-----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, ChXTfkrFmeub+PMnPN2R2xLG70ox9S23fs+IAc9s538ORuHYw1AKhtc4sUZ1oB4g dqfRDtFN035HiysLB4zk4g== 0000950123-03-001006.txt : 20030207 0000950123-03-001006.hdr.sgml : 20030207 20030207095031 ACCESSION NUMBER: 0000950123-03-001006 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20030207 GROUP MEMBERS: D. BROOKS ZUG GROUP MEMBERS: EDWARD W. KANE FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: HARBOURVEST PARTNERS LLC CENTRAL INDEX KEY: 0001201001 IRS NUMBER: 043335829 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: ONE FINANCIAL CENTER CITY: BOSTON STATE: MA ZIP: 02111 BUSINESS PHONE: 6173483707 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: NETWORK ENGINES INC CENTRAL INDEX KEY: 0001110903 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 043064173 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-60611 FILM NUMBER: 03543554 BUSINESS ADDRESS: STREET 1: 25 DAN ROAD CITY: CANTON STATE: MA ZIP: 02021 BUSINESS PHONE: 7813321000 MAIL ADDRESS: STREET 1: 25 DAN ROAD CITY: CANTON STATE: MA ZIP: 02021 SC 13G/A 1 y83307asc13gza.txt AMENDMENT NO.1 TO SCHEDULE 13G ------------------------------ OMB APPROVAL UNITED STATES OMB NUMBER 3235-0145 SECURITIES AND EXCHANGE COMMISSION EXPIRES: FEBRUARY 15, 2000 WASHINGTON, D.C. 20549 ESTIMATED AVERAGE BURDEN HOURS PER RESPONSE . . . 14.90 ------------------------------ SCHEDULE 13G AMENDMENT NO. 1 UNDER THE SECURITIES EXCHANGE ACT OF 1934 NETWORK ENGINES, INC. - -------------------------------------------------------------------------------- (Name of Issuer) COMMON STOCK - -------------------------------------------------------------------------------- (Title of Class of Securities) 64121A107 - -------------------------------------------------------------------------------- (CUSIP Number) DECEMBER 31, 2002 - -------------------------------------------------------------------------------- (Date of Event Which Requires Filing of the 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). PAGE 1 OF 8 PAGES - ------------------- ----------------- CUSIP No. 64121A107 13G PAGE 2 OF 8 PAGES - ------------------- ----------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON HarbourVest Partners, LLC I.R.S. No. 04-3335829 - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] N/A - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER Number of Shares 5,890,926 Beneficially -------------------------------------------------------------- Owned by 6 SHARED VOTING POWER Each -0- Reporting -------------------------------------------------------------- Person With 7 SOLE DISPOSITIVE POWER 5,890,926 -------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER -0- - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 5,890,926 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* N/A - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 17.3% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IA - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! PAGE 2 OF 8 PAGES - ------------------- ------------------ CUSIP No. 64121A107 13G PAGE 3 OF 8 PAGES - ------------------- ------------------ - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON D. Brooks Zug - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] N/A - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION USA - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER Number of Shares -0- Beneficially -------------------------------------------------------------- Owned by 6 SHARED VOTING POWER Each 5,890,926 Reporting -------------------------------------------------------------- Person 7 SOLE DISPOSITIVE POWER With -0- -------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 5,890,926 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 5,890,926 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* N/A - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 17.3% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! PAGE 3 OF 8 PAGES - ------------------- ------------------ CUSIP No. 64121A107 13G PAGE 4 OF 8 PAGES - ------------------- ------------------ - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Edward W. Kane - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] N/A - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION USA - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER Number of Shares -0- Beneficially -------------------------------------------------------------- Owned by 6 SHARED VOTING POWER Each 5,890,926 Reporting -------------------------------------------------------------- Person 7 SOLE DISPOSITIVE POWER With -0- -------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 5,890,926 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 5,890,926 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* N/A - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 17.3% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! PAGE 4 OF 8 PAGES Item 1(a) Name of Issuer: Network Engines, Inc. Item 1(b) Address of Issuer's Principal Executive Offices: 25 Dan Road Canton, MA 02021 Item 2(a) Name of Person Filing: This filing is made on behalf of HarbourVest Partners, LLC ("HarbourVest"), Edward W. Kane ("Kane") and D. Brooks Zug ("Zug"). Item 2(b) Address of the Principal Offices: The principal business office of each reporting person is One Financial Center 44th floor, Boston, Massachusetts 02111. Item 2(c) Citizenship: HarbourVest is organized and exists under the laws of the State of Delaware. Kane and Zug are United States citizens. Item 2(d) Title of Class of Securities: Common Stock Item 2(e) CUSIP Number: 64121A107 Item 3 If the Statement is being filed pursuant to Rule 13d-1(b), or 13d-2(b), check whether the person filing is a: HarbourVest: (e) (X) Investment Adviser registered under Section 203 of the Investment Advisers Act of 1940. Kane: Not Applicable Zug: Not Applicable PAGE 5 OF 8 PAGES Item 4 Ownership: (a) Amount Beneficially Owned: HarbourVest has beneficial ownership of 5,890,926 shares of Common Stock. HarbourVest is the managing member of HarbourVest VI-Direct Associates LLC, which is the general partner of HarbourVest Partners VI-Direct Fund L.P. ("Fund VI"). Fund VI is the record and ultimate owner of 4,964,540 shares of Common Stock. HarbourVest is also the managing member of HVP V-Direct Associates LLC, which is the general partner of HarbourVest Partners V-Direct Fund L.P. ("Fund V"). Fund V is the record and ultimate owner of 926,386 shares of Common Stock. HarbourVest, in its capacity as managing member of the general partner of both Fund VI and Fund V, has the sole power to vote and dispose of the securities held by Fund VI and Fund V. Messrs. Kane and Zug are Managing Members of HarbourVest. As such, they share the voting control of HarbourVest. While neither of them owns of record any shares of Network Engines, Inc., as the result of their positions, Kane and Zug may be deemed to be beneficial owners of and to have the power to exercise or to direct the exercise of voting and/or dispositive power with respect to the shares reported herein. Messrs. Kane and Zug disclaim beneficial ownership over any of the reported securities which they may be deemed to beneficially own. (b) Percent of Class: 17.3% of the Common Stock. (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: HarbourVest has sole power to vote or to direct the vote of 5,890,926 shares of Common Stock. (ii) shared power to vote or to direct the vote: Kane and Zug share the power to vote 5,890,926 shares of common stock. (iii) sole power to dispose or to direct the disposition of: HarbourVest has sole power to dispose or to direct the disposition of 5,890,926 shares of Common Stock. (iv) shared power to dispose or to direct the disposition of: Kane and Zug share the power to dispose of 5,890,926 shares of common stock. Item 5 Ownership of Five Percent or Less of a Class: If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following. Item 6 Ownership of More than Five Percent on Behalf of Another Person: See Item 4 above. 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 a Group: Not applicable. Item 10 Certification: By signing below the undersigned certifies that, to the best of its knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purpose or effect. PAGE 6 OF 8 PAGES SIGNATURE After reasonable inquiry and to the best of its knowledge and belief, each of the undersigned certifies that the information set forth in this statement is true, complete and correct. Dated: February 7, 2003 HARBOURVEST PARTNERS, LLC By: /s/ Martha D. Vorlicek --------------------------- Name: Martha D. Vorlicek Title: Managing Director Dated: February 7, 2003 EDWARD W. KANE By: /s/ Edward W. Kane --------------------------- Name: Edward W. Kane Dated: February 7, 2003 D. BROOKS ZUG By: /s/ D. Brooks Zug --------------------------- Name: D. Brooks Zug The original statement shall be signed by each person on whose behalf the statement is filed or his authorized representative. If the statement is signed on behalf of a person by his authorized representative other than an executive officer or general partner of the filing person, evidence of the representative's authority to sign on behalf of such person shall be filed with the statement, provided, however, that a power of attorney for this purpose which is already on file with the Commission may be incorporated by reference. The name and any title of each person who signs the statement shall be typed or printed beneath his signature. Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Sec. 240.13d-7 for other parties for whom copies are to be sent. ATTENTION: INTENTIONAL MISSTATEMENTS OR OMISSIONS OF FACT CONSTITUTE FEDERAL CRIMINAL VIOLATIONS (SEE 18 U.S.C. 1001) PAGE 7 OF 8 PAGES EX-99.A 3 y83307aexv99wa.txt JOINT FILING AGREEMENT EXHIBIT A JOINT FILING AGREEMENT HarbourVest Partners, LLC, Edward W. Kane and D. Brooks Zug agree that the Schedule 13G, to which this Agreement is attached, relating to the Common Stock of Network Engines, Inc., is filed on behalf of each of them. Dated: February 7, 2003 HARBOUR VEST PARTNERS, LLC By: /s/ Martha D. Vorlicek --------------------------- Name: Martha D. Vorlicek Title: Managing Director Dated: February 7, 2003 EDWARD W. KANE By: /s/ Edward W. Kane --------------------------- Name: Edward W. Kane Dated: February 7, 2003 D. BROOKS ZUG By: /s/ D. Brooks Zug --------------------------- Name: D. Brooks Zug PAGE 8 OF 8 PAGES -----END PRIVACY-ENHANCED MESSAGE-----