-----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, KvyWKA2p6ifWc9B0G3AJeHUhkmegbkTjsHvzNObeRuXQ0Dw7I8gV3uZQ7k6DfHiD APku+kDGS31TdmjCMiMZAA== 0000927087-97-000268.txt : 19970918 0000927087-97-000268.hdr.sgml : 19970918 ACCESSION NUMBER: 0000927087-97-000268 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970911 SROS: NASD GROUP MEMBERS: PAUL G. ALLEN GROUP MEMBERS: VULCAN VENTURES INC SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: BRODERBUND SOFTWARE INC /DE/ CENTRAL INDEX KEY: 0000812490 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 942768218 STATE OF INCORPORATION: DE FISCAL YEAR END: 0831 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: SEC FILE NUMBER: 005-41968 FILM NUMBER: 97678661 BUSINESS ADDRESS: STREET 1: 500 REDWOOD BLVD CITY: NOVATO STATE: CA ZIP: 94948-6121 BUSINESS PHONE: 4153824400 MAIL ADDRESS: STREET 1: 500 REDWOOD BLVD CITY: NOVATO STATE: CA ZIP: 94948-6121 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: VULCAN VENTURES INC CENTRAL INDEX KEY: 0001014931 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 911374788 STATE OF INCORPORATION: WA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 110 110TH AVE N E STREET 2: STE 550 CITY: BELLEVUE STATE: WA ZIP: 98004 MAIL ADDRESS: STREET 1: 110 110TH AVE NE STREET 2: STE 550 CITY: BELLEVUE STATE: WA ZIP: 98004 SC 13D/A 1 SCHEDULE 13D\A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 - --------------------------------- OMB APPROVAL - --------------------------------- OMB Number: 3235-0145 Expires: October 31, 1994 Estimated average burden hours per response.........14.90 - --------------------------------- --------------- SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1)* -------------- BRODERBUND SOFTWARE, INC. (Name of Issuer) COMMON STOCK (Title of Class of Securities) 11201410 (CUSIP Number) William D. Savoy David R. Wilson Vulcan Ventures Incorporated Foster Pepper & Shefelman PLLC 110-110th Avenue N.E., Suite 550 1111 Third Avenue, Suite 3400 Bellevue, WA 98004 Seattle, WA 98101 (206) 453-1940 (206) 447-8922 (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) July 28 - August 7, 1997 (Date of Event which Requires Filing of This Statement) --------------- If the filing person has previously filed a statement on Schedule 13G to report the acquisition which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(b)(3) or (4), check the following box. |_| Check the following box if a fee is being paid with the statement |_|. (A fee is not required only if the reporting 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 of less of such class.) (See Rule 13d-7.) Note: Six copies of this statement, including all exhibits, should be filed with the Commission. See Rule 13d-1(a) for other parties to whom copies are to be sent. r r *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). SEC 1745 (2/92) 0300661.01 - ------------------------------------------------------------------------------- CUSIP NO. 11201410 13D Page 2 of 11 Pages - ------------------------------------------------------------------------------- - ------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Vulcan Ventures Incorporated - ------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |_| - ------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* - ------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(E) - ------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION State of Washington - ------------------------------------------------------------------------------- NUMBER OF 7 SOLE VOTING POWER SHARES BENEFICIALLY -0- shares OWNED BY EACH REPORTING PERSON WITH ---------------------------------------------------- 8 SHARED VOTING POWER -0- shares ---------------------------------------------------- 9 SOLE DISPOSITIVE POWER -0- shares ---------------------------------------------------- 10 SHARED DISPOSITIVE POWER -0- shares - ------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON -0- shares - ------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* - ------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) -0- - ------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* CO - ------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! - ------------------------------------------------------------------------------- CUSIP NO. 011201410 13D Page 3 of 11 Pages - ------------------------------------------------------------------------------- - ------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Paul G. Allen - ------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |_| - ------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* - ------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(E) - ------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Mr. Allen is a U.S. citizen - ------------------------------------------------------------------------------- NUMBER OF 7 SOLE VOTING POWER SHARES BENEFICIALLY -0- shares OWNED BY EACH REPORTING PERSON WITH ---------------------------------------------------- 8 SHARED VOTING POWER -0- shares ---------------------------------------------------- 9 SOLE DISPOSITIVE POWER -0- shares ---------------------------------------------------- 10 SHARED DISPOSITIVE POWER -0- shares - ------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON -0- shares - ------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* - ------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) -0- - ------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* IN - ------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! Item 1. Security and Issuer Title of Class of Equity Securities: Common Stock of Broderbund Software, Inc. Name and Address of Principal Executive Offices of the Issuer: Broderbund Software, Inc. 500 Redwood Blvd. Novato, CA 94948 Item 2. Identity and Background (a) Name of Person Filing: Vulcan Ventures Incorporated ("Vulcan Ventures") State of Organization: Washington (b) Principal Business: Investments in various companies (c) Address of Principal Business: 110-110th Avenue N. E., Suite 550 Bellevue, Washington 98004 Address of Principal Office: 110-110th Avenue N. E., Suite 550 Bellevue, Washington 98004 (d) Conviction in a Criminal Proceeding (excluding traffic violations or similar misdemeanors) during the Last Five Years: No (e) Party in a Civil Proceeding during the last five years and as a result was or is subject to a judgment, decree or final order enjoining future violations of or prohibiting or mandating activities subject to federal or state securities laws or finding any violation with respect to such laws: No The names, business address, present principal occupation and citizenship of each executive officer, director and controlling person of Vulcan Ventures is as follows: Paul G. Allen (See Page 8 of 11) William D. Savoy, Vulcan Ventures Incorporated, 110-110th Avenue N.E., Suite 550, Bellevue, WA 98004. Mr. Savoy is Vice President and Director of Vulcan Ventures and Vice President of Vulcan Northwest Inc. Citizenship is U.S. Bert E. Kolde, Vulcan Ventures Incorporated, 110-110th Avenue N.E., Suite 550, Bellevue, Washington 98004. Principal occupation is Vice President, Secretary, Treasurer and Director of Vulcan Ventures. Citizenship is U.S. Jo Allen Patton, Vulcan Ventures Incorporated, 110-110th Avenue N.E., Suite 550, Bellevue, WA 98004. Ms. Patton is Director of Vulcan Ventures. Citizenship is U.S. To the best knowledge of Vulcan Ventures, during the last five years none of these people have been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors) or a party to a civil proceeding as a result of such proceeding was or is subject to a judgment, decree or final order enjoining future 0300661.01 Page 4 of 11 violations of, or prohibiting or mandating activities subject to federal or state securities laws or finding any violation with respect to such laws. Item 3: Source and Amount of Funds or Other Consideration N/A Regarding Paul G. Allen (See Page 8 of 11) Item 4. Purpose of Transaction The purpose of the transactions disclosed herein was to reduce Vulcan Ventures' ownership of the Issuer's securities. Before the transactions listed in Item 5, Vulcan Ventures owned 1,120,000 shares of common stock of the issuer, or approximately 5.6% of the outstanding shares of common stock. After the transactions listed below, Vulcan Ventures owned less than 5% of the common stock of the issuer. Vulcan Ventures does not have any plans or proposals that relate to or would result in any of the matters specified in Item 4 of Schedule 13D. Item 5. Interest in Securities of the Issuer (a) Aggregate Number of Shares of Common Stock of the Issuer. Beneficially Owned: -0- shares. (b) Sole Voting Power: -0- shares Sole Dispositive Power: -0- shares Shared Voting Power: -0- shares Shared Dispositive Power: -0- shares (c) The following transactions in common stock of the Issuer were effected by Vulcan Ventures: Number of Shares of Trade Date Common Stock of Price of Sales Broderbund Software, Inc. Per Share 07/28/97 1,000 $22.875 07/28/97 6,000 $22.875 07/28/97 3,000 $22.9375 07/28/97 5,000 $23.125 07/28/97 1,000 $23.125 07/28/97 3,000 $23.0625 07/28/97 3,000 $23.125 07/28/97 40,000 $23.375 07/29/97 10,000 $22.25 07/29/97 7,000 $22.125 07/29/97 4,000 $22.25 07/29/97 2,000 $22.25 07/29/97 6,000 $22.25 07/29/97 4,000 $22.125 07/29/97 3,000 $22.25 07/29/97 3,000 $22.25 07/29/97 6,000 $22.28125 07/29/97 5,000 $22.3125 07/29/97 5,000 $22.375 07/29/97 3,000 $22.50 0300661.01 Page 5 of 11 Number of Shares of Trade Date Common Stock of Price of Sales Broderbund Software, Inc. Per Share 07/29/97 1,000 $22.625 07/30/97 2,500 $21.875 07/30/97 5,000 $21.875 07/30/97 5,500 $21.50 07/30/97 2,000 $21.5625 07/30/97 5,000 $21.6875 07/30/97 2,500 $21.6875 07/30/97 10,000 $21.625 07/30/97 5,000 $21.75 07/30/97 50,000 $21.625 07/30/97 50,000 $21.625 07/30/97 5,000 $21.625 07/30/97 10,000 $21.625 07/30/97 10,000 $21.75 07/30/97 10,000 $22.00 07/30/97 10,000 $22.0625 07/30/97 8,000 $22.25 07/30/97 2,000 $22.25 07/31/97 2,000 $21.5625 07/31/97 2,000 $21.4375 07/31/97 10,000 $21.375 07/31/97 1,000 $21.5625 07/31/97 1,200 $21.50 07/31/97 15,000 $21.875 07/31/97 5,000 $21.875 07/31/97 5,000 $21.875 07/31/97 5,000 $21.875 07/31/97 5,000 $21.75 07/31/97 15,000 $21.875 08/01/97 3,500 $21.25 08/01/97 7,000 $21.375 08/01/97 5,000 $21.50 08/01/97 10,000 $21.50 08/01/97 20,000 $21.375 08/01/97 11,000 $21.375 08/01/97 4,000 $21.625 08/01/97 5,000 $21.625 08/01/97 5,000 $21.625 08/01/97 5,000 $21.625 08/04/97 2,500 $21.625 08/04/97 5,000 $22.00 08/04/97 15,000 $22.00 08/04/97 10,000 $21.75 08/04/97 15,000 $21.84375 08/04/97 15,000 $21.84375 08/04/97 60,000 $21.50 08/04/97 10,000 $21.50 0300661.01 Page 6 of 11 Number of Shares of Trade Date Common Stock of Price of Sales Broderbund Software, Inc. Per Share 08/05/97 5,000 $21.875 08/05/97 15,000 $21.875 08/05/97 10,000 $22.00 08/05/97 30,000 $21.75 08/05/97 20,000 $21.75 08/06/97 10,000 $21.875 08/06/97 10,000 $21.875 08/06/97 10,000 $21.875 08/06/97 7,500 $21.8125 08/07/97 300,000 $23.0625 08/07/97 15,000 $23.125 08/07/97 5,000 $23.375 08/07/97 40,000 $23.125 08/07/97 15,000 $23.125 08/07/97 25,000 $22.875 08/07/97 54,800 $23.00 (d) Not applicable (e) On July 30, 1997 Vulcan Ventures ceased to be the beneficial owner of more than five percent of the Broderbund Software, Inc. common stock. To the best knowledge of Vulcan Ventures, its directors, executive officers and controlling persons beneficially own the following shares of the Issuer: Paul G. Allen, Director, President and sole shareholder of Vulcan Ventures beneficially owns -0- shares. Item 6. Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer. None. Item 7. Material to be Filed as Exhibits. None. 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. September 10, 1997 VULCAN VENTURES INCORPORATED - ------------------ (Date) By: /s/ William D. Savoy ----------------------------------------- William D. Savoy, Vice President 0300661.01 Page 7 of 11 Item 1. Security and Issuer Title of Class of Equity Securities: Common Stock of Broderbund Software, Inc. Name and Address of Principal Executive Offices of the Issuer: Broderbund Software, Inc. 500 Redwood Blvd. Novato, CA 94948 Item 2. Identity and Background (a) Name of Person Filing: Paul G. Allen, President and sole shareholder of Vulcan Ventures Incorporated (b) Business Address: 110-110th Avenue N. E., Suite 550 Bellevue, Washington 98004 (c) Principal Occupation and the Name of Principal Business and Address of any corporation in which such employment is conducted: Chairman Asymetrix Corporation 110 - 110th Ave. N.E., Suite 550 Bellevue, Washington 98004 (d) Conviction in a Criminal Proceeding (excluding traffic violations or similar misdemeanors) during the Last Five Years: No (e) Party in a Civil Proceeding during the last five years and as a result was or is subject to a judgment, decree or final order enjoining future violations of or prohibiting or mandating activities subject to federal or state securities laws or finding any violation with respect to such laws: No (f) Citizenship: Mr. Allen is a U.S. citizen. Item 3: Source and Amount of Funds or Other Consideration N/A Item 4. Purpose of Transaction The purpose of the transactions disclosed herein was to reduce Vulcan Ventures' ownership of the Issuer's securities. Before the transactions listed in Item 5, Vulcan Ventures owned 1,120,000 shares of common stock of the issuer, or approximately 5.6% of the outstanding shares of common stock. After the transactions listed below, Vulcan Ventures owned less than 5% of the common stock of the issuer. Vulcan Ventures does not have any plans or proposals that relate to or would result in any of the matters specified in Item 4. Item 5. Interest in Securities of the Issuer (a) Aggregate Number of Shares of Common Stock of the Issuer. Beneficially Owned: -0- shares. 0300661.01 Page 8 of 11 (b) Sole Voting Power: -0- shares Sole Dispositive Power: -0- shares Shared Voting Power: -0- shares Shared Dispositive Power: -0- shares (c) The following transactions in common stock of the Issuer were effected by Vulcan Ventures: Number of Shares of Trade Date Common Stock of Price of Sales Broderbund Software, Inc. Per Share 07/28/97 1,000 $22.875 07/28/97 6,000 $22.875 07/28/97 3,000 $22.9375 07/28/97 5,000 $23.125 07/28/97 1,000 $23.125 07/28/97 3,000 $23.0625 07/28/97 3,000 $23.125 07/28/97 40,000 $23.375 07/29/97 10,000 $22.25 07/29/97 7,000 $22.125 07/29/97 4,000 $22.25 07/29/97 2,000 $22.25 07/29/97 6,000 $22.25 07/29/97 4,000 $22.125 07/29/97 3,000 $22.25 07/29/97 3,000 $22.25 07/29/97 6,000 $22.28125 07/29/97 5,000 $22.3125 07/29/97 5,000 $22.375 07/29/97 3,000 $22.50 07/29/97 1,000 $22.625 07/30/97 2,500 $21.875 07/30/97 5,000 $21.875 07/30/97 5,500 $21.50 07/30/97 2,000 $21.5625 07/30/97 5,000 $21.6875 07/30/97 2,500 $21.6875 07/30/97 10,000 $21.625 07/30/97 5,000 $21.75 07/30/97 50,000 $21.625 07/30/97 50,000 $21.625 07/30/97 5,000 $21.625 07/30/97 10,000 $21.625 07/30/97 10,000 $21.75 07/30/97 10,000 $22.00 07/30/97 10,000 $22.0625 07/30/97 8,000 $22.25 07/30/97 2,000 $22.25 07/31/97 2,000 $21.5625 07/31/97 2,000 $21.4375 07/31/97 10,000 $21.375 07/31/97 1,000 $21.5625 07/31/97 1,200 $21.50 07/31/97 15,000 $21.875 0300661.01 Page 9 of 11 Number of Shares of Trade Date Common Stock of Price of Sales Broderbund Software, Inc. Per Share 07/31/97 5,000 $21.875 07/31/97 5,000 $21.875 07/31/97 5,000 $21.875 07/31/97 5,000 $21.75 07/31/97 15,000 $21.875 08/01/97 3,500 $21.25 08/01/97 7,000 $21.375 08/01/97 5,000 $21.50 08/01/97 10,000 $21.50 08/01/97 20,000 $21.375 08/01/97 11,000 $21.375 08/01/97 4,000 $21.625 08/01/97 5,000 $21.625 08/01/97 5,000 $21.625 08/01/97 5,000 $21.625 08/04/97 2,500 $21.625 08/04/97 5,000 $22.00 08/04/97 15,000 $22.00 08/04/97 10,000 $21.75 08/04/97 15,000 $21.84375 08/04/97 15,000 $21.84375 08/04/97 60,000 $21.50 08/04/97 10,000 $21.50 08/05/97 5,000 $21.875 08/05/97 15,000 $21.875 08/05/97 10,000 $22.00 08/05/97 30,000 $21.75 08/05/97 20,000 $21.75 08/06/97 10,000 $21.875 08/06/97 10,000 $21.875 08/06/97 10,000 $21.875 08/06/97 7,500 $21.8125 08/07/97 300,000 $23.0625 08/07/97 15,000 $23.125 08/07/97 5,000 $23.375 08/07/97 40,000 $23.125 08/07/97 15,000 $23.125 08/07/97 25,000 $22.875 08/07/97 54,800 $23.00 (d) Not applicable (e) On July 30, 1997 Vulcan Ventures ceased to be the beneficial owner of more than five percent of the Broderbund Software, Inc. common stock. To the best knowledge of Vulcan Ventures, its directors, executive officers and controlling persons beneficially own the following shares of the Issuer: Paul G. Allen, Director, President and sole shareholder of Vulcan Ventures beneficially owns -0- shares. Item 6. Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer. 0300661.01 Page 10 of 11 None. Item 7. Material to be Filed as Exhibits. None. 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. September 10, 1997 - -------------------- (Date) /s/ Paul G. Allen ------------------------------------------ Paul G. Allen Page 11 of 11 -----END PRIVACY-ENHANCED MESSAGE-----