UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13G
(Amendment No. __)*
UNDER THE SECURITIES EXCHANGE ACT OF 1934
ROGUE WAVE, INC.
------------------------------
(Name of Issuer)
Common Stock
------------------------------
(Title of Class of Securities)
775369 10 1
------------------------------
(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 the
disclosures provided in a prior cover 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).
Page 1 of 14 pages
<PAGE>
- --------------------------- ---------------------------
CUSIP No. 775369 10 1 13G Page 2 of 14 Pages
- --------------------------- ---------------------------
- -------- -----------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
Menlo Ventures VI, L.P.
- -------- -----------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_|
(b) |X|
- -------- -----------------------------------------------------------------------
3 SEC USE ONLY
- -------- -----------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
California
- -------- -----------------------------------------------------------------------
5 SOLE VOTING POWER
NUMBER OF 525,708
SHARES ------- -------------------------------------------------------
BENEFICIALLY 6 SHARED VOTING POWER
OWNED BY - 0 -
EACH REPORTING ------- -------------------------------------------------------
PERSON WITH 7 SOLE DISPOSITIVE POWER
525,708
------- -------------------------------------------------------
8 SHARED DISPOSITIVE POWER
- 0 -
- -------- -----------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
525,708
- -------- -----------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
- -------- -----------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
7.84%
- -------- -----------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
PN
- -------- -----------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
Page 2 of 14 pages
<PAGE>
- --------------------------- ---------------------------
CUSIP No. 775369 10 1 13G Page 3 of 14 Pages
- --------------------------- ---------------------------
- -------- -----------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
Menlo Entrepreneurs Fund VI, L.P.
- -------- -----------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_|
(b) |X|
- -------- -----------------------------------------------------------------------
3 SEC USE ONLY
- -------- -----------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
California
- -------- -----------------------------------------------------------------------
5 SOLE VOTING POWER
NUMBER OF 9,101
SHARES ------- -------------------------------------------------------
BENEFICIALLY 6 SHARED VOTING POWER
OWNED BY - 0 -
EACH REPORTING ------- -------------------------------------------------------
PERSON WITH 7 SOLE DISPOSITIVE POWER
9,101
------- -------------------------------------------------------
8 SHARED DISPOSITIVE POWER
- 0 -
- -------- -----------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
9,101
- -------- -----------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
- -------- -----------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
0.12%
- -------- -----------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
PN
- -------- -----------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
Page 3 of 14 pages
<PAGE>
- --------------------------- ---------------------------
CUSIP No. 775369 10 1 13G Page 4 of 14 Pages
- --------------------------- ---------------------------
- -------- -----------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
MV Management VI, L.P.
- -------- -----------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_|
(b) |X|
- -------- -----------------------------------------------------------------------
3 SEC USE ONLY
- -------- -----------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
California
- -------- -----------------------------------------------------------------------
5 SOLE VOTING POWER
NUMBER OF 534,809
SHARES ------- -------------------------------------------------------
BENEFICIALLY 6 SHARED VOTING POWER
OWNED BY - 0 -
EACH REPORTING ------- -------------------------------------------------------
PERSON WITH 7 SOLE DISPOSITIVE POWER
534,809
------- -------------------------------------------------------
8 SHARED DISPOSITIVE POWER
- 0 -
- -------- -----------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
534,809
- -------- -----------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
- -------- -----------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
7.96%
- -------- -----------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
PN
- -------- -----------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
Page 4 of 14 pages
<PAGE>
- --------------------------- ---------------------------
CUSIP No. 775369 10 1 13G Page 5 of 14 Pages
- --------------------------- ---------------------------
- -------- -----------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
Bredt, Thomas H.
- -------- -----------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_|
(b) |X|
- -------- -----------------------------------------------------------------------
3 SEC USE ONLY
- -------- -----------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- -------- -----------------------------------------------------------------------
5 SOLE VOTING POWER
NUMBER OF - 0 -
SHARES ------- -------------------------------------------------------
BENEFICIALLY 6 SHARED VOTING POWER
OWNED BY 534,809
EACH REPORTING ------- -------------------------------------------------------
PERSON WITH 7 SOLE DISPOSITIVE POWER
- 0 -
------- -------------------------------------------------------
8 SHARED DISPOSITIVE POWER
534,809
- -------- -----------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
534,809
- -------- -----------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
- -------- -----------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
7.96%
- -------- -----------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
IN
- -------- -----------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
Page 5 of 14 pages
<PAGE>
- --------------------------- ---------------------------
CUSIP No. 775369 10 1 13G Page 6 of 14 Pages
- --------------------------- ---------------------------
- -------- -----------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
Jarve, John W.
- -------- -----------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_|
(b) |X|
- -------- -----------------------------------------------------------------------
3 SEC USE ONLY
- -------- -----------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- -------- -----------------------------------------------------------------------
5 SOLE VOTING POWER
NUMBER OF - 0 -
SHARES ------- -------------------------------------------------------
BENEFICIALLY 6 SHARED VOTING POWER
OWNED BY 534,809
EACH REPORTING ------- -------------------------------------------------------
PERSON WITH 7 SOLE DISPOSITIVE POWER
- 0 -
------- -------------------------------------------------------
8 SHARED DISPOSITIVE POWER
534,809
- -------- -----------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
534,809
- -------- -----------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
- -------- -----------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
7.96%
- -------- -----------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
IN
- -------- -----------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
Page 6 of 14 pages
<PAGE>
- --------------------------- ---------------------------
CUSIP No. 775369 10 1 13G Page 7 of 14 Pages
- --------------------------- ---------------------------
- -------- -----------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
Carlisle, Douglas C.
- -------- -----------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_|
(b) |X|
- -------- -----------------------------------------------------------------------
3 SEC USE ONLY
- -------- -----------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- -------- -----------------------------------------------------------------------
5 SOLE VOTING POWER
NUMBER OF - 0 -
SHARES ------- -------------------------------------------------------
BENEFICIALLY 6 SHARED VOTING POWER
OWNED BY 534,809
EACH REPORTING ------- ------------------------------------------------------
PERSON WITH 7 SOLE DISPOSITIVE POWER
- 0 -
------- -------------------------------------------------------
8 SHARED DISPOSITIVE POWER
534,809
- -------- -----------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
534,809
- ------- -----------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
- -------- -----------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
7.96%
- -------- -----------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
IN
- -------- -----------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
Page 7 of 14 pages
<PAGE>
- --------------------------- ---------------------------
CUSIP No. 775369 10 1 13G Page 8 of 14 Pages
- --------------------------- ---------------------------
- -------- -----------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
Montgomery, H. DuBose
- -------- -----------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_|
(b) |X|
- -------- -----------------------------------------------------------------------
3 SEC USE ONLY
- -------- -----------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- -------- -----------------------------------------------------------------------
5 SOLE VOTING POWER
NUMBER OF - 0 -
SHARES ------- -------------------------------------------------------
BENEFICIALLY 6 SHARED VOTING POWER
OWNED BY 534,809
EACH REPORTING ------- -------------------------------------------------------
PERSON WITH 7 SOLE DISPOSITIVE POWER
- 0 -
------- -------------------------------------------------------
8 SHARED DISPOSITIVE POWER
534,809
- -------- -----------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
534,809
- -------- -----------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
- -------- -----------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
7.96%
- -------- -----------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
IN
- -------- -----------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
Page 8 of 14 pages
<PAGE>
- --------------------------- ---------------------------
CUSIP No. 775369 10 1 13G Page 9 of 14 Pages
- --------------------------- ---------------------------
- -------- -----------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
Hoel, Sonja L.
- -------- -----------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_|
(b) |X|
- -------- -----------------------------------------------------------------------
3 SEC USE ONLY
- -------- -----------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- -------- -----------------------------------------------------------------------
5 SOLE VOTING POWER
NUMBER OF - 0 -
SHARES ------- -------------------------------------------------------
BENEFICIALLY 6 SHARED VOTING POWER
OWNED BY 534,809
EACH REPORTING ------- ------------------------------------------------------
PERSON WITH 7 SOLE DISPOSITIVE POWER
- 0 -
------- -------------------------------------------------------
8 SHARED DISPOSITIVE POWER
534,809
- -------- -----------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
534,809
- -------- -----------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
- -------- -----------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
7.96%
- -------- -----------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
IN
- -------- -----------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
Page 9 of 14 pages
<PAGE>
- --------------------------- ---------------------------
CUSIP No. 775369 10 1 13G Page 10 of 14 Pages
- --------------------------- ---------------------------
- -------- -----------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
Laufer, Michael D., M.D.
- -------- -----------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_|
(b) |X|
- -------- -----------------------------------------------------------------------
3 SEC USE ONLY
- -------- -----------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- -------- -----------------------------------------------------------------------
5 SOLE VOTING POWER
NUMBER OF - 0 -
SHARES ------- -------------------------------------------------------
BENEFICIALLY 6 SHARED VOTING POWER
OWNED BY 534,809
EACH REPORTING ------- -------------------------------------------------------
PERSON WITH 7 SOLE DISPOSITIVE POWER
- 0 -
------- -------------------------------------------------------
8 SHARED DISPOSITIVE POWER
534,809
- -------- -----------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
534,809
- -------- -----------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
- -------- -----------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
7.96%
- -------- -----------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
IN
- -------- -----------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
Page 10 of 14 pages
<PAGE>
Item 1.
(a) Name of Issuer: Rogue Wave, Inc. ("Issuer")
(b) Address of Issuer's Principal Executive Offices:
850 S.W. 35th Street
Corvallis, OR 97333
Item 2.
(a) Name of Person Filing:
Menlo Ventures VI, L.P. ("MV VI")
Menlo Entrepreneurs Fund VI, L.P. ("MEF VI")
MV Management VI, L.P. ("MVM VI")
Thomas H. Bredt
John W. Jarve
Douglas C. Carlisle
H. DuBose Montgomery
Michael D. Laufer, M.D.
Sonja L. Hoel
(b) Address of Principal Business Office:
3000 Sand Hill Road
Building 4, Suite 100
Menlo Park, CA 94025
(c) Citizenship/Place of Organization:
Entities: MV VI - Delaware
MEF VI - Delaware
MVM VI - Delaware
Individuals: Mr. Bredt - United States
Mr. Jarve - United States
Mr. Carlisle - United States
Mr. Montgomery - United States
Dr. Laufer - United States
Ms. Hoel - United States
(d) Title of Class of Securities: Common Stock
(e) CUSIP Number: 775369 10 1
Item 3. Not applicable.
Page 11 of 14 pages
<PAGE>
<TABLE>
Item 4 Ownership.
<CAPTION>
- ------- ------------ ----------- ---------- ---------- ---------- ---------- ----------- ------------- ---------- ------------
MV VI MEF VI MVM VI Bredt Jarve Carlisle Montgomery Hoel Laufer
- ------- ------------ ----------- ---------- ---------- ---------- ---------- ----------- ------------- ---------- ------------
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C>
(a) Beneficial 525,708 9,101 534,809 534,809 534,809 534,809 534,809 534,809 534,809
Ownership
- ------- ------------ ----------- ---------- ---------- ---------- ---------- ----------- ------------- ---------- ------------
(b) Percentage 7.84% 0.12% 7.96% 7.96% 7.96% 7.96% 7.96% 7.96% 7.96%
of Class
- ------- ------------ ----------- ---------- ---------- ---------- ---------- ----------- ------------- ---------- ------------
(c) Sole 525,708 9,101 534,809 -0- -0- -0- -0- -0- -0-
Voting
Power
- ------- ------------ ----------- ---------- ---------- ---------- ---------- ----------- ------------- ---------- ------------
Shared -0- -0- -0- 534,809 534,809 534,809 534,809 534,809 534,809
Voting
Power
- ------- ------------ ----------- ---------- ---------- ---------- ---------- ----------- ------------- ---------- ------------
Sole 525,708 9,101 534,809 -0- -0- -0- -0- -0- -0-
Dispositive
Power
- ------- ------------ ----------- ---------- ---------- ---------- ---------- ----------- ------------- ---------- ------------
Shared -0- -0- -0- 534,809 534,809 534,809 534,809 534,809 534,809
Dispositive
Power
- ------- ------------ ----------- ---------- ---------- ---------- ---------- ----------- ------------- ---------- ------------
</TABLE>
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
No reporting person is a member of a group as defined in Section
240.13d-1(b)(1)(ii)(H) of the Act.
Item 9. Notice of Dissolution of Group
Not applicable.
Item 10. Certification
Not applicable.
EXHIBITS
A: Joint Filing Statement
Page 12 of 14 pages
<PAGE>
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.
Date: February 12, 1997
MENLO VENTURES VI, L.P. MENLO ENTREPRENEURS FUND VI, L.P.
By: MV Management VI, L.P. By: MV Management VI, L.P.
its general partner its general partner
By: /s/ H. DuBose Montgomery By: /s/ H. DuBose Montgomery
------------------------------ ------------------------------
General Partner General Partner
MV MANAGEMENT VI, L.P.
By: /s/ H. DuBose Montgomery
------------------------------
General Partner
/s/ Thomas H. Bredt
------------------------------
Thomas H. Bredt
/s/ John W. Jarve
------------------------------
John W. Jarve
/s/ Douglas C. Carlisle
------------------------------
Douglas C. Carlisle
/s/ H. DuBose Montgomery
------------------------------
H. DuBose Montgomery
/s/ Michael D. Laufer
------------------------------
Michael D. Laufer
/s/ Sonja L. Hoel
------------------------------
Sonja L. Hoel
Page 13 of 14 pages
<PAGE>
EXHIBIT A
AGREEMENT OF JOINT FILING
We, the undersigned, hereby express our agreement that the attached
Schedule 13G is filed on behalf of us.
Date: February 12, 1997
MENLO VENTURES VI, L.P. MENLO ENTREPRENEURS FUND VI, L.P.
By: MV Management VI, L.P. By: MV Management VI, L.P.
its general partner its general partner
By: /s/ H. DuBose Montgomery By: /s/ H. DuBose Montgomery
------------------------------ ------------------------------
General Partner General Partner
MV MANAGEMENT VI, L.P.
By: /s/ H. DuBose Montgomery
------------------------------
General Partner
/s/ Thomas H. Bredt
------------------------------
Thomas H. Bredt
/s/ John W. Jarve
------------------------------
John W. Jarve
/s/ Douglas C. Carlisle
------------------------------
Douglas C. Carlisle
/s/ H. DuBose Montgomery
------------------------------
H. DuBose Montgomery
/s/ Michael D. Laufer
------------------------------
Michael D. Laufer
/s/ Sonja L. Hoel
------------------------------
Sonja L. Hoel
Page 14 of 14 pages
