Partnerships, may be deemed to have sole power 5,079,590 shares of Common Stock held of record by the Partnerships and 13,614 shares held in his name. 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: Page 7 of 8 pages 8 CUSIP No. 71920Q 10 0 SIGNATURE After reasonable inquiry and to the best of the knowledge and belief of each of the undersigned, each of the undersigned hereby certifies that the information set forth in this statement is true, complete and correct. DATED: February 10, 2000 MATRIX PARTNERS IV, L.P. By: Matrix IV Management Co., L.P. General Partner By: /s/ Andrew W. Verhalen ------------------------- Andrew W. Verhalen General Partner MATRIX IV ENTREPRENEURS FUND, L.P. By: Matrix IV Management Co., L.P. General Partner By: /s/ Andrew W. Verhalen ------------------------- Andrew W. Verhalen General Partner MATRIX IV MANAGEMENT CO., L.P. By: /s/ Andrew W. Verhalen ------------------------- Andrew W. Verhalen General Partner /s/ Andrew W. Verhalen ------------------------- Andrew W. Verhalen Page 8 of 8 pages EX-99.1 2 JOINT FILING AGREEMENT 1 CUSIP No. 71920Q 10 0 Exhibit I AGREEMENT Pursuant to Rule 13d-1(f)(1) under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree that only one statement containing the information required by Schedule 13G need be filed with respect to the ownership by each of the undersigned of the shares of Common Stock of Phone.com, Inc. EXECUTED as a sealed instrument this 10th day of February, 2000. MATRIX PARTNERS V, L.P. By: Matrix IV Management Co., L.P. General Partner MATRIX IV ENTREPRENEURS FUND, L.P. By: Matrix IV Management Co., L.P. General Partner By: /s/ Andrew W. Verhalen ------------------------- Andrew W. Verhalen General Partner MATRIX IV MANAGEMENT CO., L.P. By: /s/ Andrew W. Verhalen ------------------------- Andrew W. Verhalen General Partner /s/ Andrew W. Verhalen ------------------------- Andrew W. Verhalen -----END PRIVACY-ENHANCED MESSAGE-----