-----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, Ee5ZKn+j7Pd7y1w7Z+yGHtu3TLetAqX9ZqhbCVogHxcf4BaEcxgC0vNytaV4LB6d ar1Ol1+/telstwDrGQEGrg== 0000912057-01-004736.txt : 20010214 0000912057-01-004736.hdr.sgml : 20010214 ACCESSION NUMBER: 0000912057-01-004736 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20010213 GROUP MEMBERS: ASCENT VENTURE MANAGEMENT II, L.P. GROUP MEMBERS: ASCENT VENTURE MANAGEMENT III, LLC GROUP MEMBERS: ASCENT VENTURE MANAGEMENT SBIC CORP. GROUP MEMBERS: ASCENT VENTURE MANAGEMENT, LLC GROUP MEMBERS: ASCENT VENTURE PARTNERS II, L.P. GROUP MEMBERS: ASCENT VENTURE PARTNERS III, L.P. GROUP MEMBERS: ASCENT VENTURE PARTNERS LP GROUP MEMBERS: ASCENT VENTURE PARTNERS, L.P. GROUP MEMBERS: CHRISTOPHER W. DICK GROUP MEMBERS: CHRISTOPHER W. LYNCH GROUP MEMBERS: FRANK M. POLESTRA GROUP MEMBERS: LEIGH E. MICHL SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: NETWORK ENGINES INC CENTRAL INDEX KEY: 0001110903 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 043064173 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-60611 FILM NUMBER: 1536179 BUSINESS ADDRESS: STREET 1: 25 DAN ROAD CITY: CANTON STATE: MA ZIP: 02021 BUSINESS PHONE: 7813321000 MAIL ADDRESS: STREET 1: 25 DAN ROAD CITY: CANTON STATE: MA ZIP: 02021 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: ASCENT VENTURE PARTNERS LP CENTRAL INDEX KEY: 0001134377 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 043458591 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: C/O ASCENT VENTURE MANAGEMENT INC STREET 2: 255 STATE STREET 5TH FLOOR CITY: BOSTON STATE: MA ZIP: 02109 BUSINESS PHONE: 6177209400 MAIL ADDRESS: STREET 1: C/O ASCENT VENTURE MANAGEMENT INC STREET 2: 255 STATE STREET 5TH FLOOR CITY: BOSTON STATE: MA ZIP: 02109 SC 13G 1 a2038446zsc13g.txt SCHEDULE 13-G OMB APPROVAL OMB Number: 3235-0145 Expires: October 31, 2002 Estimated average burden hours per response...14.90 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G (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. __________)* NETWORK ENGINES, INC. - -------------------------------------------------------------------------------- (Name of Issuer) COMMON STOCK, $.01 PAR VALUE PER SHARE - -------------------------------------------------------------------------------- (Title of Class of Securities) 64121A 10 7 - -------------------------------------------------------------------------------- (CUSIP Number) DECEMBER 31, 2000 - -------------------------------------------------------------------------------- (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) *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). Page 1 of 22 CUSIP No. 6412A107 13G PAGE 2 OF 22 PAGES - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Ascent Venture Partners, L.P. 04-3458591 - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) / / (b) / / - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER 0 shares NUMBER OF ------------------------------------------------------ SHARES 6 SHARED VOTING POWER BENEFICIALLY OWNED BY 5,881,888 shares EACH ------------------------------------------------------ REPORTING 7 SOLE DISPOSITIVE POWER PERSON WITH 0 shares ------------------------------------------------------ 8 SHARED DISPOSITIVE POWER 5,881,888 shares ------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 5,881,888 shares ------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) / / ------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 16.9% ------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) PN ------------------------------------------------------------------------------- Page 2 of 22 CUSIP No. 6412A107 13G PAGE 3 OF 22 PAGES *SEE INSTRUCTIONS BEFORE FILLING OUT! - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Ascent Venture Management, LLC 04-3458587 - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) / / (b) / / - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF 0 shares SHARES ------------------------------------------------------- BENEFICIALLY 6 SHARED VOTING POWER OWNED BY EACH 5,881,888 shares REPORTING ------------------------------------------------------ PERSON 7 SOLE DISPOSITIVE POWER WITH 0 shares ------------------------------------------------------ 8 SHARED DISPOSITIVE POWER 5,881,888 shares ------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 5,881,888 shares ------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) / / ------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 16.9% ------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) PN ------------------------------------------------------------------------------- Page 3 of 22 CUSIP No. 6412A107 13G PAGE 4 OF 22 PAGES *SEE INSTRUCTIONS BEFORE FILLING OUT! ------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Ascent Venture Partners II, L.P. 04-3263775 ------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) / / (b) / / ------------------------------------------------------------------------------- 3 SEC USE ONLY ------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware ------------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF SHARES 0 shares BENEFICIALLY ------------------------------------------------------ OWNED BY 6 SHARED VOTING POWER EACH REPORTING 5,881,888 shares PERSON ------------------------------------------------------ WITH 7 SOLE DISPOSITIVE POWER 0 shares ------------------------------------------------------ 8 SHARED DISPOSITIVE POWER 5,881,888 shares ------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 5,881,888 shares ------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) ------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 16.9% ------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) PN ------------------------------------------------------------------------------- Page 4 of 22 CUSIP No. 6412A107 13G PAGE 5 OF 22 PAGES *SEE INSTRUCTIONS BEFORE FILLING OUT! ------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Ascent Venture Management II, L.P. ------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) / / (b) / / ------------------------------------------------------------------------------- 3 SEC USE ONLY ------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware ------------------------------------------------------------------------------- 5 SOLE VOTING POWER 0 shares NUMBER OF ------------------------------------------------------ SHARES 6 SHARED VOTING POWER BENEFICIALLY OWNED BY 5,881,888 shares EACH ------------------------------------------------------ REPORTING 7 SOLE DISPOSITIVE POWER PERSON WITH 0 shares ------------------------------------------------------ 8 SHARED DISPOSITIVE POWER 5,881,888 shares - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 5,881,888 shares - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) / / - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 16.9% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) PN - -------------------------------------------------------------------------------- Page 5 of 22 CUSIP No. 6412A107 13G PAGE 6 OF 22 PAGES *SEE INSTRUCTIONS BEFORE FILLING OUT! - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Ascent Management SBIC Corp. - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) / / (b) / / - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER 0 shares NUMBER OF ------------------------------------------------------ SHARES 6 SHARED VOTING POWER BENEFICIALLY OWNED BY 5,882,521 shares EACH ------------------------------------------------------ REPORTING 7 SOLE DISPOSITIVE POWER PERSON WITH 0 shares ------------------------------------------------------ 8 SHARED DISPOSITIVE POWER 5,882,521 shares - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 5,882,521 shares - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) / / - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 16.9% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) CO - -------------------------------------------------------------------------------- Page 6 of 22 CUSIP No. 6412A107 13G PAGE 7 OF 22 PAGES *SEE INSTRUCTIONS BEFORE FILLING OUT! - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Ascent Venture Partners III, L.P. 04-3483908 - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) / / (b) / / - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER 0 shares NUMBER OF ------------------------------------------------------ SHARES 6 SHARED VOTING POWER BENEFICIALLY OWNED BY 5,881,888 shares EACH ------------------------------------------------------ REPORTING 7 SOLE DISPOSITIVE POWER PERSON WITH 0 shares ------------------------------------------------------ 8 SHARED DISPOSITIVE POWER 5,881,888 shares - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 5,881,888 shares - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 16.9% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) PN - -------------------------------------------------------------------------------- Page 7 of 22 CUSIP No. 6412A107 13G PAGE 8 OF 22 PAGES *SEE INSTRUCTIONS BEFORE FILLING OUT! - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Ascent Venture Management III, LLC 04-3483905 - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) / / (b) / / - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER 0 shares NUMBER OF ------------------------------------------------------ SHARES 6 SHARED VOTING POWER BENEFICIALLY OWNED BY 5,881,888 shares EACH ------------------------------------------------------ REPORTING 7 SOLE DISPOSITIVE POWER PERSON WITH 0 shares ------------------------------------------------------ 8 SHARED DISPOSITIVE POWER 5,881,888 shares - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 5,881,888 shares - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) / / - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 16.9% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) PN - -------------------------------------------------------------------------------- Page 8 of 22 CUSIP No. 6412A107 13G PAGE 9 OF 22 PAGES *SEE INSTRUCTIONS BEFORE FILLING OUT! - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Christopher W. Dick - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) / / (b) / / - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER 21,050 shares NUMBER OF ------------------------------------------------------ SHARES 6 SHARED VOTING POWER BENEFICIALLY OWNED BY 5,882,521 shares EACH ------------------------------------------------------ REPORTING 7 SOLE DISPOSITIVE POWER PERSON WITH 21,050 shares ------------------------------------------------------ 8 SHARED DISPOSITIVE POWER 5,882,521 shares - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 5,903,571 shares - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) / / - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 17.0% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) IN - -------------------------------------------------------------------------------- Page 9 of 22 CUSIP No. 6412A107 13G PAGE 10 OF 22 PAGES *SEE INSTRUCTIONS BEFORE FILLING OUT! - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Christopher W. Lynch - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) / / (b) / / - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER 23,049 shares NUMBER OF ------------------------------------------------------ SHARES 6 SHARED VOTING POWER BENEFICIALLY OWNED BY 5,882,521 shares EACH ------------------------------------------------------ REPORTING 7 SOLE DISPOSITIVE POWER PERSON WITH 23,049 shares ------------------------------------------------------ 8 SHARED DISPOSITIVE POWER 5,882,521 shares - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 5,905,570 shares - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) / / - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 17.0% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) IN - -------------------------------------------------------------------------------- Page 10 of 22 CUSIP No. 6412A107 13G PAGE 11 OF 22 PAGES *SEE INSTRUCTIONS BEFORE FILLING OUT! - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Leigh E. Michl - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) / / (b) / / - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER 22,297 shares NUMBER OF ------------------------------------------------------ SHARES 6 SHARED VOTING POWER BENEFICIALLY OWNED BY 5,882,521 shares EACH ------------------------------------------------------ REPORTING 7 SOLE DISPOSITIVE POWER PERSON WITH 22,297 shares ------------------------------------------------------ 8 SHARED DISPOSITIVE POWER 5,882,521 shares - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 5,904,818 shares - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) / / - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 17.0% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) IN - -------------------------------------------------------------------------------- Page 11 of 22 CUSIP No. 6412A107 13G PAGE 12 OF 22 PAGES *SEE INSTRUCTIONS BEFORE FILLING OUT! - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Frank M. Polestra - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) / / (b) / / - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER 156,194 shares NUMBER OF ------------------------------------------------------ SHARES 6 SHARED VOTING POWER BENEFICIALLY OWNED BY 5,882,521 shares EACH ------------------------------------------------------ REPORTING 7 SOLE DISPOSITIVE POWER PERSON WITH 156,194 shares ------------------------------------------------------ 8 SHARED DISPOSITIVE POWER 5,882,521 shares - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 6,038,715 shares - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) / / - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 17.4% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) IN - -------------------------------------------------------------------------------- Page 12 of 22 CUSIP No. 6412A107 13G PAGE 13 OF 22 PAGES SCHEDULE 13G Item 1(a). NAME OF ISSUER: Network Engines, Inc. -------------- Item 1(b). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: ----------------------------------------------- 25 Dan Road, Canton, MA 02021 Item 2(a). NAMES OF PERSONS FILING: (1) Ascent Venture Partners, L.P.; (2) Ascent Venture Management, ----------------------- LLC (the sole general partner of Ascent Venture Partners, L.P.); (3) Ascent Venture Partners II, L.P.; (4) Ascent Venture Management II, L.P. (the sole general partner of Ascent Venture Partners II, L.P.); (5) Ascent Management SBIC Corp. (the sole general partner of Ascent Venture Management II, L.P.); (6) Ascent Venture Partners III, L.P.; (7) Ascent Venture Management III, LLC (the sole general partner of Ascent Venture Partners III, L.P.); and (8) Christopher W. Dick, Christopher W. Lynch, Leigh E. Michl and Frank M. Polestra (the managing members of Ascent Venture Management, LLC, the stockholders of Ascent Management SBIC Corporation and the managing members of Ascent Venture Management III, LLC). Item 2(b). ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE: The address of the principal ----------------------------------------------------------- business office of each of Ascent Venture Partners, L.P.; Ascent Venture Management, LLC; Ascent Venture Partners II, L.P.; Ascent Venture Management II, L.P.; Ascent Management SBIC Corp.; Ascent Venture Partners III, L.P.; Ascent Venture Management III, LLC; Christopher W. Dick; Christopher W. Lynch; Leigh E. Michl; and Frank M. Polestra is 255 State Street, 5th Floor, Boston, MA 02109. Item 2(c). CITIZENSHIP: Each of Ascent Venture Partners, L.P., Ascent Venture Partners II, L.P., Ascent ----------- Venture Management II, L.P. and Ascent Venture Partners III, L.P. is a limited partnership organized under the laws of the State of Delaware. Each of Ascent Venture Management, LLC and Ascent Venture Management III, LLC is a Delaware limited liability company. Ascent Management SBIC Corp. is a Delaware S-corporation. Each of Christopher W. Dick, Christopher W. Lynch, Leigh E. Michl and Frank M. Polestra is a United States citizen. Item 2(d). TITLE OF CLASS OF SECURITIES: Common Stock, $.01 par value per share (the "Common Stock") and ---------------------------- warrants for Common Stock. Item 2(e). CUSIP NUMBER: 64121A 10 7 ------------ Item 3. IF THIS STATEMENT IF FILED PURSUANT TO RULE 13d-1(b), OR 13d-2(b) OR (c), -------------------------------------------------------------------------- CHECK WHETHER THE PERSON FILING IS A: ------------------------------------ Not Applicable.
Page 13 of 22 CUSIP No. 6412A107 13G PAGE 14 OF 22 PAGES Item 4. OWNERSHIP. --------- (a) Amount Beneficially Owned: As of December 31, 2000, Ascent Venture Partners, L.P. was the record holder of 766,705 shares of Common Stock (the "Ascent Shares") and warrants for 180,375 shares of Common Stock exercisable within six months thereof (the "Ascent Warrants"); Ascent Venture Partners II, L.P. was the record holder of 3,504,088 shares of Common Stock (the "Ascent II Shares") and warrants for 721,500 shares of Common Stock exercisable within six months thereof (the "Ascent II Warrants"); Ascent Venture Partners III, L.P. was the record holder of 709,220 shares of Common Stock (the "Ascent III Shares"); Ascent Management SBIC Corp. was the record holder of 633 shares of Common Stock (the "SBIC Shares"); Christopher W. Dick was the record holder of 21,050 shares of Common Stock (the "Dick Shares"); Christopher W. Lynch was the record holder of 23,049 shares of Common Stock (the "Lynch Shares"); Leigh E. Michl was the record holder of 22,297 shares of Common Stock (the "Michl Shares"); and Frank M. Polestra was the record holder of 115,177 shares of common stock (the "Polestra Shares"). As sole general partner of Ascent Venture Partners, L.P., Ascent Venture Management, LLC may be deemed to own beneficially the Ascent Shares and Ascent Warrants. As sole general partner of Ascent Venture Partners II, L.P., Ascent Venture Management II, L.P. may be deemed to own beneficially the Ascent II Shares and the Ascent II Warrants. As sole general partner of Ascent Venture Partners III, L.P., Ascent Venture Management III, LLC may be deemed to own beneficially the Ascent III Shares. By virtue of their relationship as affiliated limited partnerships, whose general partners have overlapping individual general partners, managing members and stockholders, as the case may be, each of Ascent Venture Partners, L.P., Ascent Venture Partners II, L.P. and Ascent Venture Partners III, L.P. may be deemed to share the power to direct the disposition and vote of the Ascent Shares, Ascent Warrants, Ascent II Shares, Ascent II Warrants and Ascent III Shares for an aggregate of 5,881,888 shares (the "Record Shares"). As sole general partner of Ascent Venture Management II, L.P., Ascent Management SBIC Corp. may be deemed to beneficially own the SBIC Shares and the Record Shares, for an aggregate of 5,882,521 Shares. As a managing member of Ascent Venture Management, LLC and Ascent Venture Management III, LLC, and as a stockholder of Ascent Management SBIC Corp., Christopher W. Dick may be deemed to beneficially own the SBIC Shares, Record Shares and Dick Shares, for an aggregate of 5,903,571 shares. As a managing member of Ascent Venture Management, LLC and Ascent Venture Management III, LLC, and as a stockholder of Ascent Management SBIC Corp., Christopher W. Lynch may be deemed to beneficially own the SBIC Shares, Record Shares and Lynch Shares, for an aggregate of 5,905,570 shares.
Page 14 of 22 CUSIP No. 6412A107 13G PAGE 15 OF 22 PAGES As a managing member of Ascent Venture Management, LLC and Ascent Venture Management III, LLC, and as a stockholder of Ascent Management SBIC Corp., Leigh E. Michl may be deemed to beneficially own the SBIC Shares, Record Shares and Michl Shares, for an aggregate of 5,904,818 shares. As a managing member of Ascent Venture Management, LLC and Ascent Venture Management III, LLC, and as a stockholder of Ascent Management SBIC Corp., and as a General Partner of La Serre, a Massachusetts partnership ("La Serre"), Frank M. Polestra may be deemed to beneficially own the SBIC Shares, the Record Shares, the Polestra Shares and 41,017 shares of Common Stock held of record by La Serre, for an aggregate of 6,038,715 shares. Each of the reporting persons expressly disclaims beneficial ownership, except to the extent of his or its pecuniary interest therein, if any, and except in the case of the shares or warrants that such reporting person owns beneficially as set forth above, of any shares of Common Stock of Network Engines, Inc. (b) Percent of Class: Ascent Venture Partners, L.P. 16.9% Ascent Venture Management, LLC 16.9% Ascent Venture Partners II, L.P. 16.9% Ascent Venture Management II, L.P. 16.9% Ascent Management SBIC Corp. 16.9% Ascent Venture Partners III, L.P. 16.9% Ascent Venture Management III, LLC 16.9% Christopher W. Dick 17.0% Christopher W. Lynch 17.0% Leigh E. Michl 17.0% Frank M. Polestra 17.4% The foregoing percentages are calculated based on the 34,772,969 shares of Common Stock of Network Engines, Inc. outstanding as of November 15, 2000 as reported in the issuer's Form 10-K dated as filed with the SEC on December 21, 2000. (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: Christopher W. Dick 0.1% Christopher W. Lynch 0.1% Leigh E. Michl 0.1% Frank M. Polestra 0.5%
Page 15 of 22 CUSIP No. 6412A107 13G PAGE 16 OF 22 PAGES (ii) shared power to vote or to direct the vote: Ascent Venture Partners, L.P. 16.9% Ascent Venture Management, LLC 16.9% Ascent Venture Partners II, L.P. 16.9% Ascent Venture Management II, L.P. 16.9% Ascent Management SBIC Corp. 16.9% Ascent Venture Partners III, L.P. 16.9% Ascent Venture Management III, LLC 16.9% Christopher W. Dick 17.0% Christopher W. Lynch 17.0% Leigh E. Michl 17.0% Frank M. Polestra 17.4% (iii) sole power to dispose or direct the disposition of: Christopher W. Dick 0.1% Christopher W. Lynch 0.1% Leigh E. Michl 0.1% Frank M. Polestra 0.5% (iv) shared power to dispose or direct the disposition of: Ascent Venture Partners, L.P. 16.9% Ascent Venture Management, LLC 16.9% Ascent Venture Partners II, L.P. 16.9% Ascent Venture Management II, L.P. 16.9% Ascent Management SBIC Corp. 16.9% Ascent Venture Partners III, L.P. 16.9% Ascent Venture Management III, LLC 16.9% Christopher W. Dick 17.0% Christopher W. Lynch 17.0% Leigh E. Michl 17.0% Frank M. Polestra 17.4% 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.
Page 16 of 22 CUSIP No. 6412A107 13G PAGE 17 OF 22 PAGES 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. --------------------------------------------------------- Not Applicable. The reporting persons expressly disclaim membership in a "group" as defined in Rule 13d-1(b)(ii)(J). Item 9. NOTICE OF DISSOLUTION OF GROUP. ------------------------------ Not Applicable. Item 10. CERTIFICATION. ------------- Not Applicable. This statement on Schedule 13G is not filed pursuant to Rule 13d-1(b) or Rule 13d-1(c).
Page 17 of 22 CUSIP No. 6412A107 13G PAGE 18 OF 22 PAGES SIGNATURE After reasonable inquiry and to the best of its knowledge and belief, each of the undersigned certifies that the information set forth in this statement is true, complete and correct. We also hereby agree to file this statement jointly pursuant to the Agreement listed on EXHIBIT 1 hereto. Date: February 13, 2001 ASCENT VENTURE PARTNERS, L.P. By: Ascent Venture Management, LLC By: /s/ CHRISTOPHER W. DICK ---------------------------------------- Christopher W. Dick, Managing Member ASCENT VENTURE MANAGEMENT, LLC By: /s/ CHRISTOPHER W. DICK ---------------------------------------- Christopher W. Dick, Managing Member ASCENT VENTURE PARTNERS II, L.P. By: Ascent Venture Management II, L.P. By: Ascent Management SBIC Corp. By: /s/ CHRISTOPHER W. DICK ---------------------------------------- Christopher W. Dick, Vice President ASCENT VENTURE MANAGEMENT II, L.P. By: Ascent Management SBIC Corp. By: /s/ CHRISTOPHER W. DICK ---------------------------------------- Christopher W. Dick, Vice President ASCENT MANAGEMENT SBIC CORP. By: /s/ CHRISTOPHER W. DICK ---------------------------------------- Christopher W. Dick, Vice President Page 18 of 22 CUSIP No. 6412A107 13G PAGE 19 OF 22 PAGES ASCENT VENTURE PARTNERS III, L.P. By: Ascent Venture Management III, LLC By: /s/ CHRISTOPHER W. DICK ---------------------------------------- Christopher W. Dick, Managing Member ASCENT VENTURE MANAGEMENT III, LLC By: /s/ CHRISTOPHER W. DICK ---------------------------------------- Christopher W. Dick, Managing Member /s/ CHRISTOPHER W. DICK - ------------------------------------------- Christopher W. Dick /s/ CHRISTOPHER W. LYNCH - ------------------------------------ Christopher W. Lynch /s/ LEIGH E. MICHL - ------------------------------------------- Leigh E. Michl /s/ FRANK M. POLESTRA - ------------------------------------------- Frank M. Polestra Page 19 of 22 CUSIP No. 6412A107 13G PAGE 20 OF 22 PAGES Exhibit Index
EXHIBIT NO. DESCRIPTION PAGE NO. ----------- ----------- -------- 1 Agreement of Joint Filing 21
Page 20 of 22 CUSIP No. 6412A107 13G PAGE 21 OF 22 PAGES EXHIBIT 1 AGREEMENT OF JOINT FILING Pursuant to Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, the undersigned hereby agree that only one statement containing the information required by Schedule 13G need be filed with respect to the ownership by each of the undersigned of shares of Common Stock of Network Engines, Inc. EXECUTED this 13th day of February, 2001. ASCENT VENTURE PARTNERS, L.P. By: Ascent Venture Management, LLC By: /s/ CHRISTOPHER W. DICK ---------------------------------------- Christopher W. Dick, Managing Member ASCENT VENTURE MANAGEMENT, LLC By: /s/ CHRISTOPHER W. DICK ---------------------------------------- Christopher W. Dick, Managing Member ASCENT VENTURE PARTNERS II, L.P. By: Ascent Venture Management II, L.P. By: Ascent Management SBIC Corp. By: /s/ CHRISTOPHER W. DICK ---------------------------------------- Christopher W. Dick, Vice President ASCENT VENTURE MANAGEMENT II, L.P. By: Ascent Management SBIC Corp. By: /s/ CHRISTOPHER W. DICK ---------------------------------------- Christopher W. Dick, Vice President ASCENT MANAGEMENT SBIC CORP. By: /s/ CHRISTOPHER W. DICK ---------------------------------------- Christopher W. Dick, Vice President Page 21 of 22 CUSIP No. 6412A107 13G PAGE 22 OF 22 PAGES ASCENT VENTURE PARTNERS III, L.P. By: Ascent Venture Management III, LLC By: /s/ CHRISTOPHER W. DICK ---------------------------------------- Christopher W. Dick, Managing Member ASCENT VENTURE MANAGEMENT III, LLC By: /s/ CHRISTOPHER W. DICK ---------------------------------------- Christopher W. Dick, Managing Member /s/ CHRISTOPHER W. DICK - ------------------------------------------- Christopher W. Dick /s/ CHRISTOPHER W. LYNCH - ------------------------------------ Christopher W. Lynch /s/ LEIGH E. MICHL - ------------------------------------------- Leigh E. Michl /s/ FRANK M. POLESTRA - ------------------------------------------- Frank M. Polestra Page 22 of 22 -----END PRIVACY-ENHANCED MESSAGE-----