-----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, NKZTxpxcBQQ2Pc/hDvLWaqMsfIHcqXl2fNpGL9+lun4GE8z4ZTm+JGxHPFf2stxQ 1PMqxEPwkN9Iv18Xu6xNjA== 0001047469-01-500034.txt : 20010808 0001047469-01-500034.hdr.sgml : 20010808 ACCESSION NUMBER: 0001047469-01-500034 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20010807 GROUP MEMBERS: ANDREW YOUNISS GROUP MEMBERS: JOHAN MAGNUSSON GROUP MEMBERS: MATTHEW KELLEY FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: ROCKET SOFTWARE INC CENTRAL INDEX KEY: 0001111173 STANDARD INDUSTRIAL CLASSIFICATION: TEXTILE MILL PRODUCTS [2200] FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: TWO APPLE HILL DRIVE CITY: NATICK STATE: MA ZIP: 01760 BUSINESS PHONE: 5086554321 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 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-48011 FILM NUMBER: 1700218 BUSINESS ADDRESS: STREET 1: 52 SECOND AVE CITY: BURLINGTON STATE: MA ZIP: 01803 BUSINESS PHONE: 6175472500 MAIL ADDRESS: STREET 1: 52 SECOND AVE CITY: BURLINGTON STATE: MA ZIP: 01803 SC 13D/A 1 a2056051zsc13da.txt SC13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1)* GENSYM CORPORATION (Name of Issuer) COMMON STOCK, PAR VALUE $.01 PER SHARE (Title of Class of Securities) 37245R107 (CUSIP Number) Johan Magnusson Rocket Software, Inc. 2 Apple Hill Drive Natick, MA 01760 508-652-2102 (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) JULY 27, 2001 (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(e), 13d-1(f) or 13d-1(g), check the following box [x]. NOTE: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Rule 13(d)(7) 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 disclosures provided in a prior cover page. The information required on 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). CUSIP No. 37245R107. - ------------------------------------------------------------------------------- 1. Names of Reporting Persons Rocket Software, Inc. I.R.S. Identification Nos. of Above Persons (I.R.S. Identification No. 04-3090800) - ------------------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (See Instructions) (a) [x] (b) [_] - ------------------------------------------------------------------------------- 3. SEC Use Only - ------------------------------------------------------------------------------- 4. Source of Funds (See Instructions) WC - ------------------------------------------------------------------------------- 5. Check Box If Disclosure of Legal Proceedings Is Required Pursuant [_] to Items 2(d) or 2(e) - ------------------------------------------------------------------------------- 6. Citizenship or Place of Organization Massachusetts - ------------------------------------------------------------------------------- Number of (7) Sole Voting Power None Shares --------------------------------------------------------- Beneficially (8) Shared Voting Power 200,000 shares - Owned by See Item 5(b) of Original Statement Each --------------------------------------------------------- Reporting (9) Sole Dispositive Power None Person With --------------------------------------------------------- (10) Shared Dispositive Power 200,000 shares - See Item 5(b) of Original Statement - ------------------------------------------------------------------------------- 11. Aggregate Amount Beneficially Owned 200,000 shares - by each Reporting Person See Item 5(b) of Original Statement - ------------------------------------------------------------------------------- 12. Check if the Aggregate Amount in Row (11) Excludes [_] Certain Shares - ------------------------------------------------------------------------------- 13. Percent of Class Represented by Amount in Row (11) 3.09% - ------------------------------------------------------------------------------- 14. Type of Reporting Person (See Instructions) CO - ------------------------------------------------------------------------------- CUSIP No. 37245R107. - ------------------------------------------------------------------------------- 1. Names of Reporting Persons Andrew Youniss I.R.S. Identification Nos. of Above Persons - ------------------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (See Instructions) (a) [x] (b) [_] - ------------------------------------------------------------------------------- 3. SEC Use Only - ------------------------------------------------------------------------------- 4. Source of Funds (See Instructions) AF, PF - ------------------------------------------------------------------------------- 5. Check Box If Disclosure of Legal Proceedings Is Required Pursuant [_] to Items 2(d) or 2(e) - ------------------------------------------------------------------------------- 6. Citizenship or Place of Organization United States - ------------------------------------------------------------------------------- Number of (7) Sole Voting Power 1,500 shares - Shares See Item 5(b) of Original Statement Beneficially -------------------------------------------------------- Owned by (8) Shared Voting Power 200,000 shares - Each See Item 5(b) of Original Statement Reporting --------------------------------------------------------- Person With (9) Sole Dispositive Power 1,500 shares - See Item 5(b) of Original Statement --------------------------------------------------------- (10) Shared Dispositive Power 200,000 shares - See Item 5(b) of Original Statement - ------------------------------------------------------------------------------- 11. Aggregate Amount Beneficially Owned 201,500 shares - by each Reporting Person See Item 5(b) of Original Statement - ------------------------------------------------------------------------------- 12. Check if the Aggregate Amount in Row (11) Excludes [_] Certain Shares - ------------------------------------------------------------------------------- 13. Percent of Class Represented by Amount in Row (11) 3.12 % - ------------------------------------------------------------------------------- 14. Type of Reporting Person (See Instructions) IN - ------------------------------------------------------------------------------- CUSIP No. 37245R107. - ------------------------------------------------------------------------------- 1. Names of Reporting Persons Johan Magnusson I.R.S. Identification Nos. of Above Persons - ------------------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (See Instructions) (a) [x] (b) [_] - ------------------------------------------------------------------------------- 3. SEC Use Only - ------------------------------------------------------------------------------- 4. Source of Funds (See Instructions) AF, PF - ------------------------------------------------------------------------------- 5. Check Box If Disclosure of Legal Proceedings Is Required Pursuant [_] to Items 2(d) or 2(e) - ------------------------------------------------------------------------------- 6. Citizenship or Place of Organization Sweden - ------------------------------------------------------------------------------- Number of (7) Sole Voting Power 335,600 shares - Shares See Item 5(b) of Original Statement Beneficially --------------------------------------------------------- Owned by (8) Shared Voting Power 200,000 shares - Each See Item 5(b) of Original Statement Reporting --------------------------------------------------------- Person With (9) Sole Dispositive Power 335,600 shares - See Item 5(b) of Original Statement --------------------------------------------------------- (10) Shared Dispositive Power 200,000 shares - See Item 5(b) of Original Statement - ------------------------------------------------------------------------------- 11. Aggregate Amount Beneficially Owned 535,600 shares - by each Reporting Person See Item 5(b) of Original Statement - ------------------------------------------------------------------------------- 12. Check if the Aggregate Amount in Row (11) Excludes [_] Certain Shares - ------------------------------------------------------------------------------- 13. Percent of Class Represented by Amount in Row (11) 8.28% - ------------------------------------------------------------------------------- 14. Type of Reporting Person (See Instructions) IN - ------------------------------------------------------------------------------- CUSIP No. 37245R107. - ------------------------------------------------------------------------------- 1. Names of Reporting Persons Matthew Kelley I.R.S. Identification Nos. of Above Persons - ------------------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (See Instructions) (a) [x] (b) [_] - ------------------------------------------------------------------------------- 3. SEC Use Only - ------------------------------------------------------------------------------- 4. Source of Funds (See Instructions) 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 United States - ------------------------------------------------------------------------------- Number of (7) Sole Voting Power None Shares --------------------------------------------------------- Beneficially (8) Shared Voting Power 200,000 shares - Owned by See Item 5(b) of Original Statement Each --------------------------------------------------------- Reporting (9) Sole Dispositive Power None Person With --------------------------------------------------------- (10) Shared Dispositive Power 200,000 shares - See Item 5(b) of Original Statement - ------------------------------------------------------------------------------- 11. Aggregate Amount Beneficially Owned 200,000 shares - by each Reporting Person See Item 5(b) of Original Statement - ------------------------------------------------------------------------------- 12. Check if the Aggregate Amount in Row (11) Excludes [_] Certain Shares - ------------------------------------------------------------------------------- 13. Percent of Class Represented by Amount in Row (11) 3.09% - ------------------------------------------------------------------------------- 14. Type of Reporting Person (See Instructions) IN - ------------------------------------------------------------------------------- The Statement on Schedule 13D dated July 27, 2001 (the "Original Statement"), by Rocket Software, Inc. ("Rocket"), Johan Magnusson, Andrew Youniss, and Matthew Kelley is hereby amended and supplemented as follows: ITEM 4. PURPOSE OF TRANSACTION. Item 4 of the Original Statement is hereby supplemented as follows: In anticipation of the negotiation and preparation of definitive documentation for a proposed loan transaction between Rocket and Gensym Corporation ("Gensym") as described in the proposal letter dated as of July 25, 2001, a copy of which was attached to the Original Statement as EXHIBIT C, Rocket advanced a loan to Gensym in the aggregate principal amount of $300,000 on July 27, 2001 for Gensym's immediate working capital needs. There can be no assurance that any definitive documentation will be negotiated or entered into. Rocket caused its legal counsel to send letters to Gensym relating to such $300,000 advance, copies of which are attached to this Amendment as EXHIBIT D and EXHIBIT E. Each of Rocket and the other reporting persons reserves the right to (i) dispose of all or some of the shares of Common Stock beneficially owned or held by it or him or acquire additional shares depending upon price and market conditions and the evaluation of alternative investments, (ii) change or rescind the plans or proposals described in EXHIBITS A and C to the Original Statement, or (iii) take any other action deemed necessary or appropriate. ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT TO SECURITIES OF THE ISSUER. Item 6 of the Original Statement is hereby supplemented as follows: EXHIBIT D Letter dated August 6, 2001 from Lucash, Gesmer & Updegrove, LLP, legal counsel to Rocket, to Gensym. EXHIBIT E Letter dated August 7, 2001 from Lucash, Gesmer & Updegrove, LLP, legal counsel to Rocket, to Gensym. SIGNATURE After reasonable inquiry and to the best of the undersigned's knowledge and belief, the undersigned certify that the information set forth in this statement is true, complete and correct. ROCKET SOFTWARE, INC. August 7, 2001 By: /s/ Andrew Youniss --------------------------- ------------------------------- (Date) Andrew Youniss, President August 7, 2001 /s/ Andrew Youniss --------------------------- ------------------------------- (Date) Andrew Youniss August 7, 2001 /s/ Johan Magnusson --------------------------- ------------------------------- (Date) Johan Magnusson August 7, 2001 /s/ Matthew Kelley --------------------------- ------------------------------- (Date) Matthew Kelley Exhibit D August 6, 2001 BY TELECOPY AND CERTIFIED MAIL RETURN RECEIPT REQUESTED Gensym Corporation 52 Second Avenue Burlington, MA, 01581 Attention: Lowell B. Hawkinson, Chief Executive Officer and President Re: $300,000 ADVANCE. Ladies and Gentlemen: We represent Rocket Software, Inc. ("Rocket"). In anticipation of the negotiation and preparation of definitive documentation for a proposed loan transaction between Rocket and Gensym Corporation ("Gensym") as described in the proposal letter dated as of July 25, 2001 between Rocket and Gensym, Rocket advanced a loan to Gensym, at Gensym's request, in the aggregate principal amount of $300,000 on July 27, 2001 for Gensym's immediate working capital needs. In the absence of any such definitive documentation or other agreement between Rocket and Gensym, such $300,000 loan will be due on demand by Rocket, together with appropriate interest thereon from July 31, 2001. There can be no assurance that any such definitive documentation will be negotiated or entered into. Rocket reserves the right at any time to change or rescind the plans or proposals described in the proposal letter dated as of July 23, 2001 from Rocket to Gensym, as supplemented by the proposal letter dated as of July 25, 2001 between Rocket and Gensym, or (iii) take any other action deemed necessary or appropriate. Rocket expressly reserves all of its rights and remedies. Please feel free to contact Peter Moldave or me at this firm if you have any questions regarding this letter. Very truly yours, Timothy M. Lindamood Cc: John Stone, Esq. Mr. Johan Magnusson Peter Moldave, Esq. EXHIBIT E [LUCASH, GESMER & UPDEGROVE LLP LETTERHEAD] August 7, 2001 BY TELECOPY AND CERTIFIED MAIL RETURN RECEIPT REQUESTED Gensym Corporation 52 Second Avenue Burlington, MA, 01581 Attention: Lowell B. Hawkinson, Chief Executive Officer and President Re: $300,000 ADVANCE; LINE OF CREDIT. -------------------------------- Ladies and Gentlemen: As you know, we represent Rocket Software, Inc. Representatives of Rocket were in attendance at yesterday's conference call regarding the current state of Gensym, and your announced intention to pursue a strategy to keep Gensym independent, and have directed us to inform you of the following. As noted in the proposal letters dated July 23 and July 25, 2001, the purpose of the Rocket loan and line of credit was to facilitate the negotiation of a business combination transaction between Rocket and Gensym. Rocket did not, and does not intend to provide funds for the ongoing operations of the company in absence of such negotiations. Rocket does not wish to prevent you from discussing a potential sale to parties other than Rocket. Rocket strongly believes, however, that the best course for all parties concerned would be a sale of the company. Accordingly, in light of your announced intentions to keep the company independent, we hereby notify you that Rocket does not to intend at this time to execute the proposed definitive loan documents being negotiated between the parties. In addition, Rocket hereby requires the immediate repayment of the $300,000 loan, together with appropriate interest thereon from July 31, 2001. We regret that it is necessary to take this step; however, in the absence of serious indications of interest on Gensym's part to proceed with an orderly sale of the company, we feel we have no other choice. Rocket is still willing, at this time, to negotiate and enter into a business combination transaction (including the proposed loan) on the terms Gensym Corporation August 7, 2001 Page 2 and conditions described in the proposal letters, but again, only once Gensym has taken serious affirmative steps to proceed with a sale transaction. Rocket reserves the right at any time to change or rescind the plans or proposals described above or take any other action deemed necessary or appropriate. Rocket expressly reserves all of its rights and remedies. Please feel free to contact me if you have any questions regarding this letter. Very truly yours, /s/ Peter M. Moldave Peter M. Moldave cc: John Stone, Esq. Mr. Johan Magnusson -----END PRIVACY-ENHANCED MESSAGE-----