SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Schedule 13G
Under the Securities Exchange Act of 1934
(Amendment No. ___)*
Peritus Software Services, Inc.
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(Name of Issuer)
Common Stock
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(Title of Class of Securities)
714006103
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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 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).
(Continued on following pages)
Page 1 of 11 Pages
Exhibit Index Contained on Page 10
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<TABLE>
<CAPTION>
<S> <C> <C>
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CUSIP NO. 714006103 13 G Page 2 of 11 Pages
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1 NAME OF REPORTING
SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Matrix Partners IV, L.P. ("Matrix IV")
Tax ID Number: 04-3260303
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ] (b) [X]
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3 SEC USE ONLY
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4 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware Limited Partnership
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NUMBER OF 5 SOLE VOTING POWER
SHARES 1,087,045 shares, except that Matrix IV MC, the general partner of
BENEFICIALLY Matrix IV, and Humphreys, a managing partner of Matrix IV MC, may be
OWNED BY EACH REPORTING deemed to have shared power to vote these shares.
PERSON
WITH
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6 SHARED VOTING POWER
See response to item 5.
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7 SOLE DISPOSITIVE POWER
1,087,045 shares, except that Matrix IV MC, the general partner of
Matrix IV, and Humphreys, a managing partner of Matrix IV MC, may be
deemed to have shared power to dispose of these shares.
-------- -----------------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
See response to item 7.
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9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON 1,087,045
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10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)
EXCLUDES CERTAIN SHARES* [ ]
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11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
8.275%
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12 TYPE OF REPORTING PERSON*
PN
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<FN>
* SEE INSTRUCTIONS BEFORE FILLING OUT!
</FN>
</TABLE>
<PAGE>
<TABLE>
<CAPTION>
<S> <C> <C>
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CUSIP NO. 714006103 13 G Page 3 of 11 Pages
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1 NAME OF REPORTING
SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Matrix IV Entrepreneurs Fund, L.P. ("Matrix IV EP")
Tax ID Number: 04-3293062
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ] (b) [X]
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3 SEC USE ONLY
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4 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware Limited Partnership
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NUMBER OF 5 SOLE VOTING POWER
SHARES 57,213 shares
BENEFICIALLY
OWNED BY EACH REPORTING
PERSON
WITH
-------- -----------------------------------------------------------------------
6 SHARED VOTING POWER
57,213 shares, except that Matrix IV MC, the general partner of Matrix
IV, and Humphreys, a managing partner of Matrix IV MC, may be deemed to
have shared power to dispose of these shares.
-------- -----------------------------------------------------------------------
7 SOLE DISPOSITIVE POWER
57,213 shares
-------- -----------------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
57,213 shares, except that Matrix IV MC, the general partner of Matrix
IV, and Humphreys, a managing partner of Matrix IV MC, may be deemed to
have shared power to dispose of these shares.
- ----------------------------------- -------- -----------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON 57,213
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10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)
EXCLUDES CERTAIN SHARES* [ ]
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11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
.43%
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12 TYPE OF REPORTING PERSON*
PN
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<FN>
* SEE INSTRUCTIONS BEFORE FILLING OUT!
</FN>
</TABLE>
<PAGE>
<TABLE>
<CAPTION>
<S> <C> <C>
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CUSIP NO. 714006103 13 G Page 4 of 11 Pages
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1 NAME OF REPORTING
SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Matrix IV Management Company, L.P. (Matrix IV MC")
Tax ID Number: 04-3260294
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ] (b) [X]
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3 SEC USE ONLY
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4 CITIZENSHIP OR PLACE OF ORGANIZATION
Massachusetts General Partnership
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NUMBER OF 5 SOLE VOTING POWER
SHARES 0
BENEFICIALLY
OWNED BY EACH REPORTING
PERSON
WITH
-------- -----------------------------------------------------------------------
6 SHARED VOTING POWER
1,144,258 shares, of which 1,087,045 are directly owned by Matrix IV and
57,213 are directly owned by Matrix IV EP. Matrix IV MC is the general
partner of Matrix IV and Matrix IV EP and may be deemed to have shared
power to vote these shares.
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7 SOLE DISPOSITIVE POWER
0
-------- -----------------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
1,144,258 shares, of which 1,087,045 are directly owned by Matrix IV and
57,213 are directly owned by Matrix IV EP. Matrix IV MC is the general
partner of Matrix IV and Matrix IV EP and may be deemed to have shared
power to vote these shares.
- ----------- --------------------------------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON 1,144,258
- ----------- --------------------------------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)
EXCLUDES CERTAIN SHARES* N/A [ ]
- ----------- --------------------------------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
8.71%
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12 TYPE OF REPORTING PERSON* PN
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<FN>
* SEE INSTRUCTIONS BEFORE FILLING OUT!
</FN>
</TABLE>
<PAGE>
<TABLE>
<CAPTION>
<S> <C> <C>
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CUSIP NO. 714006103 13 G Page 5 of 11 Pages
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1 NAME OF REPORTING
SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
W. Michael Humphreys ("Humphreys")
Tax ID Number: ###-##-####
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ] (b) [X]
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3 SEC USE ONLY
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4 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- ----------------------------------- -------- -----------------------------------------------------------------------
NUMBER OF 5 SOLE VOTING POWER
SHARES 0 shares
BENEFICIALLY
OWNED BY EACH REPORTING
PERSON
WITH
-------- -----------------------------------------------------------------------
6 SHARED VOTING POWER
1,144,258 shares, of which 1,087,045 are directly owned by Matrix IV and
57,213 are directly owned by Matrix IV EP. Humphreys is a managing
partner of Matrix IV MC and may be deemed to have shared power to vote
these shares.
-------- -----------------------------------------------------------------------
7 SOLE DISPOSITIVE POWER
0 shares
-------- -----------------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
1,144,258 shares, of which 1,087,045 are directly owned by Matrix IV and
57,213 are directly owned by Matrix IV EP. Humphreys is a managing
partner of Matrix IV MC and may be deemed to have shared power to vote
these shares.
- ----------- --------------------------------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON 1,144,258
- ----------- --------------------------------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)
EXCLUDES CERTAIN SHARES* N/A [ ]
- ----------- --------------------------------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
8.71%
- ----------- --------------------------------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
IN
- ----------- --------------------------------------------------------------------------------------------------------
<FN>
* SEE INSTRUCTIONS BEFORE FILLING OUT!
</FN>
</TABLE>
<PAGE>
Page 6 of 11 Pages
ITEM 1(A). NAME OF ISSUER
Peritus Software Services, Inc.
ITEM 1(B). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES
304 Concord Road
Billerica, MA 01821
ITEM 2(A). NAME OF PERSONS FILING
This Statement is filed by Matrix Partners IV, L.P. ("Matrix
IV"), Matrix IV Entrepreneurs Fund, L.P. ("Matrix IV EP"), Matrix IV Management
Company, L.P. ("Matrix IV MC") and W. Michael Humphreys ("Humphreys"). The
foregoing entities and individuals are collectively referred to as the
"Reporting Persons."
Matrix IV MC is the general partner of Matrix IV and Matrix IV
EP, and may be deemed to have indirect beneficial ownership of shares of the
issuer directly owned by Matrix IV and Matrix IV EP. Humphreys is a managing
partner of Matrix IV MC, and may be deemed to have indirect beneficial ownership
of the shares of issuer directly owned by Matrix IV and Matrix IV EP.
Matrix IV MC hereby disclaims beneficial ownership of shares
of issuer directly owned by Matrix IV and Matrix IV EP except to the extent of
any indirect pecuniary interest therein. Humphreys hereby disclaims beneficial
ownership of the shares held by Matrix Partners IV and Matrix IV EP except to
the extent of any respective indirect pecuniary interest therein.
ITEM 2(B). ADDRESS OF PRINCIPAL OFFICE
The address for each of the Reporting Persons is:
Matrix Partners
1000 Winter Street, Suite 4500
Waltham, MA 02154
ITEM 2(C) CITIZENSHIP
Matrix IV is a Delaware limited partnership, Matrix IV EP is a
Deleware limited partnership, Matrix IV MC is a Deleware limited partnership,
and Humphreys is a United States citizen.
ITEM 2(D) AND (E). TITLE OF CLASS OF SECURITIES AND CUSIP NUMBER
Common Stock
CUSIP # 714006103
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Page 7 of 11 Pages
ITEM 3. Not Applicable
ITEM 4. OWNERSHIP
(a) Amount beneficially owned:
See Row 9 of cover page for each Reporting Person.
(b) Percent of Class:
See Row 11 of cover page for each Reporting Person.
(c) Number of shares as to which such person has:
(i) Sole power to vote or to direct the vote:
See Row 5 of cover page for each Reporting Person.
(ii) Shared power to vote or to direct the vote:
See Row 6 of cover page for each Reporting Person.
(iii) Sole power to dispose or to direct the disposition of:
See Row 7 of cover page for each Reporting Person.
(iv) Shared power to dispose or to direct the disposition of:
See Row 8 of cover page for each Reporting Person.
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.
Under certain circumstances set forth in the limited partnership
agreements of Matrix IV, Matrix IV EP and Matrix IV MC, the general and limited
partners of each of such entities may be deemed to have the right to receive
dividends from, or the proceeds from, the sale of shares of the issuer owned by
each such entity of which they are a partner.
<PAGE>
Page 8 of 11 Pages
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. CERTIFICATION.
Not applicable
<PAGE>
Page 9 of 11 Pages
SIGNATURES
After reasonable inquiry and to the best of our knowledge and
belief, we certify that the information set forth in this statement is true,
complete and correct.
Dated: February 6, 1998
MATRIX PARTNERS IV, L.P.
By: Matrix IV Management Company, L.P., its
general partner
By: /s/ W. Michael Humphreys
---------------------------------------
W. Michael Humphreys, General Partner
MATRIX IV ENTREPENEURS FUND, L.P.
By: Matrix IV Management Company, L.P., its
general partner
By: /s/ W. Michael Humphreys
---------------------------------------
W. Michael Humphreys, General Partner
MATRIX IV MANAGEMENT COMPANY, L.P.
By: /s/ W. Michael Humphreys
---------------------------------------
W. Michael Humphreys, Managing Partner
/s/ W. Michael Humphreys
--------------------------------------------
W. MICHAEL HUMPHREYS
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Page 10 of 11 Pages
EXHIBIT INDEX
Found on
Sequentially
Exhibit Numbered Page
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Exhibit A: Agreement of Joint Filing Page 11
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Page 11 of 11 Pages
EXHIBIT A
Agreement of Joint Filing
The undersigned hereby agree that a single Schedule 13G (or
any amendment thereto) relating to the Common Stock of Peritus Software
Services, Inc. shall be filed on behalf of each of the undersigned and that this
Agreement shall be filed as an exhibit to such Schedule 13G.
Executed this 6th day of February, 1998.
MATRIX PARTNERS IV, L.P.
By: Matrix IV Management Company, L.P., its
general partner
By: /s/ W. Michael Humphreys
------------------------------------
W. Michael Humphreys, General Partner
MATRIX IV ENTREPENEURS FUND, L.P.
By: Matrix IV Management Company, L.P., its
general partner
By: /s/ W. Michael Humphreys
------------------------------------
W. Michael Humphreys, General Partner
MATRIX IV MANAGEMENT COMPANY, L.P.
By: /s/ W. Michael Humphreys
------------------------------------
W. Michael Humphreys, Managing Partner
/s/ W. Michael Humphreys
-----------------------------------------
W. MICHAEL HUMPHREYS
