-----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, Qgxsv1kbzZh3uw8gjCRSsYE8+HhM7sOmTcEPn7ZIgqceg8YAZUoQPq/74MUcr+39 Op4rEopCZTyoQ83/K+/COg== 0000950134-04-004757.txt : 20040406 0000950134-04-004757.hdr.sgml : 20040406 20040406132444 ACCESSION NUMBER: 0000950134-04-004757 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20040406 GROUP MEMBERS: MERCURY FUND IV LTD GROUP MEMBERS: MERCURY FUND V LTD GROUP MEMBERS: MERCURY MANAGEMENT LLC GROUP MEMBERS: MERCURY VENTURES LTD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: DOCUMENT SCIENCES CORP CENTRAL INDEX KEY: 0001016831 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 330485994 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-49433 FILM NUMBER: 04719862 BUSINESS ADDRESS: STREET 1: 6339 PASEO DEL LAGO CITY: CARLSBAD STATE: CA ZIP: 92009 BUSINESS PHONE: 7606021400 MAIL ADDRESS: STREET 1: 6339 PASEO DEL LAGO CITY: CARLSBAD STATE: CA ZIP: 92009 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: HOWE KEVIN C CENTRAL INDEX KEY: 0001209253 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 2707 HIBERNIA CITY: DALLAS STATE: TX ZIP: 75204 BUSINESS PHONE: 214 522 7909 SC 13G 1 d14272sc13g.htm SCHEDULE 13G sc13g
 

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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

SCHEDULE 13G

Under the Securities Exchange Act of 1934
(Amendment No. )*

Document Sciences Corporation

(Name of Issuer)

Common Stock, $0.001 par value

(Title of Class of Securities)

25614R105

(Cusip Number)

February 27, 2004

(Date of Event Which Requires Filing of this Statement)

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

        o Rule 13d-1 (b)

        x Rule 13d-1 (c)

        o 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 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).

 

 

             
13G
CUSIP No. 25614R105 Page 2 of 12
  1. Name of Reporting Person:
Mercury Fund IV, Ltd. 		I.R.S. Identification Nos. of above persons (entities only):
11-3669642
  2. Check the Appropriate Box if a Member of a Group:
    (a) x  
    (b) o  
  3. SEC Use Only:
  4. Citizenship or Place of Organization:
Texas
Number of
Shares
Beneficially
Owned by
Each Reporting
Person With
5. Sole Voting Power:
129,778(1)
6. Shared Voting Power:
-0-
7. Sole Dispositive Power:
129,778(1)
8.Shared Dispositive Power:
-0-
  9.Aggregate Amount Beneficially Owned by Each Reporting Person:
129,778(1)
  10.Check if the Aggregate Amount in Row (9) Excludes Certain Shares:
o
  11.Percent of Class Represented by Amount in Row (9):
4.0%(2)
  12.Type of Reporting Person:
PN
(1)   Kevin C. Howe (“Mr. Howe”) exercises voting and disposition power over such shares on behalf of Mercury Management, L.L.C. (“Mercury Management”), the General Partner of Mercury Ventures, Ltd. (“Mercury Ventures”), which is the General Partner of Mercury Fund IV, Ltd. (“Mercury IV”).
 
(2)   Assumes a total of 3,252,974 shares of common stock outstanding, based on Document Sciences Corporation’s Definitive Proxy Statement filed on March 29, 2004.

 

 

             
13G
CUSIP No. 25614R105 Page 3 of 12
  1. Name of Reporting Person:
Mercury Fund V, Ltd. 		I.R.S. Identification Nos. of above persons (entities only):
27-0073981
  2. Check the Appropriate Box if a Member of a Group:
    (a) x  
    (b) o  
  3. SEC Use Only:
  4. Citizenship or Place of Organization:
Texas
Number of
Shares
Beneficially
Owned by
Each Reporting
Person With
5. Sole Voting Power:
105,023(1)
6. Shared Voting Power:
-0-
7. Sole Dispositive Power:
105,023 (1)
8.Shared Dispositive Power:
-0-
  9.Aggregate Amount Beneficially Owned by Each Reporting Person:
105,023 (1)
  10.Check if the Aggregate Amount in Row (9) Excludes Certain Shares:
o
  11.Percent of Class Represented by Amount in Row (9):
3.2%(2)
  12.Type of Reporting Person:
PN
(1)   Mr. Howe exercises voting and disposition power over such shares on behalf of Mercury Management, the General Partner of Mercury Ventures, which is the General Partner of Mercury Fund V, Ltd. (“Mercury V”).
 
(2)   Assumes a total of 3,252,974 shares of common stock outstanding, based on Document Sciences Corporation’s Definitive Proxy Statement filed on March 29, 2004.

 

             
13G
CUSIP No. 25614R105 Page 4 of 12
  1. Name of Reporting Person:
Mercury Ventures, Ltd. 		I.R.S. Identification Nos. of above persons (entities only):
75-2796235
  2. Check the Appropriate Box if a Member of a Group:
    (a) x  
    (b) o  
  3. SEC Use Only:
  4. Citizenship or Place of Organization:
Texas
Number of
Shares
Beneficially
Owned by
Each Reporting
Person With
5. Sole Voting Power:
234,801(1)
6. Shared Voting Power:
-0-
7. Sole Dispositive Power:
234,801(1)
8.Shared Dispositive Power:
-0-
  9.Aggregate Amount Beneficially Owned by Each Reporting Person:
234,801(1)
  10.Check if the Aggregate Amount in Row (9) Excludes Certain Shares:
o
  11.Percent of Class Represented by Amount in Row (9):
7.2%(2)
  12.Type of Reporting Person:
PN
(1)   Mr. Howe exercises voting and disposition power over such shares on behalf of Mercury Management, the General Partner of Mercury Ventures, which is the General Partner of Mercury IV and Mercury V. Includes 129,778 shares owned by Mercury IV and 105,023 shares owned by Mercury V.
 
(2)   Assumes a total of 3,252,974 shares of common stock outstanding, based on Document Sciences Corporation’s Definitive Proxy Statement filed on March 29, 2004, of which 4.0% are owned by Mercury IV and 3.2% are owned by Mercury V.

 

             
13G
CUSIP No. 25614R105 Page 5 of 12
  1. Name of Reporting Person:
Mercury Management, L.L.C. 		I.R.S. Identification Nos. of above persons (entities only):
75-2796232
  2. Check the Appropriate Box if a Member of a Group:
    (a) x  
    (b) o  
  3. SEC Use Only:
  4. Citizenship or Place of Organization:
Texas
Number of
Shares
Beneficially
Owned by
Each Reporting
Person With
5. Sole Voting Power:
234,801 (1)
6. Shared Voting Power:
-0-
7. Sole Dispositive Power:
234,801 (1)
8.Shared Dispositive Power:
-0-
  9.Aggregate Amount Beneficially Owned by Each Reporting Person:
234,801 (1)
  10.Check if the Aggregate Amount in Row (9) Excludes Certain Shares:
o
  11.Percent of Class Represented by Amount in Row (9):
7.2%(2)
  12.Type of Reporting Person:
OO
(1)   Mr. Howe exercises voting and disposition power over such shares on behalf of Mercury Management, the General Partner of Mercury Ventures, which is the General Partner of Mercury IV and Mercury V. Includes 129,778 shares owned by Mercury IV and 105,023 shares owned by Mercury V.
 
(2)   Assumes a total of 3,252,974 shares of common stock outstanding, based on Document Sciences Corporation’s Definitive Proxy Statement filed on March 29, 2004, of which 4.0% are owned by Mercury IV and 3.2% are owned by Mercury V.

 

             
13G
CUSIP No. 25614R105 Page 6 of 12
  1. Name of Reporting Person:
Kevin C. Howe		 I.R.S. Identification Nos. of above persons (entities only):
  2. Check the Appropriate Box if a Member of a Group:
    (a) x  
    (b) o  
  3. SEC Use Only:
  4. Citizenship or Place of Organization:
United States
Number of
Shares
Beneficially
Owned by
Each Reporting
Person With
5. Sole Voting Power:
234,801 (1)
6. Shared Voting Power:
-0-
7. Sole Dispositive Power:
234,801 (1)
8.Shared Dispositive Power:
-0-
  9.Aggregate Amount Beneficially Owned by Each Reporting Person:
234,801 (1)
  10.Check if the Aggregate Amount in Row (9) Excludes Certain Shares:
o
  11.Percent of Class Represented by Amount in Row (9):
7.2%(2)
  12.Type of Reporting Person:
IN
(1)   Mr. Howe exercises voting and disposition power over such shares on behalf of Mercury Management, the General Partner of Mercury Ventures, which is the General Partner of Mercury IV and Mercury V. Includes 129,778 shares owned by Mercury IV and 105,023 shares owned by Mercury V.
 
(2)   Assumes a total of 3,252,974 shares of common stock outstanding, based on Document Sciences Corporation’s Definitive Proxy Statement filed on March 29, 2004, of which 4.0% are owned by Mercury IV and 3.2% are owned by Mercury V.

 

 

CUSIP No. 25614R105   Page 7 of 12

Introduction

     Pursuant to Rule 13d-1(k)(1) of the Securities Exchange Act of 1934, Mercury Fund IV, Ltd. (“Mercury IV”), Mercury Fund V, Ltd. (“Mercury V”), Mercury Ventures, Ltd. (“Mercury Ventures”), Mercury Management, L.L.C. (“Mercury Management”) and Kevin C. Howe (“Mr. Howe”) are making this joint filing on Schedule 13G.

     
Item 1(a).
  Name of Issuer:
 
    
  Document Sciences Corporation, a Delaware corporation
     
Item 1(b).
  Address of Issuer’s Principal Executive Offices:
 
    
  6339 Paseo del Lago, Carlsbad, California 92009
     
Item 2(a).
  Name of Person Filing:
 
    
  Mercury Fund IV, Ltd.
 
    
  Mercury Fund V, Ltd.
 
    
  Mercury Ventures, Ltd.
 
    
  Mercury Management, L.L.C.
 
    
  Kevin C. Howe
     
Item 2(b).
  Address of Principal Business Office or, if None, Residence:
 
    
  The principal business office of Mercury IV, Mercury V, Mercury Ventures, Mercury Management and Mr. Howe is 5416 Arbor Hollow, McKinney, Texas 75070
     
Item 2(c).
  Citizenship:
 
    
  Mercury IV’s place of organization is Texas
 
    
  Mercury V’s place of organization is Texas
 
    
  Mercury Ventures’ place of organization is Texas
 
    
  Mercury Management’s place of organization is Texas
 
    
  Mr. Howe is a citizen of the United States
     
Item 2(d).
  Title of Class of Securities:
 
    
  Common Stock, $0.001 par value per share
     
Item 2(e).
  CUSIP Number:
 
    
  25614R105

 

 

CUSIP No. 25614R105   Page 8 of 12
     
Item 3.
  If this statement is filed pursuant to Rules 13d-1(b), or 13d-2(b) or (c), check whether the person filing is a:
 
    
  Not Applicable.
     
Item 4.
  Ownership as of March 31, 2004:
                 
Mercury IV            
    (a)   Amount beneficially owned:   129,778(1)
 
                
    (b)   Percent of class:   4.0%(2)
 
                
    (c)   Number of shares as to which the person has:    
 
                
      (i)   Sole power to vote or direct the vote   129,778(1)
 
                
      (ii)   Shared power to vote or direct the vote   -0-
 
                
      (iii)   Sole power to dispose or to direct the disposition of   129,778 (1)
 
                
      (iv)   Shared power to dispose or to direct the disposition of   -0-

(1)   Mr. Howe exercises voting and disposition power over such shares on behalf of Mercury Management, the General Partner of Mercury Ventures, which is the General Partner of Mercury IV.
 
(2)   Assumes a total of 3,252,974 shares of common stock outstanding, based on Document Sciences Corporation’s Definitive Proxy Statement filed on March 29, 2004.

 

 

CUSIP No. 25614R105   Page 9 of 12
                 
Mercury V            
    (a)   Amount beneficially owned:   105,023(1)
 
                
    (b)   Percent of class:   3.2%(2)
 
                
    (c)   Number of shares as to which the person has:    
 
                
      (i)   Sole power to vote or direct the vote   105,023(1)
 
                
      (ii)   Shared power to vote or direct the vote   -0-
 
                
      (iii)   Sole power to dispose or to direct the disposition of   105,023(1)
 
                
      (iv)   Shared power to dispose or to direct the disposition of   -0-

(1)   Mr. Howe exercises voting and disposition power over such shares on behalf of Mercury Management, the General Partner of Mercury Ventures, which is the General Partner of Mercury V.
 
(2)   Assumes a total of 3,252,974 shares of common stock outstanding, based on Document Sciences Corporation’s Definitive Proxy Statement filed on March 29, 2004.
                 
Mercury Ventures        
 
                
    (a)   Amount beneficially owned:   234,801(1)
 
                
    (b)   Percent of class:   7.2%(2)
 
                
    (c)   Number of shares as to which the person has:    
 
                
      (i)   Sole power to vote or direct the vote   234,801(1)
 
                
      (ii)   Shared power to vote or direct the vote   -0-
 
                
      (iii)   Sole power to dispose or to direct the disposition of   234,801(1)
 
                
      (iv)   Shared power to dispose or to direct the disposition of   -0-

((1)   Mr. Howe exercises voting and disposition power over such shares on behalf of Mercury Management, the General Partner of Mercury Ventures, which is the General Partner of Mercury IV and Mercury V. Includes 129,778 shares owned by Mercury IV and 105,023 shares owned by Mercury V.
 
(2)   Assumes a total of 3,252,974 shares of common stock outstanding, based on Document Sciences Corporation’s Definitive Proxy Statement filed on March 29, 2004, of which 4.0% are owned by Mercury IV and 3.2% are owned by Mercury V.

 

 

CUSIP No. 25614R105   Page 10 of 12
                 
Mercury Management    
 
                
    (a)   Amount beneficially owned:   234,801(1)
 
                
    (b)   Percent of class:   7.2%(2)
 
                
    (c)   Number of shares as to which the person has:    
 
                
      (i)   Sole power to vote or direct the vote   234,801(1)
 
                
      (ii)   Shared power to vote or direct the vote   -0-
 
                
      (iii)   Sole power to dispose or to direct the disposition of   234,801(1)
 
                
      (iv)   Shared power to dispose or to direct the disposition of   -0-

(1)   Mr. Howe exercises voting and disposition power over such shares on behalf of Mercury Management, the General Partner of Mercury Ventures, which is the General Partner of Mercury IV and Mercury V. Includes 129,778 shares owned by Mercury IV and 105,023 shares owned by Mercury V.
 
(2)   Assumes a total of 3,252,974 shares of common stock outstanding, based on Document Sciences Corporation’s Definitive Proxy Statement filed on March 29, 2004, of which 4.0% are owned by Mercury IV and 3.2% are owned by Mercury V.
                 
Mr. Howe    
 
                
    (a)   Amount beneficially owned:   234,801(1)
 
                
    (b)   Percent of class:   7.2%(2)
 
                
    (c)   Number of shares as to which the person has:    
 
                
      (i)   Sole power to vote or direct the vote   234,801(1)
 
                
      (ii)   Shared power to vote or direct the vote   -0-
 
                
      (iii)   Sole power to dispose or to direct the disposition of   234,801(1)
 
                
      (iv)   Shared power to dispose or to direct the disposition of   -0-

(1)   Mr. Howe exercises voting and disposition power over such shares on behalf of Mercury Management, the General Partner of Mercury Ventures, which is the General Partner of Mercury IV and Mercury V. Includes 129,778 shares owned by Mercury IV and 105,023 shares owned by Mercury V.
 
(2)   Assumes a total of 3,252,974 shares of common stock outstanding, based on Document Sciences Corporation’s Definitive Proxy Statement filed on March 29, 2004, of which 4.0% are owned by Mercury IV and 3.2% are owned by Mercury V.
     
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.
 
    
  Not Applicable.

 

 

CUSIP No. 25614R105   Page 11 of 12
     
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:
 
    
  The following lists each member of the group filing this Schedule 13G pursuant to Rule 13d-1(c):
 
    
  Mercury Fund IV, Ltd.
 
    
  Mercury Fund V, Ltd.
 
    
  Mercury Ventures, Ltd.
 
    
  Mercury Management, L.L.C.
 
    
  Kevin C. Howe
     
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 not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.

[Remainder of Page Intentionally Left Blank]

 

 

CUSIP No. 25614R105   Page 12 of 12

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.

                 
April 2, 2004   MERCURY FUND IV, LTD.
 
                
    By:   MERCURY VENTURES, LTD.
        General Partner
 
                
        By:   MERCURY MANAGEMENT, L.L.C.
            General Partner
 
                
          By:   /s/ Kevin C. Howe
          Name:   Kevin C. Howe
          Title:   Manager
 
                
 
                
April 2, 2004   MERCURY FUND V, LTD.
 
                
    By:   MERCURY VENTURES, LTD.
        General Partner
 
                
        By:   MERCURY MANAGEMENT, L.L.C.
            General Partner
 
                
          By:   /s/ Kevin C. Howe
             
          Name:   Kevin C. Howe
          Title:   Manager
 
                
 
                
April 2, 2004   MERCURY VENTURES, LTD.
 
                
    By:   MERCURY MANAGEMENT, L.L.C.
        General Partner
 
                
        By:   /s/ Kevin C. Howe
           
        Name:   Kevin C. Howe
        Title:   Manager
 
                
 
                
April 2, 2004   MERCURY MANAGEMENT, L.L.C.
 
                
    By:   /s/ Kevin C. Howe
    Name:   Kevin C. Howe
    Title:   Manager
 
                
 
                
April 2, 2004   /s/ Kevin C. Howe
    Name: Kevin C. Howe

 

 

EXHIBIT A
JOINT FILING AGREEMENT

 

 

SCHEDULE 13G
JOINT FILING AGREEMENT

     This Agreement is dated as of April 2, 2004 by and between Mercury Fund IV, Ltd. (“Mercury IV”), Mercury Fund V, Ltd. (“Mercury V”), Mercury Ventures, Ltd. (“Mercury Ventures”), Mercury Management, L.L.C. (“Mercury Management”) and Kevin C. Howe (“Mr. Howe”).

     WHEREAS, pursuant to paragraph (k)(1) of Rule 13d-1 promulgated under Section 13d(1) of the Securities Exchange Act of 1934, as amended (the “Act”), the parties hereto have decided to satisfy their filing obligations under the Act by a single joint filing.

     NOW, THEREFORE, the undersigned do hereby agree as follows:

     1. The Schedule 13G (the “Schedule 13G”) with respect to Document Sciences Corporation, a Delaware corporation, to which this Agreement is attached as Exhibit A is filed on behalf of Mercury IV, Mercury V, Mercury Ventures, Mercury Management and Mr. Howe. Mercury IV, Mercury V, Mercury Ventures and Mercury Management hereby authorize Mr. Howe to file the Schedule 13G on their behalf.

     2. Each of Mercury IV, Mercury V, Mercury Ventures, Mercury Management and Mr. Howe is responsible for the completeness and accuracy of the information concerning such person or entity contained therein; provided that each person or entity is not responsible for the completeness or accuracy of the information concerning any other person or entity making such filing.

[Remainder of Page Intentionally Left Blank]

 

 

     IN WITNESS WHEREOF, the undersigned hereunto set their hands as of the date first above written.

                 
    MERCURY FUND IV, LTD.
 
                
    By:   MERCURY VENTURES, LTD.
        General Partner
 
                
        By:   MERCURY MANAGEMENT, L.L.C.
            General Partner
 
                
          By:   /s/ Kevin C. Howe
          Name:   Kevin C. Howe
          Title:   Manager
 
                
    MERCURY FUND V, LTD.
 
                
    By:   MERCURY VENTURES, LTD.
        General Partner
 
                
        By:   MERCURY MANAGEMENT, L.L.C.
            General Partner
 
                
          By:   /s/ Kevin C. Howe
          Name:   Kevin C. Howe
          Title:   Manager
 
                
    MERCURY VENTURES, LTD.
 
                
    By:   MERCURY MANAGEMENT, L.L.C.
        General Partner
 
                
        By:   /s/ Kevin C. Howe
        Name:   Kevin C. Howe
        Title:   Manager
 
                
    MERCURY MANAGEMENT, L.L.C.
 
                
    By:   /s/ Kevin C. Howe
    Name:   Kevin C. Howe
    Title:   Manager
 
                
    /s/ Kevin C. Howe
    Name: Kevin C. Howe

 

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