-----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, PUFwTKB9gmMKRgEJtud88XneJ5haYb9pMUf25npRfFxzAIhGq79RGijp2ObAlC4A 9G5kyju9F1uhiAq/QpnhBg== 0000950135-97-000710.txt : 19970222 0000950135-97-000710.hdr.sgml : 19970222 ACCESSION NUMBER: 0000950135-97-000710 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970214 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: GENSYM CORP CENTRAL INDEX KEY: 0001005387 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 042932756 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-48011 FILM NUMBER: 97535080 BUSINESS ADDRESS: STREET 1: 125 CAMBRIDGE PARK DR CITY: CAMBRIDGE STATE: MA ZIP: 02140 BUSINESS PHONE: 6175472500 MAIL ADDRESS: STREET 1: 125 CAMBRIDGE PARK DR CITY: CAMBRIDGE STATE: MA ZIP: 02140 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: HAWKINSON LOWELL B CENTRAL INDEX KEY: 0001032336 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: C/O GENSYM CORP. STREET 2: 125 CAMBRIDGEPARK DRIVE CITY: CAMBRIDGE STATE: MA ZIP: 02140 BUSINESS PHONE: 6175472500 SC 13G 1 SCHEDULE 13G FOR LOWELL B HAWKINSON 1 SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 --------------------- SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No.___)* Gensym Corporation - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock, $.01 par value per share - -------------------------------------------------------------------------------- (Title of Class of Securities) 37245R 10 7 ---------------------------- (CUSIP Number) *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). 2 - --------------------------- --------------------------- CUSIP No. 759924 10 3 13G Page 2 of 5 ----------- --- --- - --------------------------- --------------------------- SCHEDULE 13G - -------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSONS S.S. OR I.R.S. IDENTIFICATION NUMBER OF ABOVE PERSONS Lowell B. Hawkinson - -------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP - Not Applicable - -------------------------------------------------------------------------------- 3. SEC USE ONLY - -------------------------------------------------------------------------------- 4. CITIZENSHIP OR PLACE OF ORGANIZATION United States - -------------------------------------------------------------------------------- 5. SOLE VOTING POWER 420,000 NUMBER OF ------------------------------------------------------ SHARES 6. SHARED VOTING POWER BENEFICIALLY OWNED BY 0 EACH ------------------------------------------------------ REPORTING 7. SOLE DISPOSITIVE POWER PERSON WITH: 420,000 ------------------------------------------------------ 8. SHARED DISPOSITIVE POWER 0 - -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON. 440,00; includes 12,000 shares held by trusts for the benefit of the Reporting Person's children and 8,000 shares held by the Reporting Person's spouse. Such shares are reported herein as beneficially owned by the Reporting Person pursuant to Rule 13d-3(a). The Reporting Person disclaims beneficial ownership of such shares pursuant to Rule 13d-4, and the filing of this statement shall not be construed as an admission that the Reporting Person is, for purposes of Section 13(d) or 13(g) of the securities Exchange Act of 1934, as amended, the benficial owner of such shares. - ------------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES. - -------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9. 7.1% - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON. IN - -------------------------------------------------------------------------------- 3 - --------------------------- --------------------------- CUSIP No. 759924 10 3 13G Page 3 of 5 ----------- --- --- - --------------------------- --------------------------- SCHEDULE 13G Item 1(a). Name of Issuer: --------------- Gensym Corporation Item 1(b). Address of Issuer's Principal Executive Offices: ------------------------------------------------ 125 CambridgePark Drive Cambridge, MA 02140 Item 2(a). Name of Person Filing: ---------------------- Lowell B. Hawkinson Item 2(b). Name of Principal Business Office or, if None, Residence: --------------------------------------------------------- 125 CambridgePark Drive Cambridge, MA 02140 Item 2(c). Citizenship: ------------ United States Item 2(d). Title of Class of Securities: ----------------------------- Common Stock, $.01 par value per share Item 2(e). CUSIP Number: ------------- 37245R 10 7 Item 3. If this statement is filed pursuant to Rules 13d-1(b), or --------------------------------------------------------- 13d-2(b), check whether the person filing is a: ----------------------------------------------- Not Applicable Item 4. Ownership (a) Amount Beneficially Owned: 440,000 4 - --------------------------- --------------------------- CUSIP No. 759924 10 3 13G Page 4 of 5 ----------- --- --- - --------------------------- --------------------------- SCHEDULE 13G Includes 12,000 shares held by trusts for the benefit of the Reporting Person's children and 8,000 shares held by the Reporting Person's spouse. Such shares are reported herein as beneficially owned by the Reporting Person pursuant to Rule 13d-3(a). The Reporting Person disclaims beneficial ownership of such shares pursuant to Rule 13d-4, and the filing of this statement shall not be construed as an admission that the Reporting Person is, for the purposes of Section 13(d) or 13(g) of the Securities Exchange Act of 1934, as amended, the beneficial owner of such shares. (b) Percent of Class: 7.1% (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: 420,000 (ii) shared power to vote or to direct the vote: 0 (iii) sole power to dispose or to direct the disposition of: 420,000 (iv) shared power to dispose or to direct the disposition of: 0 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 5 - --------------------------- --------------------------- CUSIP No. 759924 10 3 13G Page 5 of 5 ----------- --- --- - --------------------------- --------------------------- SCHEDULE 13G Item 7. Identification And Classification of the Subsidiary which Acquired ------------------------------------------------------------------ the Security Being Reported 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 By signing below I certify that, to the best of my 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 purposes or effect. 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. February 13, 1997 ------------------------------ Date /s/ Lowell B. Hawkinson ------------------------------ Signature Lowell B. Hawkinson ------------------------------ Name/Title -----END PRIVACY-ENHANCED MESSAGE-----