-----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, M0/bs++8xlXnV2DsMKk0TnKhgawUxT+4cInO9qCeQ/WQNAk8ibO/dkIIWDKzV0HU mF6mUddgoho7k0zzwI1KMg== 0000950103-01-000133.txt : 20010223 0000950103-01-000133.hdr.sgml : 20010223 ACCESSION NUMBER: 0000950103-01-000133 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20010214 GROUP MEMBERS: MORGAN STANLEY DEAN WITTER & CO GROUP MEMBERS: MORGAN STANLEY VENTURE CAPITAL II, INC. GROUP MEMBERS: MSIT HOLDINGS, INC. SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: PERSISTENCE SOFTWARE INC CENTRAL INDEX KEY: 0001084400 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 943138935 STATE OF INCORPORATION: CA FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-56467 FILM NUMBER: 1538811 BUSINESS ADDRESS: STREET 1: 1720 SOUTH AMPHLETT BLVD., 3RD FLOOR CITY: SAN MATEO STATE: CA ZIP: 94402 BUSINESS PHONE: 6503417733 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: MORGAN STANLEY DEAN WITTER & CO CENTRAL INDEX KEY: 0000895421 STANDARD INDUSTRIAL CLASSIFICATION: FINANCE SERVICES [6199] IRS NUMBER: 363145972 STATE OF INCORPORATION: DE FISCAL YEAR END: 1130 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 1585 BROADWAY CITY: NEW YORK STATE: NY ZIP: 10036 BUSINESS PHONE: 2127614000 MAIL ADDRESS: STREET 1: 1585 BROADWAY STREET 2: 38TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10036 FORMER COMPANY: FORMER CONFORMED NAME: DEAN WITTER DISCOVER & CO DATE OF NAME CHANGE: 19960315 SC 13G 1 0001.txt SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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.1)* Persistence Software, Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock, par value $0.001 - -------------------------------------------------------------------------------- (Title of Class of Securities) 715329 10 8 - -------------------------------------------------------------------------------- (CUSIP Number) February 4, 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 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). - ------------------- ----------------- CUSIP No. 715329108 13G Page 1 of 9 Pages - ------------------- ----------------- - -------------------------------------------------------------------------------- 1. NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) Morgan Stanley Dean Witter & Co. - -------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a)[ ] (b)[ ] - -------------------------------------------------------------------------------- 3. SEC USE ONLY - -------------------------------------------------------------------------------- 4. CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------------- 5. SOLE VOTING POWER -0- NUMBER OF SHARES ------------------------------------------------------ BENEFICIALLY OWNED BY 6. SHARED VOTING POWER 1,148,460 Common Shares EACH REPORTING ------------------------------------------------------ PERSON WITH 7. SOLE DISPOSITIVE POWER -0- ------------------------------------------------------- 8. SHARED DISPOSITIVE POWER 1,148,460 Common Shares - -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,148,460 Common Shares - -------------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES [ ] CERTAIN SHARES* - -------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 5.8% - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON* CO - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! - ------------------- ----------------- CUSIP No. 715329108 13G Page 2 of 9 Pages - ------------------- ----------------- - -------------------------------------------------------------------------------- 1. NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) MSIT Holdings, Inc. - -------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a)[ ] (b)[ ] - -------------------------------------------------------------------------------- 3. SEC USE ONLY - -------------------------------------------------------------------------------- 4. CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------------- 5. SOLE VOTING POWER -0- NUMBER OF SHARES ------------------------------------------------------ BENEFICIALLY OWNED BY 6. SHARED VOTING POWER 967,775 Common Shares EACH REPORTING ------------------------------------------------------ PERSON WITH 7. SOLE DISPOSITIVE POWER -0- ------------------------------------------------------- 8. SHARED DISPOSITIVE POWER 967,775 Common Shares - -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 967,775 Common Shares - -------------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES [ ] CERTAIN SHARES* - -------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 4.9% - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON* CO - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! - ------------------- ----------------- CUSIP No. 715329108 13G Page 3 of 9 Pages - ------------------- ----------------- - -------------------------------------------------------------------------------- 1. NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) Morgan Stanley Venture Capital II, Inc. - -------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a)[ ] (b)[ ] - -------------------------------------------------------------------------------- 3. SEC USE ONLY - -------------------------------------------------------------------------------- 4. CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------------- 5. SOLE VOTING POWER -0- NUMBER OF SHARES ------------------------------------------------------ BENEFICIALLY OWNED BY 6. SHARED VOTING POWER 180,685 Common Shares EACH REPORTING ------------------------------------------------------ PERSON WITH 7. SOLE DISPOSITIVE POWER -0- ------------------------------------------------------- 8. SHARED DISPOSITIVE POWER 180,685 Common Shares - -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 180,685 Common Shares - -------------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES [ ] CERTAIN SHARES* - -------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.9% - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON* CO - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! Item 1(a). Name of Issuer: Persistence Software, Inc. Item 1(b). Address of Issuer's Principal Executive Offices: 1720 S. Amplett Blvd. Third Floor San Mateo, CA 94402 Item 2(a). Name of Person Filing: This statement is filed on behalf of the persons identified below. In accordance with Rule 13d-1(k)(1) under the Securities and Exchange Act of 1934, as amended (the "Exchange Act"), each person filing this statement acknowledges that it is responsible for the completeness and accuracy of the information concerning that person but is not responsible for the completeness or accuracy of the information concerning the other persons making the filing, unless such person knows or has reason to believe that such information is inaccurate. Morgan Stanley Dean Witter & Co. ("Morgan Stanley") MSIT Holdings, Inc. ("MSIT") Morgan Stanley Venture Capital II, Inc. ("MSVC II") Item 2(b). Address of Principal Business Office or, if None, Residence: The address of the principal business office of MSVC II is: 1221 Avenue of the Americas New York, New York 10020 The address of the principal business office of MSIT and Morgan Stanley is: 1585 Broadway New York, New York 10036 Item 2(c). Citizenship: The citizenship of Morgan Stanley, MSIT and MSVC II is Delaware. Item 2(d). Title of Class of Securities: This statement relates to the Company's Common Stock, par value $0.001 per share. Item 2(e). CUSIP Number: 715329 10 8 Item 3. If this Statement is Filed Pursuant to Rule 13d-1(b), or 13d-2(b) or (c), Check Whether the Person Filing is a: (a) [ ] Broker or dealer registered under Section 15 of the Exchange Act; (b) [ ] Bank as defined in Section 3(a)(6) of the Exchange Act; (c) [ ] Insurance company as defined in Section 3(a)(19) of the Exchange Act; (d) [ ] Investment company registered under Section 8 of the Investment Company Act; (e) [ ] An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E); (f) [ ] An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F); (g) [ ] A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G); (h) [ ] A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act; (i) [ ] A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act; (j) [ ] Group, in accordance with Rule 13d-1(b)(1)(ii)(J). If this statement is filed pursuant to Rule 13d-1(c), check this box. [ ] Item 4. Ownership. The filing of this statement should not be construed as an admission by any person that such person is, for purposes of Section 13(d) or 13(g) of the Exchange Act, the beneficial owner of any securities covered by this statement, other than the securities set forth opposite such person's name in the table in Item 4(c) below. (a) Amount beneficially owned: As of December 31, 2000, MSVC II held 180,685 Common Shares. As of December 31, 2000, MSIT owned 967,775 Common Shares. Morgan Stanley, as the sole shareholder of MSVC II and MSIT, controls the actions of MSVC II and MSIT. Therefore, Morgan Stanley may be deemed to have beneficial ownership of the 1,148,460 Common Shares held collectively by MSVC II and MSIT. (b) Percent of class: (1) Morgan Stanley Dean Witter & Co. 5.8% of the Common Shares MSIT Holdings, Inc. 4.9% of the Common Shares Morgan Stanley Venture Capital II, Inc. 0.9% of the Common Shares - ------------------- (1) Based on the 19,872,874 shares of common stock reported to be outstanding as of October 31, 2000 on the Form 10-Q filed with the SEC for the quarter ended September 30, 2000. (c) Number of shares as to which such person has: (ii) (iii) (iv) (i) Shared power to Sole power to Shared power to Sole power to vote vote or to direct dispose or to direct dispose or to direct or to direct the vote the vote the disposition of the disposition of --------------------- ----------------- -------------------- -------------------- Morgan Stanley Dean Witter & Co. - 0 - 1,148,460 - 0 - 1,148,460 MSIT Holdings, Inc. - 0 - 967,775 - 0 - 967,775 Morgan Stanley Venture Capital II, Inc. - 0 - 180,685 - 0 - 180,685
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. [ ] Item 6. Ownership of More than Five Percent on Behalf of Another Person. N/A Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company. N/A Item 8. Identification and Classification of Members of the Group. N/A Item 9. Notice of Dissolution of Group. N/A Item 10. Certifications. N/A SIGNATURE After reasonable inquiry and to the best of the knowledge and belief of each of the undersigned, each of the undersigned certifies that the information set forth in this statement is true, complete and correct. Date: February 14, 2001 ------------------------------------ MORGAN STANLEY DEAN WITTER & CO. By: /s/ Peter R. Vogelsang ------------------------------------ Name: Peter R. Vogelsang Title: Authorized Signatory MORGAN STANLEY VENTURE CAPITAL II, INC. By: /s/ Debra Abramowitz ------------------------------------ Name: Debra Abramowitz Title: Vice President and Treasurer MSIT HOLDINGS, INC. By: /s/ Scott Graflund ------------------------------------ Name: Scott Graflund Title: President The original statement shall be signed by each person on whose behalf the statement is filed or his, her or its authorized representative. If the statement is signed on behalf of a person by an authorized representative (other than an executive officer or general partner of the filing person), evidence of the representative's authority to sign on behalf of such person shall be filed with the statement, provided, however, that a power of attorney for this purpose which is already on file with the Commission may be incorporated by reference. The name and any title of each person who signs the statement shall be typed or printed beneath the signature. Attention. Intentional misstatements or omissions of fact constitute federal criminal violations (see 18 U.S.C. 1001). Exhibit Index Page ---- Exhibit 1 -- Joint Filing Agreement 9 EX-99.1 2 0002.txt Exhibit 1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended, each of the persons named below agrees to the joint filing of a Statement on Schedule 13G (including amendments thereto) with respect to the common stock, par value $0.001 per share, of Persistence Software, Inc., a Delaware corporation, and further agrees that this Joint filing Agreement be included as an exhibit to such filings provided that, as contemplated by Section 13d- 1(k)(1)(ii), no person shall be responsible for the completeness or accuracy of the information concerning the other persons making the filing, unless such person knows or has reason to believe that such information is inaccurate. In evidence thereof, the undersigned, being duly authorized, hereby execute this Agreement this February 14, 2001. This Schedule may be executed in two or more counterparts, any one of which need not contain the signature of more than one party, but all such parties taken together will constitute part of this Schedule. MORGAN STANLEY DEAN WITTER & CO. By: /s/ Peter R. Vogelsang ------------------------------------ Name: Peter R. Vogelsang Title: Authorized Signatory MORGAN STANLEY VENTURE CAPITAL II, INC. By: /s/ Debra Abramowitz ------------------------------------ Name: Debra Abramowitz Title: Vice President and Treasurer MSIT HOLDINGS, INC. By: /s/ Scott Graflund ------------------------------------ Name: Scott Graflund Title: President -----END PRIVACY-ENHANCED MESSAGE-----