-----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, DiJ03GLDNum31W/kKFgx3EDzVUoZFOg2IvyT5dLu90V4IeNLa4kJxO4RehMM9/Hv hLZ4FkcW5XRcKs23nmet5Q== 0001012870-02-000573.txt : 20020414 0001012870-02-000573.hdr.sgml : 20020414 ACCESSION NUMBER: 0001012870-02-000573 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20020214 GROUP MEMBERS: SPECTRUM EQUITY INVESTORS IV, L.P. SEI GROUP MEMBERS: SPECTRUM INVESTORS PARALLEL IV, L.P. SIP GROUP MEMBERS: SPECTRUM IV INVESTMENT MANAGERS' FUND L.P. SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: NETSCREEN TECHNOLOGIES INC CENTRAL INDEX KEY: 0001088454 IRS NUMBER: 770469208 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-78001 FILM NUMBER: 02543373 BUSINESS ADDRESS: STREET 1: 350 OAKMEAD PARKWAY CITY: SUNNYVALE STATE: CA ZIP: 94085 BUSINESS PHONE: (408) 730-6000 MAIL ADDRESS: STREET 1: 350 OAKMEAD PARKWAY CITY: SUNNYVALE STATE: CA ZIP: 94805 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: SPECTRUM EQUITY INVESTORS IV LP CENTRAL INDEX KEY: 0001117270 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: ONE INTERNATIONAL PALCE STREET 2: 29TH FL CITY: BOSTON STATE: MA ZIP: 02110 MAIL ADDRESS: STREET 1: 333 MIDDLEFIELD ROAD, STREET 2: SUITE 200 CITY: MENLO PARK STATE: CA ZIP: 94025 SC 13G 1 dsc13g.txt SCHEDULE 13G SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. __) NetScreen Technologies, Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock - -------------------------------------------------------------------------------- (Title of Class of Securities) 64117V 10 7 - -------------------------------------------------------------------------------- (CUSIP Number) December 31, 2001 - -------------------------------------------------------------------------------- (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 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). SCHEDULE 13G - --------------------------------- ----------------------------------------- CUSIP No. 64117V 10 7 Page 1 of 6 Pages --------------- ---------- ----------- - --------------------------------- ----------------------------------------- - -------------------------------------------------------------------------------- NAME OF REPORTING PERSON 1 S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY) Spectrum Equity Associates IV, L.P. ("SEA") - ---------- --------------------------------------------------------------------- CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See 2 Instructions) (a) |_| (b) |X| - ---------- --------------------------------------------------------------------- 3 SEC USE ONLY - ---------- --------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - ---------- --------------------------------------------------------------------- 5 SOLE VOTING POWER -0- NUMBER OF -------- ------------------------------------------ SHARES 6 SHARED VOTING POWER BENEFICIALLY OWNED 4,698,553 shares/1/ BY EACH -------- ------------------------------------------ REPORTING 7 SOLE DISPOSITIVE POWER PERSON WITH -0- -------- ------------------------------------------ 8 SHARED DISPOSITIVE POWER 4,698,553 shares/1/ - ---------- --------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 4,698,553 - ---------- --------------------------------------------------------------------- 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) 6.4%/2/ - ---------- --------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON (See Instructions) PN - ---------- --------------------------------------------------------------------- /1/ These shares represent 4,670,978 shares held by Spectrum Equity Investors IV, L.P. and 27,575 shares held by Spectrum Investors Parallel IV, of which SEA is the general partner. As general partner, SEA makes voting and investment decisions with respect to these shares. /2/ Based on shares outstanding as of December 31, 2001. SCHEDULE 13G - --------------------------------- ----------------------------------------- CUSIP No. 64117V 10 7 Page 2 of 6 Pages --------------- ---------- ----------- - --------------------------------- ----------------------------------------- - ---------- --------------------------------------------------------------------- NAME OF REPORTING PERSON 1 S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY) Spectrum Equity Investors IV, L.P. ("SEI") - ---------- --------------------------------------------------------------------- CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See 2 Instructions) (a) |_| (b) |X| - ---------- --------------------------------------------------------------------- 3 SEC USE ONLY - ---------- --------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - ---------- --------------------------------------------------------------------- 5 SOLE VOTING POWER -0- NUMBER -------- ------------------------------------------ OF 6 SHARED VOTING POWER SHARES BENEFICIALLY 4,670,978 shares, except that SEA has the OWNED power to vote these shares./1/ BY -------- ------------------------------------------ EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON -0- WITH -------- ------------------------------------------ 8 SHARED DISPOSITIVE POWER 4,670,978 shares, except that SEA has the power to dispose of these shares./1/ - ---------- --------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 4,670,978 - ---------- --------------------------------------------------------------------- 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) 6.3%/2/ - ---------- --------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON (See Instructions) PN - ---------- --------------------------------------------------------------------- /1/ As general partner, SEA makes voting and investment decisions with respect to these shares. /2/ Based on shares outstanding as of December 31, 2001. SCHEDULE 13G - --------------------------------- ----------------------------------------- CUSIP No. 64117V 10 7 Page 3 of 6 Pages --------------- ---------- ----------- - --------------------------------- ----------------------------------------- - ---------- --------------------------------------------------------------------- NAME OF REPORTING PERSON 1 S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY) Spectrum Investors Parallel IV, L.P. ("SIP") - ---------- --------------------------------------------------------------------- CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See 2 Instructions) (a) |_| (b) |X| - ---------- --------------------------------------------------------------------- 3 SEC USE ONLY - ---------- --------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - ---------- --------------------------------------------------------------------- 5 SOLE VOTING POWER -0- NUMBER -------- ------------------------------------------ OF 6 SHARED VOTING POWER SHARES 27,575 shares, except that SEA has the BENEFICIALLY power to vote these shares./1/ OWNED BY -------- ------------------------------------------ EACH 7 SOLE DISPOSITIVE POWER REPORTING -0- PERSON WITH -------- ------------------------------------------ 8 SHARED DISPOSITIVE POWER 27,575 shares, except that SEA has the power to dispose of these shares./2/ - ---------- --------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 27,575 - ---------- --------------------------------------------------------------------- 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) .04% - ---------- --------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON (See Instructions) PN - ---------- --------------------------------------------------------------------- /1/ As general partner, SEA makes voting and investment decisions with respect to these shares. /2/ Based on shares outstanding as of December 31, 2001. SCHEDULE 13G - --------------------------------- ----------------------------------------- CUSIP No. 64117V 10 7 Page 4 of 6 Pages --------------- ---------- ----------- - --------------------------------- ----------------------------------------- - ---------- --------------------------------------------------------------------- NAME OF REPORTING PERSON 1 S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY) Spectrum IV Investment Managers' Fund, L.P. ("SIM") - ---------- --------------------------------------------------------------------- CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See 2 Instructions) (a) |_| (b) |X| - ---------- --------------------------------------------------------------------- 3 SEC USE ONLY - ---------- --------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - ---------- --------------------------------------------------------------------- 5 SOLE VOTING POWER -0- NUMBER -------- ------------------------------------------ OF 6 SHARED VOTING POWER SHARES 55,624 shares BENEFICIALLY OWNED BY -------- ------------------------------------------ EACH 7 SOLE DISPOSITIVE POWER REPORTING -0- PERSON WITH -------- ------------------------------------------ 8 SHARED DISPOSITIVE POWER 55,624 shares - ---------- --------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 55,624 - ---------- --------------------------------------------------------------------- 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) .07%/1/ - ---------- --------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON (See Instructions) PN - ---------- --------------------------------------------------------------------- /1/ Based on shares outstanding as of December 31, 2001. SCHEDULE 13G - --------------------------------- ----------------------------------------- CUSIP No. 64117V 10 7 Page 5 of 6 Pages --------------- ---------- ----------- - --------------------------------- ----------------------------------------- Item 1. (a) Name of Issuer: -------------- NetScreen Technologies, Inc. (b) Address of Issuer's Principal Executive Offices: ----------------------------------------------- 350 Oakmead Parkway Sunnyvale, California 94085 Item 2. (a) Name of Person Filing: --------------------- This statement is filed by Spectrum Equity Associates, IV, L.P. ("SEA"), a Delaware limited partnership, Spectrum Equity Investors IV, L.P. ("SEI"), a Delaware limited partnership, Spectrum Investors Parallel IV, L.P. ("SEP"), a Delaware limited partnership and Spectrum IV Investment Managers' Fund L.P. ("SIM"), a Delaware limited partnership. The foregoing entities are collectively referred to as the "Reporting Persons." (b) Address of Principal Business Office: ------------------------------------ The address for each of SEA, SEI, SEP and SIM is: 333 Middlefield Road, Suite 200 Menlo Park, California 94025 (c) Citizenship: ----------- SEA, SEI and SIP are Delaware limited partnerships. (d) Title of Class of Securities: ---------------------------- Common Stock (e) CUSIP Number: ------------ 64117V 10 7 Item 3. Not applicable. Item 4. Ownership. The following information with respect to the ownership of the Common Stock of the issuer by the persons filing this Statement is provided as of December 31, 2001: (a) Amount beneficially owned: ------------------------- See Row 9 of cover page for each Reporting Person. (b) Percent of class: ---------------- See Row 11 for each Reporting Person. (c) Number of shares as to which the person has: ------------------------------------------- (i) Sole power to vote or to direct the vote: See Row 5 of cover page for each Reporting Person. (ii) Shared power to vote or to direct the vote: See Row 6 of cover page for each Reporting Person. (iii) Sole power to dispose or to direct the disposition of: See Row 7 of cover page for each Reporting Person. (iv) Shared power to dispose or to direct the disposition of: See Row 8 of cover page for each Reporting Person. 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. Under certain circumstances set forth in the limited partnership agreements of SEI and SIP, the general and limited partners of those entities may be deemed to have the right to receive dividends from, or the proceeds from, the sale of shares of the issuer owned by SEI and SIP. SCHEDULE 13G - --------------------------------- ----------------------------------------- CUSIP No. 64117V 10 7 Page 6 of 6 Pages --------------- ---------- ----------- - --------------------------------- ----------------------------------------- Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person. 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. Certifications. Not applicable. 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. Dated: February 13, 2002 Spectrum Equity Associates IV, L.P. By: /s/ Randy J. Henderson ------------------------------------------- Its: General Partner ------------------------------------------- Dated: February 13, 2002 Spectrum Equity Investors IV, L.P. By: /s/ Spectrum Equity Associates IV, L.P. ------------------------------------------- Its: General Partner ------------------------------------------- By: /s/ Randy J. Henderson ------------------------------------------- Its: General Partner ------------------------------------------- Dated: February 13, 2002 Spectrum Investors Parallel IV, L.P. By: /s/ Spectrum Equity Associates IV, L.P. ------------------------------------------- Its: General Partner ------------------------------------------- By: /s/ Randy J. Henderson ------------------------------------------- Its: General Partner ------------------------------------------- Dated: February 13, 2002 Spectrum IV Investment Managers' Fund L.P. By: /s/ Randy J. Henderson ------------------------------------------- Its: General Partner ------------------------------------------- EXHIBIT INDEX Exhibit - ------- Exhibit A: Agreement of Joint Filing EX-99.(A) 3 dex99a.txt AGREEMENT OF JOINT FILING Exhibit A Agreement of Joint Filing The undersigned hereby agree that a single Schedule 13G (or any amendment thereto) relating to the Common Stock of NetScreen Technologies, Inc. shall be filed on behalf of each of the undersigned and that this Agreement shall be filed as an exhibit to such Schedule 13G. Dated: February 13, 2002 Spectrum Equity Associates IV, L.P. By: /s/ Randy J. Henderson ------------------------------------------- Its: General Partner ------------------------------------------- Dated: February 13, 2002 Spectrum Equity Investors IV, L.P. By: /s/ Spectrum Equity Associates IV, L.P. ------------------------------------------- Its: General Partner ------------------------------------------- By: /s/ Randy J. Henderson ------------------------------------------- Its: General Partner ------------------------------------------- Dated: February 13, 2002 Spectrum Investors Parallel IV, L.P. By: /s/ Spectrum Equity Associates IV, L.P. ------------------------------------------- Its: General Partner ------------------------------------------- By: /s/ Randy J. Henderson ------------------------------------------- Its: General Partner ------------------------------------------- Dated: February 13, 2002 Spectrum IV Investment Managers' Fund L.P. By: /s/ Randy J. Henderson ------------------------------------------- Its: General Partner ------------------------------------------- -----END PRIVACY-ENHANCED MESSAGE-----