-----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, KXbEiPCkMI+lbxhwGFwMr8Fkx3w9ev1/8vugHfvkcKaL52s6CZycmx8PhVC1Frx4 eAC5vPFmqETFXvpkTri+QQ== 0000950103-00-000638.txt : 20000522 0000950103-00-000638.hdr.sgml : 20000522 ACCESSION NUMBER: 0000950103-00-000638 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20000510 FILED AS OF DATE: 20000519 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: SYMIX SYSTEMS INC CENTRAL INDEX KEY: 0000872443 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 311083175 STATE OF INCORPORATION: OH FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: 3 SEC ACT: SEC FILE NUMBER: 000-19024 FILM NUMBER: 640422 BUSINESS ADDRESS: STREET 1: 2800 CORPORATE EXCHANGE DR CITY: COLUMBUS STATE: OH ZIP: 43231 BUSINESS PHONE: 6145237000 MAIL ADDRESS: STREET 1: 2800 CORPORATE EXCHANGE DR CITY: COLUMBUS STATE: OH ZIP: 43231 COMPANY DATA: COMPANY CONFORMED NAME: MORGAN STANLEY DEAN WITTER & CO CENTRAL INDEX KEY: 0000895421 STANDARD INDUSTRIAL CLASSIFICATION: FINANCE SERVICES [6199] OWNER IRS NUMBER: 363145972 STATE OF INCORPORATION: DE FISCAL YEAR END: 1130 FILING VALUES: FORM TYPE: 3 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 3 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES FORM 3 OMB APROVAL OMB NUMBER: 3235-0104 Expires: December 31, 2001 Estimated average burden hours per response........0.5 Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 (Print or Type Responses) 1. Name and Address of Reporting Person* Morgan Stanley Dean Witter & Co.(1) - ----------------------------------------------------------------------------- (Last) (First) (Middle) 1221 Avenue of the Americas - ----------------------------------------------------------------------------- (Street) New York NY 10020 - ----------------------------------------------------------------------------- (City) (State) (Zip) 2. Date of Event Requiring Statement (Month/Day/Year) 05/10/00 - ----------------------------------------------------------------------------- 3. IRS or Social Security Number of Reporting Person in an entity (voluntary) - ----------------------------------------------------------------------------- 4. Issuer Name and Ticker or Trading Symbol Symix Systems, Inc. (SYMX) - ----------------------------------------------------------------------------- 5. Relationship of Reporting Person(s) to Issuer (Check all applicable) Director x 10% Owner --- --- Officer (give title below) Other (specify below) --- --- - ---------------------------------------------------------------------------- 6. If Amendment, Date of Original (Month/Day/Year) - ----------------------------------------------------------------------------- 7. Individual or Joint/Group Filing (Check Applicable Line) Form filed by One Reporting Person - ---- x Form filed by More than One Reporting Person - ---- Table I -- Non-Derivative Securities Beneficially Owned
1. Title of Security 2. Amount of Securities 3. Ownership 4. Nature of Indirect (Instr. 4) Beneficially Owned Form: Direct Beneficial Ownership (Instr. 4) (D) or Indirect (Instr. 5) (I)(Instr. 5) - -----------------------------------------------------------------------------------------------------------------------------------
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. * If the form is filed by more than one reporting person, see Instruction 5(b)(v). Page 1 of 3 (Over) SEC 1473 (3-99) FORM 3 (contniued) Table II -- Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative 2. Date Exercisable 3. Title and Amount of 4. Conver- 5. Owner- 6. Nature Security (Instr. 4) and Expiration Securities Underlying sion or ship of In- Date (Month/Day/Year) Derivative Security Exercise Form of direct ------------------------- (Instr. 4) Price of Deriv- Bene- Date Expira- ------------------------- Derivative ative ficial Exer- tion Title Amount Security Security: Owner- cisable Date or Direct ship Number (D) or (Instr. of Indirect 5) Shares (I) (Instr. 5) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock Warrants immed. 5/10/55 Common Stock 320,212 $15.00 I(2) Through Partnerships Series A Convertible immed. NA Common Stock 800,532 $12.00(3) I(2) Through Participating Preferred Stock Partnerships
Explanation of Responses: (1) Please see attached Joint Filer Information. (2) Except for Morgan Stanley Dean Witter Venture Partners IV, L.P., Morgan Stanley Dean Witter Venture Investors IV, L.P., Morgan Stanley Dean Witter Venture Offshore Investors IV, L.P. (collectively, the "Funds") and Morgan Stanley Dean Witter Equity Funding, Inc. ("Equity Funding"), which hold the securities directly. (3) The Series A Participating Preferred Stock (the "Preferred Stock") is initially convertible on a two-for-one basis into shares of Common Stock. The conversion ratio is subject to certain anti-dilution and duration adjustments. /s/ Thomas Clayton /s/ Stephanie Holmes May 19, 2000 - ------------------------------- ------------------------------- ------------ **Signature of Reporting Person **Signature of Reporting Person Date By: Thomas Clayton, Vice By: Stephanie Holmes, authorized President of Equity Funding signatory for Morgan Stanley Dean Witter & Co. and Assistant Secretary of MSDW Venture Partners IV, Inc. the corporate member of MSDW Venture Partners IV, L.L.C., the general partner of the Funds. **Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, See Instruction 6 for procedure. Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. Page 2 of 3 SEC 1473 (3-99) Joint Filer Information Each of the following joint filers has designated Morgan Stanley Dean Witter & Co. ("MSDW") as the "Designated Filer" for purposes of Item 1 of the attached Form 3: (1) MSDW Venture Partners IV, Inc. ("MSVP Inc.") 1585 Broadway New York, New York 10036 (2) MSDW Venture Partners IV, L.L.C. ("MSVP LLC") 1221 Avenue of the Americas New York, New York 10020 (3) Morgan Stanley Dean Witter Venture Partners IV, L.P. ("MSVP IV, L.P.") 1221 Avenue of the Americas New York, New York 10020 (4) Morgan Stanley Dean Witter Venture Investors IV, L.P. ("MSVI IV, L.P.") 1221 Avenue of the Americas New York, New York 10020 (5) Morgan Stanley Dean Witter Venture Offshore Investors IV, L.P. ("MSVOI IV, L.P.") 1221 Avenue of the Americas New York, New York 10020 (6) Morgan Stanley Dean Witter Equity Funding, Inc. ("Equity Funding") 1585 Broadway New York, New York 10036 Issuer & Ticker Symbol: Symix Systems, Inc. (SYMX) Date of Event Requiring Statement: 5/10/00 Signature: /s/ Stephanie Holmes --------------------------------------------------------------------- By: Stephanie Holmes, as authorized signatory for MSDW and Assistant Secretary of MSVP Inc., the corporate Member of MSVP IV LLC, the General Partner of MSVP IV, L.P., MSVI IV, L.P. and MSVOI IV, L.P. Signature: /s/ Thomas Clayton --------------------------------------------------------------------- By: Thomas Clayton, as Vice President of Equity Funding Page 3 of 3 -----END PRIVACY-ENHANCED MESSAGE-----