SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Schedule 13G
INFORMATION TO BE INCLUDED IN STATEMENTS
FILED PURSUANT TO RULES 13d-1(b)(c) AND (d) AND
AMENDMENTS THERETO FILED PURSUANT TO 13d-2(b)
(Amendment No. 1)*
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)
December 31, 1998
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(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule
is filed:
[ ] Rule 13d-1(b)
[ ] Rule 13d-1(c)
[X] Rule 13d-1(d)
*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 8 Pages
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<TABLE>
<CAPTION>
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CUSIP NO. 714006103 13 G Page 2 of 8 Pages
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<S> <C> <C> <C>
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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 287,045 shares, except that Matrix IV MC, the general partner of Matrix
BENEFICIALLY IV, and Humphreys, a managing partner of Matrix IV MC, may be deemed to
OWNED BY EACH have shared power to vote these shares.
REPORTING
PERSON
WITH
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6 SHARED VOTING POWER
See response to item 5.
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7 SOLE DISPOSITIVE POWER
287,045 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.
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8 SHARED DISPOSITIVE POWER
See response to item 7.
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9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON 287,045
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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
1.8%
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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>
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CUSIP NO. 714006103 13 G Page 3 of 8 Pages
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<S> <C> <C> <C>
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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 45 shares, except that Matrix IV MC, the general partner of Matrix IV EP,
BENEFICIALLY and Humphreys, a managing partner of Matrix IV MC, may be deemed to have
OWNED BY EACH shared power to vote these shares.
REPORTING
PERSON
WITH
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6 SHARED VOTING POWER
See response to item 5.
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7 SOLE DISPOSITIVE POWER
45 shares, except that Matrix IV MC, the general partner of Matrix IV EP,
and Humphreys, a managing partner of Matrix IV MC, may be deemed to have
shared power to dispose of these shares.
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8 SHARED DISPOSITIVE POWER
See response to item 7.
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9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON 45
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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
.0002%
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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>
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CUSIP NO. 714006103 13 G Page 4 of 8 Pages
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<S> <C> <C> <C>
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1 NAME OF REPORTING
SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Matrix IV Management Co., 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
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6 SHARED VOTING POWER
287,090 shares, of which 287,045 are directly owned by Matrix IV and 45
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
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8 SHARED DISPOSITIVE POWER
287,090 shares, of which 287,045 are directly owned by Matrix IV and 45
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
dispose of these shares.
- ------------------------------------ -------- ------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON 287,090
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10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)
EXCLUDES CERTAIN SHARES* N/A [ ]
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11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
1.8%
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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>
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CUSIP NO. 714006103 13 G Page 5 of 8 Pages
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<S> <C> <C> <C>
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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
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NUMBER OF 5 SOLE VOTING POWER
SHARES 64,599 shares
BENEFICIALLY
OWNED BY EACH
REPORTING
PERSON
WITH
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6 SHARED VOTING POWER
287,090 shares, of which 287,045 are directly owned by Matrix IV and 45
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
64,599 shares
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8 SHARED DISPOSITIVE POWER
287,090 shares, of which 287,045 are directly owned by Matrix IV and 45
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 dispose of these
shares.
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9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON 351,689
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10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)
EXCLUDES CERTAIN SHARES* N/A [ ]
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11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
2.2%
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12 TYPE OF REPORTING PERSON*
IN
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<FN>
* SEE INSTRUCTIONS BEFORE FILLING OUT!
</FN>
</TABLE>
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Page 6 of 8 Pages
This Statement amends and restates the Statement on 13(G) (the
"Original Statement") filed by Matrix Partners IV, L.P. ("Matrix IV"), Matrix IV
Entrepreneurs Fund, L.P. ("Matrix IV EP"), Matrix IV Management Co., L.P.
("Matrix IV MC") and W. Michael Humphreys ("Humphreys"). Only those items as to
which there has been a change are included in this Amendment.
ITEM 4. OWNERSHIP
The following information with respect to the ownership of the Common
Stock of the issuer by the persons filing this Statement is provided as of
December 31, 1998:
(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.
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Page 7 of 8 Pages
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:
[X] Yes
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SIGNATURES
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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 3, 1999
MATRIX PARTNERS IV, L.P.
By: Matrix IV Management Co., L.P., its general partner
By: /s/ W. Michael Humphreys
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W. Michael Humphreys, General Partner
MATRIX IV ENTREPENEURS FUND, L.P.
By: Matrix IV Management Co., L.P., its general partner
By: /s/ W. Michael Humphreys
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W. Michael Humphreys, General Partner
MATRIX IV MANAGEMENT CO., L.P.
By: /s/ W. Michael Humphreys
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W. Michael Humphreys, Managing Partner
/s/ W. Michael Humphreys
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W. MICHAEL HUMPHREY
