-----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, E6CKs9u9Sp+ojoFavUtkFDIDrtUcdDjSR+GHOIEvbrcsLF5+uGUx23hXhz5cOvfa SJlAYxYn+lhGF4uEz0VBUQ== 0000906305-96-000020.txt : 19961113 0000906305-96-000020.hdr.sgml : 19961113 ACCESSION NUMBER: 0000906305-96-000020 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19961112 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: APPLIX INC /MA/ CENTRAL INDEX KEY: 0000932112 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 042781676 STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-47325 FILM NUMBER: 96658024 BUSINESS ADDRESS: STREET 1: 112 TURNPIKE RD CITY: WESTBORO STATE: MA ZIP: 01581 BUSINESS PHONE: 5088700300 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: DAWSON SAMBERG CAPITAL MANAGEMENT INC /CT CENTRAL INDEX KEY: 0000906305 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 061033494 STATE OF INCORPORATION: CT FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 354 PEQUOT AVE CITY: SOUTHPORT STATE: CT ZIP: 06490 BUSINESS PHONE: 2032540091 MAIL ADDRESS: STREET 1: 354 PEQUOT AVE CITY: SOUTHPORT STATE: CT ZIP: 06490 SC 13D/A 1 APPLIX,INC. THIS DOCUMENT IS A COPY OF THE AMENDMENT No. 3 TO THE ORIGINAL SCHEDULE 13D AND WAS FILED ON JULY 26, 1996 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 3) APPLIX, INC. (Name of Issuer) Common (Title of Class of Securities) 038316105 (CUSIP Number) Dawson-Samberg Capital Management, Inc., 354 Pequot Ave., Southport CT 06490 203/254-0091 (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) July 19, 1996 (Date of Event which Requires Filing of this Statement) If the filing person has previously filed a statement on Schedule 13G to report the acquisition which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(b)(3) or (4), check the following box o. Check the following box if a fee is being paid with this statement o. (A fee is not required only if the reporting person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of five percent or less of such class.) (See Rule 13d-7.) NOTE: Six copies of this statement, including all exhibits, should be filed with the Commission. See Rule 13d-1(a) for other parties to whom copies are to be sent. *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). 1 Name of Reporting Person DAWSON-SAMBERG CAPITAL MANAGEMENT, INC. IRS Identification No. of Above Person 06-1033494 2 Check the Appropriate Box if a Member of a Group (a) o (b) o 3 SEC USE ONLY 4 Source of Funds 00 5 Check Box if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) 6 Citizenship or Place of Organization CONNECTICUT 7 Sole Voting Power 103,734 NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH 8 Shared Voting Power 9 Sole Dispositive Power 103,734 10 Shared Dispositive Power 11 Aggregate Amount Beneficially Owned by Each Reporting Person 103,734 12 Check Box if the Aggregate Amount in Row 11 Excludes Certain Shares 13 Percent of Class Represented by Amount in Row 11 1.1 14 Type of Reporting Person IA 1 Name of Reporting Person PEQUOT GENERAL PARTNERS IRS Identification No. of Above Person 06-1321556 2 Check the Appropriate Box if a Member of a Group (a) o (b) o 3 SEC USE ONLY 4 Source of Funds AF 5 Check Box if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) 6 Citizenship or Place of Organization CONNECTICUT 7 Sole Voting Power 305,700 NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH 8 Shared Voting Power 9 Sole Dispositive Power 305,700 10 Shared Dispositive Power 11 Aggregate Amount Beneficially Owned by Each Reporting Person 305,700 12 Check Box if the Aggregate Amount in Row 11 Excludes Certain Shares 13 Percent of Class Represented by Amount in Row 11 3.3 14 Type of Reporting Person PN 1 Name of Reporting Person DS INTERNATIONAL PARTNERS, L.P. IRS Identification No. of Above Person 06-1324895 2 Check the Appropriate Box if a Member of a Group (a) o (b) o 3 SEC USE ONLY 4 Source of Funds AF 5 Check Box if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) 6 Citizenship or Place of Organization DELAWARE 7 Sole Voting Power 169,300 NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH 8 Shared Voting Power 9 Sole Dispositive Power 169,300 10 Shared Dispositive Power 11 Aggregate Amount Beneficially Owned by Each Reporting Person 169,300 12 Check Box if the Aggregate Amount in Row 11 Excludes Certain Shares 13 Percent of Class Represented by Amount in Row 11 1.8 14 Type of Reporting Person PN 1 Name of Reporting Person PEQUOT ENDOWMENT PARTNERS, L.P. IRS Identification No. of Above Person 06-1383498 2 Check the Appropriate Box if a Member of a Group (a) o (b) o 3 SEC USE ONLY 4 Source of Funds AF 5 Check Box if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) 6 Citizenship or Place of Organization DELAWARE 7 Sole Voting Power 98,000 NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH 8 Shared Voting Power 9 Sole Dispositive Power 98,000 10 Shared Dispositive Power 11 Aggregate Amount Beneficially Owned by Each Reporting Person 98,000 12 Check Box if the Aggregate Amount in Row 11 Excludes Certain Shares 13 Percent of Class Represented by Amount in Row 11 1.1 14 Type of Reporting Person PN ITEM 1. SECURITY AND ISSUER On December 27, 1994, the Reporting Persons filed a Schedule 13D relative to their holdings of 6.57% of the Common Stock of Applix, Inc. ("APLX"), a Massachusetts corporation. This Amendment Number 3 sets forth changes in the information previously filed. Each item with any change has been set forth herein in full. ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION As of the date hereof, the Reporting Persons beneficially own in the aggregate 676,734 Shares. Of the 676,734 Shares, 305,700 shares are owned by Pequot, 103,734 shares are held in managed accounts for which Dawson-Samberg acts as investment adviser, 169,300 shares are owned by Pequot International, and 98,000 shares are owned by Pequot Endowment. The 676,734 shares were purchased in open market transactions at an aggregate cost of $4,363,689. The funds for the purchase of Shares held by Pequot, Pequot Endowment, and Pequot International were obtained from the contributions of their various partners/shareholders. The funds for the acquisition of the Shares held by the managed accounts came from their own funds. ITEM 4. PURPOSE OF TRANSACTION The Shares held by the above-mentioned entities were acquired for, and are being held for, investment purposes. The acquisitions of the Shares described herein were made in the ordinary course of the Reporting Person's business or investment activities, as the case may be. The Reporting Person, on behalf of the above mentioned entities, reserves the right to purchase additional Shares or to dispose of the Shares in the open market or in privately negotiated transactions or in any other lawful manner in the future, including engaging in short sales of the Shares, and to take whatever action with respect to each of such entities' holdings of the Shares it deems to be in the best interests of such entities. ITEM 5. INTEREST IN SECURITIES OF THE ISSUER (a) Not Applicable (b) Not Applicable (c) As of the date hereof, the Reporting Persons beneficially own in the aggregate 676,734 Shares. These Shares represent approximately 7.33% of the 9,236,000 Shares believed to be outstanding. Dawson-Samberg has the sole power to vote, direct the vote, dispose and direct the disposition of the 103,734 Shares held in the managed accounts. Pequot General Partners has the sole power to vote, direct the vote, dispose and direct the disposition of the 305,700 Shares owned by Pequot. DS International Partners, L.P. has the sole power to vote, direct the vote, dispose and direct the disposition of the 169,300 Shares owned by Pequot International. Pequot Endowment Partners, L.P. has the sole power to vote, direct the vote, dispose and direct the disposition of the 98,000 Shares owned by Pequot Endowment. A description of the transactions of the Reporting Persons in the Shares that were effected during the past 60 days is set forth on Exhibit B. (d) Not Applicable (e) Not Applicable ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT TO SECURITIES OF THE ISSUER None ITEM 7. MATERIAL TO BE FILED AS EXHIBITS A copy of a written agreement relating to the filing of a joint statement as required by Rule 13d-1(f) under the Securities Exchange Act of 1934 is attached hereto as Exhibit A. THIS TABLE HAS BEEN SQUEEZED AS FAR AS IT CAN GO WITHOUT WORDS/## BREAKING UP. IF ATTY WANTS MORE INFO OR "MORE SPACE", HE'LL HAVE TO BUMP FONT TO SZ.8 AND/OR MAKE MARGINS THINNER. After a reasonable inquiry and to the best of my knowledge and belief, the undersigned certify that the information set forth in this statement is true, complete and correct. In accordance with Rule 101(a)(2)(ii) of Regulation S-T, attached hereto as Exhibit C is the text of the Amendment No. 2 that was filed by the Reporting Persons with the Commission on October 19,1995, Exhibit D is the text of the Amendment No. 1 that was filed by the Reporting Persons with the Commission on August 2, 1995, and Exhibit E is the text of the Original Schedule 13D that was filed by the Reporting Persons with the Commission on December 27, 1994. Dawson-Samberg Capital Management, Inc. By: /s/ Arthur J. Samberg Arthur J. Samberg, President Pequot General Partners By: /s/ Arthur J. Samberg Arthur J. Samberg, General Partner DS International Partners, L.P. By: /s Arthur J. Samberg Arthur J. Samberg, General Partner Pequot Endowment Partners, L.P. By: /s/ Arthur J. Samberg Arthur J. Samberg, General Partner July 26, 1996 EXHIBIT A AGREEMENT The undersigned agree that this Amendment Number 3 to Schedule 13D dated July 19, 1996 relating to the Shares of Applix, Inc. shall be filed on behalf of the undersigned. Dawson-Samberg Capital Management, Inc. By: /s/ Arthur J. Samberg Arthur J. Samberg, President Pequot General Partners By:/s/ Arthur J. Samberg Arthur J. Samberg, General Partner DS International Partners, L.P. By:/s/ Arthur J. Samberg Arthur J. Samberg, General Partner Pequot Endowment Partners, L.P. By: /s/ Arthur J. Samberg Arthur J. Samberg, General Partner
EXHIBIT B APPLIX, INC. SCHEDULE 13D COMMON STOCK, .0025 PAR VALUE CUSIP # 038316105 PEQUOT PEQUOT PEQUOT DAWSON PARTNERS INTERNATIONAL ENDOWMENT SAMBERG # OF SHARES FUND, L.P. FUND, LTD. FUND, L.P. CAPITAL MGMT TRADE PURCHASED TAX I.D. # TAX I.D. # TAX I.D. # TAX I.D. # DATE (SOLD) PRICE 22-2741859 FOREIGN CORP. 06-1388800 06-1033494 - -------- ------------ ------- ----------- -------------- ----------- ------------- 05/28/96 (14,300) 33.7065 0 (7,100) (4,900) (2,300) 05/28/96 (8,700) 33.7065 (8,500) 0 0 (200) 05/29/96 (16,500) 32.8575 0 (8,400) (5,500) (2,600) 05/29/96 (11,000) 32.8575 (10,600) 0 0 (400) 06/18/96 10,000 25.7500 3,700 3,100 2,200 1,000 06/19/96 17,500 27.7321 6,400 5,400 3,900 1,800 07/03/96 (15,700) 32.5313 0 (7,900) (5,500) (2,300) 07/03/96 (9,300) 32.5313 (9,100) 0 0 (200) 07/17/96 (2,500) 33.7500 (1,100) (700) (400) (300) 07/17/96 (7,500) 33.2083 (2,700) (2,400) (1,700) (700) 07/19/96 (21,700) 31.7500 (20,000) 0 0 (1,700) 07/19/96 (18,600) 32.7361 (17,200) 0 0 (1,400) 07/19/96 (28,300) 31.7500 0 (14,600) (8,600) (5,100) 07/19/96 (26,400) 32.7361 0 (13,200) (9,300) (3,900) 07/19/96 (5,000) 33.0000 0 (2,600) (1,700) (700) 07/19/96 (158,000) (59,100) (48,400) (31,500) (19,000)
THIS DOCUMENT IS A COPY OF AMENDMENT No. 2 THAT WAS FILED ON OCTOBER 19, 1995 EXHIBIT C ITEM 1. SECURITY AND ISSUER On December 27, 1994, the Reporting Persons filed a Schedule 13D relative to their holdings of 6.57% of the Common Stock of Applix, Inc. ("APLX"), a Massachusetts corporation. This Amendment Number 2 sets forth changes in the information previously filed. Each item with any change has been set forth herein in full. ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION As of the date hereof, the Reporting Persons beneficially own in the aggregate 413,061 Shares. Of the 413,061 Shares, 149,700 shares are owned by Pequot, 44,961 shares are held in managed accounts for which Dawson-Samberg acts as investment adviser, 138,800 shares are owned by Pequot International, and 79,600 shares are owned by Pequot Endowment. The 413,061 shares were purchased in open market transactions at an aggregate cost of $5,668,899. The funds for the purchase of Shares held by Pequot, Pequot Endowment, and Pequot International were obtained from the contributions of their various partners/shareholders. The funds for the acquisition of the Shares held by the managed accounts came from their own funds. ITEM 4. PURPOSE OF TRANSACTION The Shares held by the above-mentioned entities were made for investment purposes. ITEM 5. INTEREST IN SECURITIES OF THE ISSUER (a) Not Applicable (b) Not Applicable (c) As of the date hereof, the Reporting Persons beneficially own in the aggregate 413,061 Shares. These Shares represent approximately 8.95% of the 4,617,718 Shares believed to be outstanding. Dawson-Samberg has the sole power to vote, direct the vote, dispose and direct the disposition of the 44,961 Shares held in the managed accounts. Pequot General Partners has the sole power to vote, direct the vote, dispose and direct the disposition of the 149,700 Shares owned by Pequot. DS International Partners, L.P. has the sole power to vote, direct the vote, dispose and direct the disposition of the 138,800 Shares owned by Pequot International. Pequot Endowment Partners, L.P. has the sole power to vote, direct the vote, dispose and direct the disposition of the 79,600 Shares owned by Pequot Endowment. A description of the transactions of the Reporting Persons in the Shares that were effected during the past 60 days is set forth on Exhibit B. (d) Not Applicable (e) Not Applicable ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT TO SECURITIES OF THE ISSUER None ITEM 7. MATERIAL TO BE FILED AS EXHIBITS A copy of a written agreement relating to the filing of a joint statement as required by Rule 13d-1(f) under the Securities Exchange Act of 1934 is attached hereto as Exhibit A. THIS TABLE HAS BEEN SQUEEZED AS FAR AS IT CAN GO WITHOUT WORDS/## BREAKING UP. IF ATTY WANTS MORE INFO OR "MORE SPACE", HE'LL HAVE TO BUMP FONT TO SZ.8 AND/OR MAKE MARGINS THINNER. After a reasonable inquiry and to the best of my knowledge and belief, the undersigned certify that the information set forth in this statement is true, complete and correct. Dawson-Samberg Capital Management, Inc. By: /s/ Arthur J. Samberg Arthur J. Samberg, President Pequot General Partners By: /s/ Arthur J. Samberg Arthur J. Samberg, General Partner DS International Partners, L.P. By: /s Arthur J. Samberg Arthur J. Samberg, General Partner Pequot Endowment Partners, L.P. By: /s/ Arthur J. Samberg Arthur J. Samberg, General Partner October 19,1995 EXHIBIT A AGREEMENT The undersigned agree that this Amendment Number 2 to Schedule 13D dated October 19, 1995 relating to the Shares of Applix, Inc. shall be filed on behalf of the undersigned. Dawson-Samberg Capital Management, Inc. By: /s/ Arthur J. Samberg Arthur J. Samberg, President Pequot General Partners By:/s/ Arthur J. Samberg Arthur J. Samberg, General Partner DS International Partners, L.P. By:/s/ Arthur J. Samberg Arthur J. Samberg, General Partner Pequot Endowment Partners, L.P. By: /s/ Arthur J. Samberg Arthur J. Samberg, General Partner
EXHIBIT B APPLIX, INC. SCHEDULE 13D COMMON STOCK, .0025 PAR VALUE CUSIP # 038316105 PEQUOT PEQUOT PEQUOT DAWSON PARTNERS INTERNATIONAL ENDOWMENT SAMBERG # OF SHARES FUND, L.P. FUND, LTD. FUND, L.P. CAPITAL MGMT TRADE PURCHASED TAX I.D. # TAX I.D. # TAX I.D. # TAX I.D. # DATE (SOLD) PRICE 22-2741859 FOREIGN CORP. 06-1388800 06-1033494 - -------------- ------------ ------- ---------- ------------- ---------- ------------ TOTAL SHARES @ 07/26/95 346,861 123,700 114,200 73,100 35,861 ------------ ---------- ------------- ---------- ------------ 07/28/95 5,000 28.5000 1,800 1,700 900 600 08/02/95 10,000 26.6250 5,000 3,000 0 2,000 08/07/95 10,000 27.0000 2,800 5,300 0 1,900 08/08/95 3,600 26.7500 2,200.00 800.00 0.00 600 08/14/95 2,600 27.7500 0 0 2,600 0 10/02/95 10,000 19.8750 3,100 3,000 3,000 900 10/09/95 25,000 20.5000 11,100 10,800 0 3,100 ------------ ---------- ------------- ---------- ------------ 66,200 26,000 24,600 6,500 9,100 TOTAL SHARES @ 10/09/95 413,061 149,700 138,800 79,600 44,961 ------------ ---------- ------------- ---------- ------------
THIS DOCUMENT IS A COPY OF AMENDMENT No. 1 THAT WAS FILED ON AUGUST 2, 1995 EXHIBIT D ITEM 1. SECURITY AND ISSUER On December 27, 1994, the Reporting Persons filed a Schedule 13D relative to their holdings of 6.57% of the Common Stock of Applix, Inc. ("APLX"), a Massachusetts corporation. This Amendment Number 1 sets forth changes in the information previously filed. Each item with any change has been set forth herein in full. ITEM 2. IDENTITY AND BACKGROUND This statement is being filed on behalf of Dawson-Samberg Capital Management, Inc. ("Dawson-Samberg"), a Connecticut corporation, Pequot General Partners, a Connecticut partnership, Pequot Endowment Partners, L.P., a Delaware partnership and DS International Partners, L.P., a Delaware partnership (collectively, the "Reporting Persons"). The principal business of Dawson-Samberg, an investment adviser registered under the Investment Advisers Act of 1940, is to act as investment adviser to certain managed accounts. The principal shareholders at Dawson-Samberg are Messrs. Jonathan T. Dawson and Arthur J. Samberg. The sole business of Pequot General Partners is to serve as the general partner of Pequot Partners Fund, L.P. ("Pequot"), a limited partnership formed under the laws of Delaware to invest and trade primarily in securities and financial instruments. Messrs. Dawson and Samberg are general partners of Pequot General Partners. The sole business of Pequot Endowment Partners, L.P. is to serve as the investment manager of Pequot Endowment Fund,L.P. ("Pequot Endowment"), a partnership formed under the laws of Delaware to invest and trade primarily in securities and financial instruments. Messrs. Dawson and Samberg are general partners of Pequot Endowment Partners, L.P. The sole business of DS International Partners, L.P. is to serve as the investment manager of Pequot International Fund, Inc. ("Pequot International") a corporation formed under the laws of British Virgin Islands to invest and trade primarily in securities and financial instruments. Messrs. Dawson and Samberg are general partners of DS International Partners, L.P. The business address of the Reporting Persons is 354 Pequot Avenue, Southport, CT 06490. None of the Reporting Persons, their respective General Partners, officers, directors or controlling persons have, during the last five years, been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors None of the Reporting Persons, their respective General Partners, officers, directors or controlling persons have, during the last five years, been a party to a civil proceeding of a judicial or administrative body of competent jurisdiction which resulted in a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to federal or state securities laws or finding any violation with respect to such laws. ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION As of the date hereof, the Reporting Persons beneficially own in the aggregate 346,861 Shares. Of the 346,861 Shares, 123,700 shares are owned by Pequot, 35,861 Shares are held in managed accounts for which Dawson-Samberg acts as investment adviser, 114,200 Shares are owned by Pequot International, and 73,100 Shares are owned by Pequot Endowment. The 346,861 Shares were purchased in open market transactions at an aggregate cost of $4,110,293. The funds for the purchase of Shares held by Pequot, Pequot Endowment, and Pequot International were obtained from the contributions of their various partners/shareholders. The funds for the acquisition of the Shares held by the managed accounts came from their own funds. ITEM 4. PURPOSE OF TRANSACTION The acquisition of Shares described herein were made for investment purposes. ITEM 5. INTEREST IN SECURITIES OF THE ISSUER (a) Not Applicable (b) Not Applicable (c) As of the date hereof, the Reporting Persons beneficially own in the aggregate 346,861 Shares. These Shares represent approximately 7.645% of the 4,543,000 Shares believed to be outstanding. Dawson-Samberg has the sole power to vote, direct the vote, dispose and direct the disposition of the 35,861 Shares held in the managed accounts. Pequot General Partners has the sole power to vote, direct the vote, dispose and direct the disposition of the 123,700 Shares owned by Pequot. DS International Partners, L.P. has the sole power to vote, direct the vote, dispose and direct the disposition of the 114,200 Shares owned by Pequot International. Pequot Endowment Partners, L.P. has the sole power to vote, direct the vote, dispose and direct the disposition of the 73,100 Shares owned by Pequot Endowment. A description of the transactions of the Reporting Persons in the Shares that were effected during the past 60 days is set forth on Exhibit B. (d) Not Applicable (e) Not Applicable ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT TO SECURITIES OF THE ISSUER None ITEM 7. MATERIAL TO BE FILED AS EXHIBITS A copy of a written agreement relating to the filing of a joint statement as required by Rule 13d-1(f) under the Securities Exchange Act of 1934 is attached hereto as Exhibit A. THIS TABLE HAS BEEN SQUEEZED AS FAR AS IT CAN GO WITHOUT WORDS/## BREAKING UP. IF ATTY WANTS MORE INFO OR "MORE SPACE", HE'LL HAVE TO BUMP FONT TO SZ.8 AND/OR MAKE MARGINS THINNER. After a reasonable inquiry and to the best of my knowledge and belief, the undersigned certify that the information set forth in this statement is true, complete and correct. Dawson-Samberg Capital Management, Inc. By: /s/ Arthur J. Samberg Arthur J. Samberg, President Pequot General Partners By: /s/ Arthur J. Samberg Arthur J. Samberg, General Partner DS International Partners, L.P. By: /s Arthur J. Samberg Arthur J. Samberg, General Partner Pequot Endowment Partners, L.P. By: /s/ Arthur J. Samberg Arthur J. Samberg, General Partner August 2,1995 EXHIBIT A AGREEMENT The undersigned agree that this Amendment Number 1 to Schedule 13D dated August 2 1995 relating to the Shares of Applix, Inc. shall be filed on behalf of the undersigned. Dawson-Samberg Capital Management, Inc. By: /s/ Arthur J. Samberg Arthur J. Samberg, President Pequot General Partners By:/s/ Arthur J. Samberg Arthur J. Samberg, General Partner DS International Partners, L.P. By:/s/ Arthur J. Samberg Arthur J. Samberg, General Partner Pequot Endowment Partners, L.P. By: /s/ Arthur J. Samberg Arthur J. Samberg, General Partner
EXHIBIT B APPLIX, INC. SCHEDULE 13D COMMON STOCK, .0025 PAR VALUE CUSIP # 038316105 PEQUOT PEQUOT PEQUOT DAWSON PARTNERS INTERNATIONAL ENDOWMENT SAMBERG # OF SHARES FUND, L.P. FUND, LTD. FUND, L.P. CAPITAL MGMT TRADE PURCHASED TAX I.D. # TAX I.D. # TAX I.D. # TAX I.D. # DATE (SOLD) PRICE 22-2741859 FOREIGN CORP. 06-1388800 06-1033494 - -------------- ------------ ------- ---------- ------------- ---------- ------------- TOTAL SHARES @ 01/01/95 327,261 112,600 105,200 64,300 45,161 ------------ ---------- ------------- ---------- ------------- 06/22/95 (5,400) 22.0000 0 0 0 (5,400) 07/03/95 (800) 25.8750 0 0 0 (800) 07/03/95 7,000 25.8750 0 0 7,000 (7,000) 07/03/95 (4,500) 25.8750 0 0 0 (4,500) 07/03/95 (400) 25.8750 0 0 0 (400) 07/03/95 (300) 25.8750 0 0 0 (300) 07/03/95 (1,000) 25.8750 0 0 0 (1,000) 07/19/95 2,500 25.3750 1,100 900 200 300 07/26/95 22,500 30.3056 10,000 8,100 1,600 2,800 ------------ ---------- ------------- ---------- ------------- 19,600 11,100 9,000 8,800 (9,300) TOTAL SHARES @ 07/26/95 346,861 123,700 114,200 73,100 35,861 ------------ ---------- ------------- ---------- -------------
THIS DOCUMENT IS A COPY OF THE ORIGINAL SCHEDULE 13D THAT WAS FILED ON DECEMBER 27, 1994 EXHIBIT E ITEM 1. SECURITY AND ISSUER This statement relates to the Common Stock, par value .0025, (the "Shares"), of Applix, Inc. ("APLX"), a Massachusetts corporation."), a Massachusetts corporation. APLX's principal executive office is located at 112 Turnpike Road, Westboro, MA 01581-2831. ITEM 2. IDENTITY AND BACKGROUND This statement is being filed on behalf of Dawson-Samberg Capital Management, Inc. ("Dawson-Samberg"), a Connecticut corporation, Pequot General Partners, a Connecticut partnership, and DS International Partners, L.P., a Delaware partnership (collectively, the "Reporting Persons"). The principal business of Dawson-Samberg, an investment adviser registered under the Investment Advisers Act of 1940, is to act as investment adviser to certain managed accounts. The principal shareholders at Dawson-Samberg are Messrs. Jonathan T. Dawson and Arthur J. Samberg. The sole business of Pequot General Partners is to serve as the general partner of Pequot Partners Fund, L.P. ("Pequot"), a limited partnership formed under the laws of Delaware to invest and trade primarily in securities and financial instruments. Messrs. Dawson and Samberg are general partners of Pequot General Partners. The sole business of DS International Partners, L.P. is to serve as the investment manager of Pequot International Fund, Inc. ("Pequot International") a corporation formed under the laws of British Virgin Islands to invest and trade primarily in securities and financial instruments. Messrs. Dawson and Samberg are general partners of DS International Partners, L.P. The business address of the Reporting Persons is 354 Pequot Avenue, Southport, CT 06490. None of the Reporting Persons, their respective General Partners, officers, directors or controlling persons have, during the last five years, been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors None of the Reporting Persons, their respective General Partners, officers, directors or controlling persons have, during the last five years, been a party to a civil proceeding of a judicial or administrative body of competent jurisdiction which resulted in a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to federal or state securities laws or finding any violation with respect to such laws. ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION As of the date hereof, the Reporting Persons beneficially own in the aggregate 291,400 Shares. Of the 291,400 Shares, 98,300 shares are owned by Pequot, 102,000 Shares are held in managed accounts for which Dawson-Samberg acts as investment adviser, and 91,100 Shares are owned by Pequot International. The 291,400 Shares were purchased in open market transactions at an aggregate cost of $2,944,529. The funds for the purchase of Shares held by Pequot and Pequot International were obtained from the contributions of their various partners/shareholders. The funds for the acquisition of the Shares held by the managed accounts came from their own funds. ITEM 4. PURPOSE OF TRANSACTION The acquisition of Shares described herein were made for investment purposes. ITEM 5. INTEREST IN SECURITIES OF THE ISSUER (a) Not Applicable (b) Not Applicable (c) As of the date hereof, the Reporting Persons beneficially own in the aggregate 291,400 Shares. These Shares represent approximately 6.57% of the 4,432,569 Shares believed to be outstanding. Dawson-Samberg has the sole power to vote, direct the vote, dispose and direct the disposition of the 102,000 Shares held in the managed accounts. Pequot General Partners has the sole power to vote, direct the vote, dispose and direct the disposition of the 98,300 Shares owned by Pequot. DS International Partners, L.P. has the sole power to vote, direct the vote, dispose and direct the disposition of the 91,100 Shares owned by Pequot International. A description of the transactions of the Reporting Persons in the Shares that were effected during the past 60 days is set forth below: Trade Date Number of Shares Price Per Share 12/09/94 Buy 189,500 $10.04 12/09/94 Sale (80,000) 10.12 12/12/94 Buy 150,000 10.18 12/13/96 Buy 31,900 10.18 (d) Not Applicable (e) Not Applicable ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT TO SECURITIES OF THE ISSUER None ITEM 7. MATERIAL TO BE FILED AS EXHIBITS A copy of a written agreement relating to the filing of a joint statement as required by Rule 13d-1(f) under the Securities Exchange Act of 1934 is attached hereto as Exhibit A. THIS TABLE HAS BEEN SQUEEZED AS FAR AS IT CAN GO WITHOUT WORDS/## BREAKING UP. IF ATTY WANTS MORE INFO OR "MORE SPACE", HE'LL HAVE TO BUMP FONT TO SZ.8 AND/OR MAKE MARGINS THINNER. Dawson-Samberg Capital Management, Inc. By: /s/ Arthur J. Samberg Arthur J. Samberg, President Pequot General Partners By: /s/ Arthur J. Samberg Arthur J. Samberg, General Partner DS International Partners, L.P. By: /s Arthur J. Samberg Arthur J. Samberg, General Partner EXHIBIT A AGREEMENT The undersigned agree that this Schedule 13D dated December 27, 1994 relating to the Shares of Applix, Inc. shall be filed on behalf of the undersigned. Dawson-Samberg Capital Management, Inc. By: /s/ Arthur J. Samberg Arthur J. Samberg, President Pequot General Partners By:/s/ Arthur J. Samberg Arthur J. Samberg, General Partner DS International Partners, L.P. By:/s/ Arthur J. Samberg Arthur J. Samberg, General Partner -----END PRIVACY-ENHANCED MESSAGE-----