-----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, DoXzaYji+9q4bZDn4ccvMZTlp4y668LKFk9whA5cVFJF6OBL93K250RwitrVrfbj Yo0daqdtEtEKCsh8F1WzMQ== 0000950103-97-000095.txt : 19970222 0000950103-97-000095.hdr.sgml : 19970222 ACCESSION NUMBER: 0000950103-97-000095 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970214 SROS: NONE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: AURUM SOFTWARE INC CENTRAL INDEX KEY: 0000887784 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 770292260 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-49057 FILM NUMBER: 97533901 BUSINESS ADDRESS: STREET 1: 3385 SCOTT BLVD. CITY: SANTA CLARA STATE: CA ZIP: 95054 BUSINESS PHONE: 4089868100 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: MORGAN STANLEY GROUP INC /DE/ CENTRAL INDEX KEY: 0000789625 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 132838811 STATE OF INCORPORATION: DE FISCAL YEAR END: 0131 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 1585 BROADWAY CITY: NEW YORK STATE: NY ZIP: 10036 BUSINESS PHONE: 2127034000 SC 13G 1 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION STATEMENT PURSUANT TO RULES 13d-1 AND 13d-2 UNDER THE SECURITIES EXCHANGE ACT OF 1934(1) AURUM SOFTWARE, INC. (Name of Issuer) Common Stock, $.001 par value (Title of Class of Securities) 05208A106 (CUSIP Number) - ------------ (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.05208A106 | 13G |Page 2 of 9 Pages | |____________________________| |______________________________| ___________________________________________________________________________ | 1 | NAME OF REPORTING PERSONS | | | S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS | | | Morgan Stanley Group Inc. | | | 13-2838811 | |____|____________________________________________________________________| | 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 | | BENEFICIALLY | | 2,275,593 | | OWNED BY |____|_______________________________________________| | EACH | 7 | SOLE DISPOSITIVE POWER | | REPORTING | | 0 | | PERSON |____|_______________________________________________| | WITH | 8 | SHARED DISPOSITIVE POWER | | | | 2,275,593 | |____________________|____|_______________________________________________| | 9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | | | 2,275,593 | |____|____________________________________________________________________| | 10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES _ | | | CERTAIN SHARES* |_| | |____|____________________________________________________________________| | 11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | | | 20.4% | |____|____________________________________________________________________| | 12 | TYPE OF REPORTING PERSON* | | | CO | |____|____________________________________________________________________| *SEE INSTRUCTIONS BEFORE FILLING OUT! ______________________________ ________________________________ | | | | |CUSIP No.05208A106 | 13G | Page 3 of 9 Pages | |____________________________| |______________________________| ___________________________________________________________________________ | 1 | NAME OF REPORTING PERSONS | | | S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS | | | 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 | | BENEFICIALLY | | 2,275,593 | | OWNED BY |____|_______________________________________________| | EACH | 7 | SOLE DISPOSITIVE POWER | | REPORTING | | 0 | | PERSON |____|_______________________________________________| | WITH | 8 | SHARED DISPOSITIVE POWER | | | | 2,275,593 | |____________________|____|_______________________________________________| | 9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | | | 2,275,593 | |____|____________________________________________________________________| | 10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES _ | | | CERTAIN SHARES* |_| | |____|____________________________________________________________________| | 11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | | | 20.4% | |____|____________________________________________________________________| | 12 | TYPE OF REPORTING PERSON* | | | CO | |____|____________________________________________________________________| *SEE INSTRUCTIONS BEFORE FILLING OUT! ______________________________ ________________________________ | | | | |CUSIP No.05208A106 | 13G | Page 4 of 9 Pages | |____________________________| |______________________________| ___________________________________________________________________________ | 1 | NAME OF REPORTING PERSONS | | | S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS | | | Morgan Stanley Venture Partners II, L.P. | | | | |____|____________________________________________________________________| | 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 | | BENEFICIALLY | | 2,275,593 | | OWNED BY |____|_______________________________________________| | EACH | 7 | SOLE DISPOSITIVE POWER | | REPORTING | | 0 | | PERSON |____|_______________________________________________| | WITH | 8 | SHARED DISPOSITIVE POWER | | | | 2,275,593 | |____________________|____|_______________________________________________| | 9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | | | 2,275,593 | |____|____________________________________________________________________| | 10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES _ | | | CERTAIN SHARES* |_| | |____|____________________________________________________________________| | 11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | | | 20.4% | |____|____________________________________________________________________| | 12 | TYPE OF REPORTING PERSON* | | | PN | |____|____________________________________________________________________| *SEE INSTRUCTIONS BEFORE FILLING OUT! ______________________________ ________________________________ | | | | |CUSIP No.05208A106 | 13G | Page 5 of 9 Pages | |____________________________| |______________________________| ___________________________________________________________________________ | 1 | NAME OF REPORTING PERSONS | | | S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS | | | Morgan Stanley Venture Capital Fund II, L.P. | | | | |____|____________________________________________________________________| | 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 | | BENEFICIALLY | | 1,502,379 | | OWNED BY |____|_______________________________________________| | EACH | 7 | SOLE DISPOSITIVE POWER | | REPORTING | | 0 | | PERSON |____|_______________________________________________| | WITH | 8 | SHARED DISPOSITIVE POWER | | | | 1,502,379 | |____________________|____|_______________________________________________| | 9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | | | 1,502,379 | |____|____________________________________________________________________| | 10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES _ | | | CERTAIN SHARES* |_| | |____|____________________________________________________________________| | 11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | | | 13.5% | |____|____________________________________________________________________| | 12 | TYPE OF REPORTING PERSON* | | | PN | |____|____________________________________________________________________| *SEE INSTRUCTIONS BEFORE FILLING OUT! Item 1(a). Name of Issuer. Aurum Software, Inc. Item 1(b). Address of Issuer's Principal Executive Offices. 3385 Scott Boulevard Santa Clara, CA 95054 Item 2(a). Name of Person Filing. Morgan Stanley Group Inc. ("Morgan Stanley") Morgan Stanley Venture Capital II, Inc. ("MSVC") Morgan Stanley Venture Partners II, L.P. ("Partners") Morgan Stanley Venture Capital Fund II, L.P. ("Fund") Item 2(b). Address of Principal Business Office or, if None, Residence. The address of the principal business and principal office of each of the Fund, Partners, and MSVC is 1221 Avenue of the Americas, New York, New York 10020. The address of the principal business and principal office of Morgan Stanley is 1585 Broadway, New York, New York 10036. Item 2(c). Citizenship. The citizenship of the Fund, Partners, MSVC and Morgan Stanley is Delaware. Item 2(d). Title of Class of Securities. Common Stock, $.001 par value Item 2(e). CUSIP Number. 05208A106 Item 3. If this statement is filed pursuant to Rule 13d-1(b), or 13d- 2(b), check whether the person filing is a: N/A _ (a) |_| Broker or dealer registered under Section 15 of the Act, _ (b) |_| Bank as defined in Section 3(a)(6) of the Act, (c) |_| Insurance Company as defined in Section 3(a)(19) of the Act, _ (d) |_| Investment Company registered under Section 8 of the Investment Company Act, _ (e) |_| Investment Adviser registered under Section 203 of the Investment Advisers Act of 1940, _ (f) |_| Employee Benefit Plan, Pension Fund which is subject to the provisions of the Employee Retirement Income Security Act of 1974 or Endowment Fund; see Section 240.13d-1(b)(1)(ii)(F), _ (g) |_| Parent Holding Company, in accordance with Section 240.13d-1(b)(1)(ii)(G) (Note: See Item 7), _ (h) |_| Group, in accordance with Section 240.13d- 1(b)(1)(ii)(H). Item 4. Ownership. (a) Amount Beneficially Owned: Fund may be deemed to own beneficially 1,502,379 shares of Common Stock as of December 31, 1996. As described below, Partners, MSVC and Morgan Stanley may each be deemed to own beneficially 2,275,593 shares of Common Stock as of December 31, 1996. Fund, Morgan Stanley Venture Investors, L.P., and Morgan Stanley Venture Capital Fund II, C.V. (the "Funds") have the right to vote or to direct the vote of or to dispose or to direct the disposition of 1,502,379, 432,137 and 341,077 shares of Common Stock, respectively. Partners, as general partner of each Fund, controls the actions of each Fund. MSVC, as general partner of Partners, controls the actions of Partners. Morgan Stanley, as the sole shareholder of MSVC, controls the actions of MSVC. Thus, each of Partners, MSVC and Morgan Stanley may be deemed to beneficially own the entire 2,275,593 shares of Common Stock held by the Funds. (b) Percent of Class:(2) Morgan Stanley 20.4% MSVC 20.4% Partners 20.4% Fund 13.5% (c) Deemed Voting Power and Disposition Power: (i) (ii) (iii) (iv) Deemed Deemed Deemed Deemed to have to have to have to have Sole Power Shared Power Sole Power Shared Power to Vote to Vote to Dispose to Dispose or to or to or to or to Direct Direct Direct the Direct the the Vote the Vote Disposition Disposition - ------------ (2) Based on the 11,127,877 shares of Common Stock reported to be outstanding in the report on Form SB-2 filed on October 28, 1996 by Issuer. Morgan Stanley 2,275,593 2,275,593 MSVC 2,275,593 2,275,593 Partners 2,275,593 2,275,593 Fund 1,502,379 1,502,379 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. See Item 4. Item 8. Identification and Classification of Members of the Group. N/A Item 9. Notice of Dissolution of Group. N/A Item 10. Certification. 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, 1997 Morgan Stanley Venture Capital Fund II, L.P. By: /s/ Peter R. Vogelsang Name: Peter R. Vogelsang Title: Secretary Morgan Stanley Venture Partners II, L.P. By: /s/ Peter R. Vogelsang Name: Peter R. Vogelsang Title: Secretary Morgan Stanley Venture Capital II, Inc. By: /s/ Peter R. Vogelsang Name: Peter R. Vogelsang Title: Secretary Morgan Stanley Group Inc. By: /s/ Peter R. Vogelsang Name: Peter R. Vogelsang Title: Secretary Attention: Intentional misstatements or omissions of fact constitute Federal Criminal violations (See 18 U.S.C. 10001) -----END PRIVACY-ENHANCED MESSAGE-----