-----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, OmgyVyLgliiLrO3Y6U8KWf3mgftfCPqSRa9o99ATupvNxRsEY9S/C9XQTgGkThHC bWoUcMMB4CF5gHCiiQ0fgw== 0000950135-97-000542.txt : 19970222 0000950135-97-000542.hdr.sgml : 19970222 ACCESSION NUMBER: 0000950135-97-000542 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970213 SROS: NASD GROUP MEMBERS: ADVENT ATLANTIC AND PACIFIC LIMITED PARTNERSHIP GROUP MEMBERS: ADVENT INDUSTRIAL LIMITED PARTNERSHIP GROUP MEMBERS: ADVENT VI L P GROUP MEMBERS: TA ASSOCIATES V LIMITED PARTNERSHIP GROUP MEMBERS: TA VENTURE INVESTORS LIMITED PARTNERSHIP SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: AXENT TECHNOLOGIES INC CENTRAL INDEX KEY: 0001007997 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 870393420 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-48249 FILM NUMBER: 97528807 BUSINESS ADDRESS: STREET 1: 2400 RESEARCH BLVD STREET 2: STE 200 CITY: ROCKVILLE STATE: MD ZIP: 20850 BUSINESS PHONE: 3012585043 MAIL ADDRESS: STREET 1: 2400 RESEARCH BLVD STREET 2: SUITE 200 CITY: ROCKVILLE STATE: MD ZIP: 20850 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: ADVENT VI L P CENTRAL INDEX KEY: 0000932664 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 510309893 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: C/O TA ASSOCIATES STREET 2: 125 HIGH ST STE 2500 CITY: BOSTON STATE: MA ZIP: 02110 BUSINESS PHONE: 6175746781 MAIL ADDRESS: STREET 1: C/O TA ASSOCIATES STREET 2: 125 HIGH STREET SUITE 2500 CITY: BOSTON STATE: MA ZIP: 02110 SC 13G 1 ADVENT VI L.P. SC 13G 1 SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. )* Axent Technologies, Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock - -------------------------------------------------------------------------------- (Title of Class of Securities) 05459C 10 8 - -------------------------------------------------------------------------------- (CUSIP Number) Check the following box if a fee is being paid with this / / statement. (A fee is not required only if the filing person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of five percent or less of such class.) (See Rule 13d-7.) *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). (Continued on following page(s)) Page 1 of 4 Pages SEC 1745 (10-85) 2 CUSIP NO. 05459C 10 8 13G PAGE 2 OF 4 PAGES - -------------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Advent VI L.P. 51-0309893 Advent Atlantic and Pacific Limited Partnership 04-2928123 Advent Industrial Limited Partnership 04-2815976 TA Venture Investors Limited Partnership 04-3068354 TA Associates V Limited Partnership 04-2781831 - -------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) /X/ (b) / / - -------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Advent VI L.P. Delaware Advent Atlantic and Pacific Limited Partnership Ontario Advent Industrial Limited Partnership Massachusetts TA Venture Investors Limited Partnership Massachusetts TA Associates V Limited Partnership Massachusetts - -------------------------------------------------------------------------------------------------------------- 5 SOLE VOTING POWER Advent VI L.P. 958,049 Advent Atlantic and Pacific Limited Partnership 198,072 Advent Industrial Limited Partnership 48,383 TA Venture Investors Limited Partnership 15,445 TA Associates V Limited Partnership 11,642 ------------------------------------------------------------------------------------------ NUMBER OF 6 SHARED VOTING POWER SHARES BENEFICIALLY N/A OWNED BY ------------------------------------------------------------------------------------------ EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON Advent VI L.P. 958,049 WITH Advent Atlantic and Pacific Limited Partnership 198,072 Advent Industrial Limited Partnership 48,383 TA Venture Investors Limited Partnership 15,445 TA Associates V Limited Partnership 11,642 ------------------------------------------------------------------------------------------ 8 SHARED DISPOSITIVE POWER N/A - --------------------------------------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON Advent VI L.P. 958,049 Advent Atlantic and Pacific Limited Partnership 198,072 Advent Industrial Limited Partnership 48,383 TA Venture Investors Limited Partnership 15,445 TA Associates V Limited Partnership 11,642 - -------------------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - -------------------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 Advent VI L.P. 8.20 Advent Atlantic and Pacific Limited Partnership 1.69 Advent Industrial Limited Partnership .41 TA Venture Investors Limited Partnership .13 TA Associates V Limited Partnership .10 - -------------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON Each entity is a Limited Partnership - -------------------------------------------------------------------------------------------------------------- - --------------------------------------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT! 3 SCHEDULE 13G Page 3 of 4 Pages Item 1: (a) Name of Issuer: Axent Technologies, Inc. (b) Address of Issuer's Principal Executive Offices: 2440 Research Blvd. Rockville, MD 20850 Item 2: (a) Name of Person Filing: Advent VI L.P. Advent Atlantic and Pacific Limited Partnership Advent Industrial Limited Partnership TA Venture Investors Limited Partnership TA Associates V Limited Partnership (b) Address of Principal Business Office or, if none, Residence: c/o TA Associates 125 High Street, Suite 2500 Boston, MA 02110 (c) Citizenship: Not Applicable (d) Title of Class of Securities: Common Stock (e) CUSIP Number: 05459C 10 8 Item 3: IF THIS STATEMENT IS FILED PURSUANT TO RULES 13d-1(b) OR 13d-2(b), CHECK WHETHER THE PERSON FILING IS A: Not Applicable Item 4: (a) Amount Beneficially Owned: COMMON STOCK ------------ Advent VI L.P. 958,049 Advent Atlantic and Pacific Limited Partnership 198,072 Advent Industrial Limited Partnership 48,383 TA Venture Investors Limited Partnership 15,445 TA Associates V Limited Partnership 11,642 (b) Percent of Class: PERCENTAGE ---------- Advent VI L.P. 8.20 Advent Atlantic and Pacific Limited Partnership 1.69 Advent Industrial Limited Partnership .41 TA Venture Investors Limited Partnership .13 TA Associates V Limited Partnership .10 (c) Number of shares as to which such person has: (i) sole power to vote or direct the vote: COMMON STOCK ------------ Advent VI L.P. 958,049 Advent Atlantic and Pacific Limited Partnership 198,072 Advent Industrial Limited Partnership 48,383 TA Venture Investors Limited Partnership 15,445 TA Associates V Limited Partnership 11,642 (ii) SHARED POWER TO VOTE OR DIRECT THE VOTE: N/A (iii) SOLE POWER TO DISPOSE OR DIRECT THE DISPOSITION: COMMON STOCK ------------ Advent VI L.P. 958,049 Advent Atlantic and Pacific Limited Partnership 198,072 Advent Industrial Limited Partnership 48,383 TA Venture Investors Limited Partnership 15,445 TA Associates V Limited Partnership 11,642 (iv) SHARED POWER TO DISPOSE OR DIRECT THE DISPOSITION N/A - --------------- * This Schedule 13G is filed pursuant to Rule 13d-1(f) on behalf of ___________.
4 SCHEDULE 13G Page 4 of 4 Pages Item 5: Ownership of Five Percent or Less of a Class: Item 6: Ownership of More than Five Percent on Behalf of Another Person: 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: This schedule 13G is filed pursuant to Rule 13d-1(c). For the agreement of group members to a joint filing, see below. Item 9: Notice of Dissolution of Group: Not Applicable Item 10: Certification: 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. AGREEMENT FOR JOINT FILING Advent VI L.P. Advent Atlantic and Pacific Limited Partnership, Advent Industrial Limited Partnership, TA Associates V Limited Partnership and TA Venture Investors Limited Partnership hereby agree that TA Associates shall file with the Securities and Exchange Commission a joint schedule 13G on behalf of the above-named parties concerning their beneficial ownership of Axent Technologies, Inc. Dated: ADVENT VI L.P. By: TA Associates VI L.P., its General Partner By: TA Associates, Inc. its General Partner By: /s/ Katherine S. Cromwell ---------------------------------------------------- Katherine S. Cromwell, Managing Director Advent Atlantic and Pacific Limited Partnership By: TA Associates AAP Limited Partnership, its General Partner By: TA Associates AAP Venture Limited Partnership, its General Partner By: TA Associates, Inc., its General Partner By: /s/ Katherine S. Cromwell ---------------------------------------------------- Katherine S. Cromwell, Managing Director Advent Industrial Limited Partnership By: TA Associates V Limited Partnership, its General Partner By: /s/ Katherine S. Cromwell ---------------------------------------------------- Katherine S. Cromwell, Attorney-in-Fact TA VENTURE INVESTORS LIMITED PARTNERSHIP By: /s/ Katherine S. Cromwell ---------------------------------------------------- Katherine S. Cromwell, General Partner TA Associates V Limited Partnership By: /s/ Katherine S. Cromwell ---------------------------------------------------- Katherine S. Cromwell, Attorney-in-Fact -----END PRIVACY-ENHANCED MESSAGE-----