-----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, QXloKZ/I0pI+f3A8RZfrLu5ssAzA2rq9ILndTyN6JgPMSHgmX688nY09F16D2tit vzwOApX3CR8+DvCtPtIGNw== 0000950135-01-000655.txt : 20010223 0000950135-01-000655.hdr.sgml : 20010223 ACCESSION NUMBER: 0000950135-01-000655 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20010214 GROUP MEMBERS: ANDREW W. VERHALEN GROUP MEMBERS: MATRIX IV ENTREPRENEURS FUND, L.P. GROUP MEMBERS: MATRIX IV MANAGEMENT CO. L.P. GROUP MEMBERS: MATRIX PARTNERS IV L P ET AL SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: OPENWAVE SYSTEMS INC CENTRAL INDEX KEY: 0001082506 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 943219054 STATE OF INCORPORATION: DE FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-57801 FILM NUMBER: 1540751 BUSINESS ADDRESS: STREET 1: 800 CHESAPEAKE DRIVE CITY: REDWOOD CITY STATE: CA ZIP: 94063 BUSINESS PHONE: 6505620200 MAIL ADDRESS: STREET 1: 800 CHESAPEAKE DRIVE CITY: REDWOOD CITY STATE: CA ZIP: 94063 FORMER COMPANY: FORMER CONFORMED NAME: PHONE COM INC DATE OF NAME CHANGE: 19990504 FORMER COMPANY: FORMER CONFORMED NAME: UNWIRED PLANET INC DATE OF NAME CHANGE: 19990324 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: MATRIX PARTNERS IV L P ET AL CENTRAL INDEX KEY: 0001030677 STANDARD INDUSTRIAL CLASSIFICATION: [] STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 1000 WINTER STREET STREET 2: SUITE 4500 CITY: WALTHAM STATE: MA ZIP: 02154 BUSINESS PHONE: 6178902244 MAIL ADDRESS: STREET 1: 1000 WINTER STREET STREET 2: SUITE 4500 CITY: WALTHAM STATE: MA ZIP: 02154 SC 13G/A 1 b38302mpsc13ga.txt MATRIX PARTNERS IV, L.P. 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 Amendment No. 1 OpenWave Systems, Inc. (as an amendment to 13G filed for Phone.com, Inc. on 2/14/00) (Name of Issuer) Common Stock, $.001 par value per share (Title of Class of Securities) 683718 10 0 (CUSIP Number) December 31, 2000 (Date of Event Which Required 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). POTENTIAL PERSONS WHO ARE TO RESPOND TO THE COLLECTION OF INFORMATION CONTAINED IN THIS FORM ARE NOT REQUIRED TO RESPOND UNLESS THE FORM DISPLAYS A CURRENTLY VALID OMB CONTROL NUMBER. 2 _______________________ _______________________ CUSIP No. 683718 10 0 SCHEDULE 13G Page 2 of 9 Pages ________________________________________________________________________________ 1. Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only). Matrix Partners IV, 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 Number of Shares 5. Sole Voting Power..........................See Item 5 Beneficially Owned by Each 6. Shared Voting Power........................See Item 5 Reporting Person With: 7. Sole Dispositive Power.....................See Item 5 8. Shared Dispositive Power...................See Item 5 9. Aggregate Amount Beneficially Owned by Each Reporting Person......See Item 5 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)................................................... 11. Percent of Class Represented by Amount in Row (9).................See Item 5 12. Type of Reporting Person (See Instructions)...............................PN Page 2 of 9 pages 3 _______________________ _______________________ CUSIP No. 683718 10 0 SCHEDULE 13G Page 3 of 9 Pages ________________________________________________________________________________ 1. Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only). Matrix IV Entrepreneurs Fund, L.P. 2. Check the Appropriate Box if a Member of a Group (See Instructions) (a)......................................................................... (b) X....................................................................... 3. SEC Use Only................................................................ 4. Citizenship or Place of Organization................................Delaware Number of Shares 5. Sole Voting Power..........................See Item 5 Beneficially Owned by Each 6. Shared Voting Power........................See Item 5 Reporting Person With: 7. Sole Dispositive Power.....................See Item 5 8. Shared Dispositive Power...................See Item 5 9. Aggregate Amount Beneficially Owned by Each Reporting Person......See Item 5 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)................................................... 11. Percent of Class Represented by Amount in Row (9).................See Item 5 12. Type of Reporting Person (See Instructions)...............................PN Page 3 of 9 pages 4 _______________________ _______________________ CUSIP No. 683718 10 0 SCHEDULE 13G Page 4 of 9 Pages ________________________________________________________________________________ 1. Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only). Matrix IV Management Co., 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 Number of Shares 5. Sole Voting Power..........................See Item 5 Beneficially Owned by Each 6. Shared Voting Power........................See Item 5 Reporting Person With: 7. Sole Dispositive Power.....................See Item 5 8. Shared Dispositive Power...................See Item 5 9. Aggregate Amount Beneficially Owned by Each Reporting Person......See Item 5 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)................................................... 11. Percent of Class Represented by Amount in Row (9).................See Item 5 12. Type of Reporting Person (See Instructions)...............................PN Page 4 of 9 pages 5 _______________________ _______________________ CUSIP No. 683718 10 0 SCHEDULE 13G Page 5 of 9 Pages ________________________________________________________________________________ 1. Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only). Andrew W. Verhalen 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 Number of Shares 5. Sole Voting Power..........................See Item 5 Beneficially Owned by Each 6. Shared Voting Power........................See Item 5 Reporting Person With: 7. Sole Dispositive Power.....................See Item 5 8. Shared Dispositive Power...................See Item 5 9. Aggregate Amount Beneficially Owned by Each Reporting Person......See Item 5 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)................................................... 11. Percent of Class Represented by Amount in Row (9).................See Item 5 12. Type of Reporting Person (See Instructions)...............................IN Page 5 of 9 pages 6 _______________________ _______________________ CUSIP No. 683718 10 0 SCHEDULE 13G Page 6 of 9 Pages ________________________________________________________________________________ Item 1(a) Name of Issuer: OpenWave Systems, Inc. Item 1(b) Address of Issuer's Principal Executive Offices: 800 Chesapeake Drive Redwood City, CA 94063 Item 2(a) Name of Persons Filing: Matrix Partners IV, L.P. ("Matrix IV"); Matrix IV Entrepreneurs Fund, L.P. ("Entrepreneurs", and together with Matrix IV, the "Partnerships"); Matrix IV Management Co., L.P. ("Management"), the general partner of each of the Partnerships; and Andrew W. Verhalen ("Verhalen"), the general partner of Management, who has sole voting and dispositive authority with respect to shares of OpenWave Systems, Inc. held of record by the Partnerships. Item 2(b) Address of Principal Business Office or, if none, Residence: The address of each of the reporting persons is: 1000 Winter Street Suite 4500 Waltham, MA 02451 Item 2(c) Citizenship: Matrix IV is a limited partnership organized under the laws of the State of Delaware. Entrepreneurs is a limited partnership organized under the laws of the State of Delaware. Management is a limited partnership organized under the laws of the State of Delaware. Mr. Verhalen is a citizen of the United States. Item 2(d) Title of Class of Securities: Common Stock, par value $.001 per share (the "Common Stock"). Item 2(e) CUSIP Number: 683718 10 0 Item 3 Description of Person Filing: Not applicable. Item 4 Ownership: (a) Amount Beneficially Owned: See Item 5 Page 6 of 9 pages 7 _______________________ _______________________ CUSIP No. 683718 10 0 SCHEDULE 13G Page 7 of 9 Pages ________________________________________________________________________________ (b) Percent of Class: Matrix IV: See Item 5 Entrepreneurs: See Item 5 Management: See Item 5 Verhalen: See Item 5 (c) Number of Shares as to which the person has: (i) sole voting power; (ii) shared voting power; (iii) sole dispositive power; (iv) shared dispositive power: See Item 5 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 [X} 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: Not applicable. Item 9 Notice of Dissolution of Group: Not applicable. Item 10 Certification: Not applicable. Page 7 of 9 pages 8 _______________________ _______________________ CUSIP No. 683718 10 0 SCHEDULE 13G Page 8 of 9 Pages ________________________________________________________________________________ SIGNATURE After reasonable inquiry and to the best of the knowledge and belief of each of the undersigned, each of the undersigned hereby certifies that the information set forth in this statement is true, complete and correct. DATED: February 13, 2001 MATRIX PARTNERS IV, L.P. By: Matrix IV Management Co., L.P. General Partner By: /s/ Andrew W. Verhalen ----------------------------- Andrew W. Verhalen General Partner MATRIX IV ENTREPRENEURS FUND, L.P. By: Matrix IV Management Co., L.P. General Partner By: /s/ Andrew W. Verhalen ----------------------------- Andrew W. Verhalen General Partner MATRIX IV MANAGEMENT CO., L.P. By: /s/ Andrew W. Verhalen ----------------------------- Andrew W. Verhalen General Partner /s/ Andrew W. Verhalen ------------------------------------ Andrew W. Verhalen Page 8 of 9 pages 9 _______________________ _______________________ CUSIP No. 683718 10 0 SCHEDULE 13G Page 9 of 9 Pages ________________________________________________________________________________ Exhibit I AGREEMENT Pursuant to Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, as amended, 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 the shares of Common Stock of OpenWave Systems, Inc. EXECUTED as a sealed instrument this 13th day of February, 2001. MATRIX PARTNERS IV, L.P. By: Matrix IV Management Co., L.P. General Partner By: /s/ Andrew W. Verhalen ----------------------------- Andrew W. Verhalen General Partner MATRIX IV ENTREPRENEURS FUND, L.P. By: Matrix IV Management Co., L.P. General Partner By: /s/ Andrew W. Verhalen ----------------------------- Andrew W. Verhalen General Partner MATRIX IV MANAGEMENT CO., L.P. By: /s/ Andrew W. Verhalen ----------------------------- Andrew W. Verhalen General Partner /s/ Andrew W. Verhalen ------------------------------------ Andrew W. Verhalen Page 9 of 9 pages -----END PRIVACY-ENHANCED MESSAGE-----