-----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, W1fvtT2dAiI6HmA0Le9q0FK2z45qL2e1RsjQy1GAGLB6XF8aG0YnNOjCYRysHrqm 0v4EsooNkhPNYJ8XSkHoGg== 0000927016-02-000966.txt : 20020414 0000927016-02-000966.hdr.sgml : 20020414 ACCESSION NUMBER: 0000927016-02-000966 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20020214 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: SPEECHWORKS INTERNATIONAL INC CENTRAL INDEX KEY: 0001111345 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 043239151 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-60591 FILM NUMBER: 02546993 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 FILING VALUES: FORM TYPE: SC 13G/A 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/A 1 dsc13ga.txt SC 13 G/A SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 --------------------- SCHEDULE 13G/A (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 RULE 13d-2(b) (Amendment No. 1) SpeechWorks International, Inc. ------------------------------ (Name of Issuer) Common Stock, par value $.001 per share --------------------------------------- (Title of Class of Securities) 8764M 10 1 ----------------- (CUSIP Number) --------------------------------- (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) - --------------------- --------------------- CUSIP No. 8764M 10 1 13G Page 2 of 6 Pages - --------------------- --------------------- - -------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Michael S. Phillips - -------------------------------------------------------------------------------- (a) [_] 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* Inapplicable (b) [_] - -------------------------------------------------------------------------------- 3. SEC USE ONLY - -------------------------------------------------------------------------------- 4. CITIZENSHIP OR PLACE OF ORGANIZATION United States of America - -------------------------------------------------------------------------------- 5. SOLE VOTING POWER 1,574,431 NUMBER OF ------------------------------------------------ SHARES 6. SHARED VOTING POWER BENEFICIALLY ---- OWNED BY ------------------------------------------------ EACH 7. SOLE DISPOSITIVE POWER REPORTING 1,574,431 PERSON ------------------------------------------------ WITH 8. SHARED DISPOSITIVE POWER ---- - -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,574,431 shares (includes 43,750 shares of Common Stock subject to options held by Mr. Phillips that are exercisable within 60 days of December 31, 2001). - -------------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES [_] CERTAIN SHARES* - -------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 4.9% - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! CUISIP No. 8764M 10 1 13G Page 3 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: Mr. Michael S. Phillips c/o SpeechWorks International, Inc. 695 Atlantic Avenue Boston, MA 02111 Item 2(c). Citizenship: United States of America Item 2(d). Title of Class of Securities: Common Stock, par value $.001 per share Item 2(e). CUSIP Number: 8764M 10 1 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: Inapplicable 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: - ---------- * As of December 31, 2001 CUISIP No. 8764M 10 1 13G Page 4 of 6 Pages 1,574,431 shares (includes 43,750 shares of Common Stock subject to options held by Mr. Phillips that are exercisable within 60 days of December 31, 2001) (b) Percent of class: 4.9% (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote: 1,574,431 (ii) Shared power to vote or to direct the vote: 0 (iii) Sole power to dispose or to direct the disposition of: 1,574,431 (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 [X]. Item 6. Ownership of More than Five Percent on Behalf of Another Person. Inapplicable Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person. Inapplicable Item 8. Identification and Classification of Members of the Group. Inapplicable CUISIP No. 8764M 10 1 13G Page 5 of 6 Pages Item 9. Notice of Dissolution of Group. Inapplicable Item 10. Certifications. Inapplicable CUISIP No. 8764M 10 1 13G Page 6 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. /s/ Michael S. Phillips ---------------------------------- Michael S. Phillips February 13, 2002 ---------------------------------- Date -----END PRIVACY-ENHANCED MESSAGE-----