-----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, GcdcN+g5KasRxnO/VQdPmiytHugWGubAezlamEQgTtzmCI94In3qOn6H9Nu508GJ 3IPVpilSiCSrwomJgohvAg== 0000950103-02-000148.txt : 20020414 0000950103-02-000148.hdr.sgml : 20020414 ACCESSION NUMBER: 0000950103-02-000148 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20020213 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/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-56467 FILM NUMBER: 02541041 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/A BUSINESS ADDRESS: STREET 1: 1585 BROADWAY CITY: NEW YORK STATE: NY ZIP: 10036 BUSINESS PHONE: 2127614000 MAIL ADDRESS: STREET 1: 1221 SIXTH AVENUE STREET 2: 27TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10020 FORMER COMPANY: FORMER CONFORMED NAME: DEAN WITTER DISCOVER & CO DATE OF NAME CHANGE: 19960315 SC 13G/A 1 jan3102_13ga-per.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. 2)* Persistence Software, Inc. - ------------------------------------------------------------------------------- (Name of Issuer) Common Stock, par value $0.001 - ------------------------------------------------------------------------------- (Title of Class of Securities) 715329108 - ------------------------------------------------------------------------------- (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) - -------- 1 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 2 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 6. SHARED VOTING POWER 968,800 BENEFICIALLY OWNED BY ----------------------------------------------------- EACH 7. SOLE DISPOSITIVE POWER -0- REPORTING PERSON WITH ----------------------------------------------------- 8. SHARED DISPOSITVE POWER 968,800 - ------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 968,800 - ------------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - ------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 4.8% - ------------------------------------------------------------------------------- 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) 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 6. SHARED VOTING POWER 816,861 BENEFICIALLY OWNED BY ----------------------------------------------------- EACH 7. SOLE DISPOSITIVE POWER -0- REPORTING PERSON WITH ----------------------------------------------------- 8. SHARED DISPOSITVE POWER 816,861 - ------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 816,861 - ------------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - ------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 4.1% - ------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON* CO - ------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 715329108 13G Page 4 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 6. SHARED VOTING POWER 151,939 BENEFICIALLY OWNED BY ----------------------------------------------------- EACH 7. SOLE DISPOSITIVE POWER -0- REPORTING PERSON WITH ----------------------------------------------------- 8. SHARED DISPOSITVE POWER 151,939 - ------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 151,939 - ------------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - ------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 0.8% - ------------------------------------------------------------------------------- 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 South 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 (the "Reporting Persons"). 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. ("MSDW") 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 MSDW is: 1585 Broadway New York, New York 10036 Item 2(c). Citizenship: The citizenship of MSDW, 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 (the "Shares"). Item 2(e). CUSIP Number: 715329108 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; Page 5 of 9 (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, 2001, MSIT held directly 816,861Shares and MSVC II held directly 151,939 Shares. MSDW, as the sole shareholder of MSVC II and MSIT, controls the actions of MSVC II and MSIT. Therefore, MSDW may be deemed to have beneficial ownership of the 968,800 Shares held collectively by MSVC II and MSIT. This is the Reporting Persons' final amendment to the Schedule 13G and is an exit filing. MSDW is filing solely in its capacity as a parent company of, and indirect beneficial owner of securities held by, one of its business units. (b) Percent of class:(1) Morgan Stanley Dean Witter & Co. 4.8% of the Shares MSIT Holdings, Inc. 4.1% of the Shares Page 6 of 9 Morgan Stanley Venture Capital II, Inc. 0.8% of the Shares - --------- (1) Based on the 20,002,863 shares of common stock reported to be outstanding as of October 31, 2001 on the Form 10-Q filed with the SEC for the quarter ended September 30, 2001. (c) Number of shares as to which such person has: (iii) (iv) (i) (ii) Sole power to Shared power to Sole power to Shared power to dispose or dispose or vote or to vote or to to direct the to direct the direct the vote direct the vote disposition of disposition of --------------- --------------- -------------- -------------- Morgan Stanley Dean Witter & Co. - 0 - 968,800 - 0 - 968,800 MSIT Holdings, Inc. - 0 - 816,861 - 0 - 816,861 Morgan Stanley Venture Capital II, Inc. - 0 - 151,939 - 0 - 151,939
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. Certifications. Not applicable Page 7 of 9 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 13, 2002 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 Abramovitz ---------------------------------- Name: Debra Abramowitz Title: Vice President and Treasurer MSIT HOLDINGS, INC. By: /s/ Scott Graflund ---------------------------------- Name: Scott Graflund Title: President Page 8 of 9 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 13, 2002. 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 Page 9 of 9 -----END PRIVACY-ENHANCED MESSAGE-----