-----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, Frik/bz/IPzSrzshDFSKFTC+QuNijyGjiXdiJwIpfXO159niBNkRFAlZatqXDU0P 9jfPwz4mdSWzzbqSbjO0tQ== 0000927016-01-000773.txt : 20010223 0000927016-01-000773.hdr.sgml : 20010223 ACCESSION NUMBER: 0000927016-01-000773 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20010214 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: SPEECHWORKS INTERNATIONAL INC CENTRAL INDEX KEY: 0001111345 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 043239151 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-60591 FILM NUMBER: 1538742 BUSINESS ADDRESS: STREET 1: 695 ATLANTIC AVE CITY: BOSTON STATE: MA ZIP: 02111 BUSINESS PHONE: 6174284444 MAIL ADDRESS: STREET 1: 695 ATLANTIC AVE CITY: BOSTON STATE: MA ZIP: 02111 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: PHILLIPS MICHAEL S CENTRAL INDEX KEY: 0001133644 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: C/O SPEECH WORKS INTERNATIONAL INC STREET 2: 695 ATLANTIC AVENUE CITY: BOSTON STATE: MA ZIP: 02111 BUSINESS PHONE: 6174284444 MAIL ADDRESS: STREET 1: C/O SPEECH WORKS INTERNATIONAL INC STREET 2: 695 ATLANTIC AVENUE CITY: BOSTON STATE: MA ZIP: 02111 SC 13G 1 0001.txt SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 0)* SpeechWorks International, Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock, par value $0.001 per share - -------------------------------------------------------------------------------- (Title of Class of Securities) 84764M - -------------------------------------------------------------------------------- (CUSIP Number) July 31, 2000 - -------------------------------------------------------------------------------- (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). SEC 1745 (6-00) Page 1 of 6 pages - ---------------------- ----------------- CUSIP NO. 84764M 13G Page 2 of 6 Pages - ---------------------- ----------------- - ------------------------------------------------------------------------------ NAMES OF REPORTING PERSONS 1 I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) Michael S. Phillips - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [_] (b) [_] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 U.S.A. - ------------------------------------------------------------------------------ SOLE VOTING POWER 5 1,582,431 (includes 28,750 shares of common stock NUMBER OF subject to options held by Mr. Phillips that are exercisable within 60 days of December 31, 2000) SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 6 0 OWNED BY ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7 1,582,431 (includes 28,750 shares of common stock REPORTING subject to options held by Mr. Phillips that are exercisable within 60 days of December 31, 2000) PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 8 0 - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 1,582,431 (includes 28,750 shares of common stock subject to options held by Mr. Phillips that are exercisable within 60 days of December 31, 2000) - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* 10 [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 5.2% (based upon 30,219,317 shares outstanding as of December 29, 2000 plus 28,750 shares of common stock subject to options held by Mr. Phillips that are exercisable within 60 days of December 31, 2000) - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* 12 IN - ------------------------------------------------------------------------------ Page 2 of 6 pages Item 1(a). Name of Issuer: --------------- SpeechWorks International, Inc. Item 1(b). Address of Issuer's Principal Executive Offices: ------------------------------------------------ 695 Atlantic Avenue, Boston, MA 02111 Item 2(a). Name of Person Filing: ---------------------- Michael S. Phillips Item 2(b). Address of Principal Business Office or, if None, Residence: ------------------------------------------------------------ c/o SpeechWorks International, Inc., 695 Atlantic Avenue, Boston, MA 02111 Item 2(c). Citizenship: ------------ U.S.A. Item 2(d). Title of Class of Securities: ----------------------------- Common Stock, par value $0.001 per share Item 2(e). CUSIP Number: ------------- 84764M Item 3. If This Statement is Filed Pursuant to Rule 13d-1(b), or 13d-2(b) or -------------------------------------------------------------------- (c), Check Whether the Person Filing is a: ------------------------------------------ (a) [ ] Broker or dealer registered under Section 15 of the Exchange Act. (b) [ ] Bank as defined in Section 3(a)(6) of the Exchange Act. (c) [ ] Insurance company as defined in Section 3(a)(19) of the Exchange Act. (d) [ ] Investment company registered under Section 8 of the Investment Company Act. (e) [ ] An investment adviser in accordance with Rule 13d- 1(b)(1)(ii)(E). (f) [ ] An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F). Page 3 of 6 pages (g) [ ] A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G). (h) [ ] A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act. (i) [ ] A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act. (j) [ ] Group, in accordance with Rule 13d-1(b)(1)(ii)(J). Item 4. Ownership --------- Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1. (a) Amount beneficially owned: 1,582,431 (includes 28,750 shares of common stock subject to options held by Mr. Phillips that are exercisable within 60 days of December 31, 2000) (b) Percent of class: 5.2% (based upon 30,219,317 shares outstanding as of December 29, 2000 plus 28,750 shares of common stock subject to options held by Mr. Phillips that are exercisable within 60 days of December 31, 2000) (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: 1,582,431 (includes 28,750 shares of common stock subject to options held by Mr. Phillips that are exercisable within 60 days of December 31, 2000) (ii) shared power to vote or to direct the vote: 0 (iii) sole power to dispose or to direct the disposition of: 1,582,431 (includes 28,750 shares of common stock subject to options held by Mr. Phillips that are exercisable within 60 days of December 31, 2000) (iv) shared power to dispose or to direct the disposition of: 0 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 [ ]. Page 4 of 6 pages 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. Page 5 of 6 pages 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. Date: February 12, 2001 /s/ Michael S. Phillips ------------------------------ Michael S. Phillips -----END PRIVACY-ENHANCED MESSAGE-----