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SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. )*
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Optika Imaging Systems, Inc.
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(Name of Issuer)
Common Stock
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(Title of Class of Securities)
683973101
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(CUSIP Number)
*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
could alter the disclosures provided in a prior 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 ("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).
(Continued on following page(s))
Page 1 of Pages
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CUSIP No. 683973101 13G Page 2 of Pages
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(1) Names of Reporting Persons, S.S. or I.R.S. Identification Nos. of Above
Persons
JMI Partners 76-0367609
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(2) Check the Appropriate Box if a Member (a) / /
of a Group* (b) / /
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(3) SEC Use Only
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(4) Citizenship or Place of Organization
United States of America
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Number of Shares (5) Sole Voting
Beneficially Power 0
Owned by ----------------------------------------------------
Each Reporting (6) Shared Voting
Person With Power 400,533
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(7) Sole Dispositive
Power 0
----------------------------------------------------
(8) Shared Dispositive
Power 400,533
- --------------------------------------------------------------------------------
(9) Aggregate Amount Beneficially Owned by Each Reporting Person
400,533
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(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% based on November 1997 10Q
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(12) Type of Reporting Person*
PN
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*SEE INSTRUCTION BEFORE FILLING OUT!
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CUSIP No. 683973101 13G Page 3 of Pages
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(1) Names of Reporting Persons, S.S. or I.R.S. Identification Nos. of Above
Persons
JMI Equity Fund, L.P. 76-0367611
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(2) Check the Appropriate Box if a Member (a) / /
of a Group* (b) / /
- --------------------------------------------------------------------------------
(3) SEC Use Only
- --------------------------------------------------------------------------------
(4) Citizenship or Place of Organization
United States of America
- --------------------------------------------------------------------------------
Number of Shares (5) Sole Voting
Beneficially Power 0
Owned by ----------------------------------------------------
Each Reporting (6) Shared Voting
Person With Power 400,533
----------------------------------------------------
(7) Sole Dispositive
Power 0
----------------------------------------------------
(8) Shared Dispositive
Power 400,533
- --------------------------------------------------------------------------------
(9) Aggregate Amount Beneficially Owned by Each Reporting Person
400,533
- --------------------------------------------------------------------------------
(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% based on November 1997 10Q
- --------------------------------------------------------------------------------
(12) Type of Reporting Person*
PN
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*SEE INSTRUCTION BEFORE FILLING OUT!
<PAGE>
CUSIP No. 683973101 13G Page 4 of Pages
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(1) Names of Reporting Persons, S.S. or I.R.S. Identification Nos. of Above
Persons
Charles E. Noell ###-##-####
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(2) Check the Appropriate Box if a Member (a) / /
of a Group* (b) / /
- --------------------------------------------------------------------------------
(3) SEC Use Only
- --------------------------------------------------------------------------------
(4) Citizenship or Place of Organization
United States of America
- --------------------------------------------------------------------------------
Number of Shares (5) Sole Voting
Beneficially Power 0
Owned by ----------------------------------------------------
Each Reporting (6) Shared Voting
Person With Power 400,533
----------------------------------------------------
(7) Sole Dispositive
Power 0
----------------------------------------------------
(8) Shared Dispositive
Power 400,533
- --------------------------------------------------------------------------------
(9) Aggregate Amount Beneficially Owned by Each Reporting Person
400,533
- --------------------------------------------------------------------------------
(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% based on November 1997 10Q
- --------------------------------------------------------------------------------
(12) Type of Reporting Person*
IN
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*SEE INSTRUCTION BEFORE FILLING OUT!
<PAGE>
CUSIP No. 683973101 13G Page 5 of Pages
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(1) Names of Reporting Persons, S.S. or I.R.S. Identification Nos. of Above
Persons
Harry S. Gruner ###-##-####
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(2) Check the Appropriate Box if a Member (a) / /
of a Group* (b) / /
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(3) SEC Use Only
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(4) Citizenship or Place of Organization
United States of America
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Number of Shares (5) Sole Voting
Beneficially Power 12,500
Owned by ----------------------------------------------------
Each Reporting (6) Shared Voting
Person With Power 400,533
----------------------------------------------------
(7) Sole Dispositive
Power 12,500
----------------------------------------------------
(8) Shared Dispositive
Power 400,533
- --------------------------------------------------------------------------------
(9) Aggregate Amount Beneficially Owned by Each Reporting Person
413,033
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(10) Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares*
- --------------------------------------------------------------------------------
(11) Percent of Class Represented by Amount in Row (9)
6.0% based on November 1997 10Q
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(12) Type of Reporting Person*
IN
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*SEE INSTRUCTION BEFORE FILLING OUT!
<PAGE>
CUSIP No. 683973101 13G Page 6 of Pages
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(1) Names of Reporting Persons, S.S. or I.R.S. Identification Nos. of Above
Persons
Norris van den Berg ###-##-####
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(2) Check the Appropriate Box if a Member (a) / /
of a Group* (b) / /
- --------------------------------------------------------------------------------
(3) SEC Use Only
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(4) Citizenship or Place of Organization
United States of America
- --------------------------------------------------------------------------------
Number of Shares (5) Sole Voting
Beneficially Power 0
Owned by ----------------------------------------------------
Each Reporting (6) Shared Voting
Person With Power 400,533
----------------------------------------------------
(7) Sole Dispositive
Power 0
----------------------------------------------------
(8) Shared Dispositive
Power 400,533
- --------------------------------------------------------------------------------
(9) Aggregate Amount Beneficially Owned by Each Reporting Person
400,533
- --------------------------------------------------------------------------------
(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% based on November 1997 10Q
- --------------------------------------------------------------------------------
(12) Type of Reporting Person*
IN
- --------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
<PAGE>
CUSIP No. 683973101 13G Page 7 of Pages
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- --------------------------------------------------------------------------------
(1) Names of Reporting Persons, S.S. or I.R.S. Identification Nos. of Above
Persons
Anthony Moores ###-##-####
- --------------------------------------------------------------------------------
(2) Check the Appropriate Box if a Member (a) / /
of a Group* (b) / /
- --------------------------------------------------------------------------------
(3) SEC Use Only
- --------------------------------------------------------------------------------
(4) Citizenship or Place of Organization
United States of America
- --------------------------------------------------------------------------------
Number of Shares (5) Sole Voting
Beneficially Power 0
Owned by ----------------------------------------------------
Each Reporting (6) Shared Voting
Person With Power 400,533
----------------------------------------------------
(7) Sole Dispositive
Power 0
----------------------------------------------------
(8) Shared Dispositive
Power 400,533
- --------------------------------------------------------------------------------
(9) Aggregate Amount Beneficially Owned by Each Reporting Person
400,533
- --------------------------------------------------------------------------------
(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% based on November 1997 10Q
- --------------------------------------------------------------------------------
(12) Type of Reporting Person*
IN
- --------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
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ITEM 1(a). NAME OF ISSUER: Optika Imaging Systems, Inc.
ITEM 1(b). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES:
5755 Mark Dabling Boulevard
Suite 100
Colorado Springs, CO 80919
ITEM 2(a). NAMES OF PERSONS FILING: JMI Equity Fund, L.P. ("JMI"), JMI
Partners, L.P. ("JMI Partners"), which is the sole general
partner of JMI, and Messrs. Harry S. Gruner ("Gruner"), Anthony
Moores ("Moores"), Charles Noell ("Noell") and Norris van den
Berg ("van den Berg") (the "General Partners"). Gruner, Moores,
Noell and van den Berg are individual general partners of JMI
Partners. The persons named in this paragraph are referred to
individually herein as a "Reporting Person" and collectively as
the "Reporting Persons".
ITEM 2(b). ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE: The
address of the principal business office of the Reporting Persons
is JMI, Inc., 1119 St. Paul Street, Baltimore, Maryland 21202.
ITEM 2(c). CITIZENSHIP: Each of JMI and JMI Partners is a limited
partnership organized under the laws of the State of Delaware.
Each of the General Partners is a United States citizen.
ITEM 2(d). TITLE OF CLASS OF SECURITIES: Common Stock, $.001 par value per
share.
ITEM 2(e). CUSIP NUMBER: 683973101
ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO RULES 13d-1(b), OR
13d-2(b), CHECK WHETHER THE PERSON FILING AS A:
(a) / / Broker or dealer registered under Section 15 of the
Securities Exchange Act of 1934 (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 of 1940.
(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 Rule 13d-1(b)(1)(ii)(F)
of the Act.
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(g) / / Parent Holding Company, in accordance with Rule
13-d-1(b)(ii)(G) of the Act.
(h) / / Group, in accordance with Rule 13d-1(b)(1)(ii)(H) of
the Act.
Not applicable. This Schedule 13G is not being filed pursuant to Rule 13d-1(b)
or 13d-2(b).
ITEM 4. OWNERSHIP.
(a) Amount Beneficially Owned: JMI is the record owner of 400,533 shares
(the "Record Shares") as of December 31, 1997. As the general partner of
JMI, JMI Partners may be deemed to own beneficially the Record Shares.
As the general partners of JMI Partners, the sole general partner of
JMI, each of the General Partners may also be deemed to own beneficially
the Record Shares. Therefore, JMI, JMI Partners and each of the General
Partners, except Harry Gruner, may be deemed to own beneficially 400,533
shares. Harry Gruner, a general partner of JMI Partners may be deemed to
own beneficially 413,033 shares which includes 12,500 shares of Common
Stock issuable upon exercise of options that are currently exercisable.
(b) Percent of Class: Each Reporting Person, except Harry Gruner: 5.8%.
Harry Gruner: 6.0%. The foregoing percentage is calculated based on the
6,853,524 shares of Common Stock reported to be outstanding at November
7, 1997 in the most recent Form 10Q of Optika Imaging Systems, Inc., as
adjusted pursuant to Rule 13d-3(d)(1).
(c) Number of shares as to which such person has:
(i) sole power to vote or to direct the vote: 0 shares for each
Reporting Person.(1)
(ii) shared power to vote or to direct the vote: 400,533 for each
Reporting Person.
(iii) sole power to dispose or to direct the disposition of: 0 shares
for each Reporting Person.(1)
(iv) shared power to dispose or to direct the disposition of: 400,533
for each Reporting Person.
Each Reporting Person disclaims beneficial ownership of such shares of Common
Stock, except in the case of JMI, for the 400,533 shares it holds of record.
(1) Except for Harry Gruner who in addition to the shares owned beneficially
by all general partners of JMI Partners, L.P., may be deemed to
beneficially own 12,500 shares of Common Stock which are currently
exercisable over which he would have sole power to vote or direct the
vote and sole power to dispose.
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ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS.
Not applicable.
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. The Reporting Persons expressly disclaim membership
in a "group" as used in Rule 13d-1(b)(ii)(H).
ITEM 9. NOTICE OF DISSOLUTION OF GROUP.
Not applicable.
ITEM 10. CERTIFICATION.
Not applicable. This statement on Schedule 13G is not filed
pursuant to Rule 13d-1(b).
