UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No._____________ )*
Simulation Sciences, Inc.
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(Name of Issuer)
Common Stock, $.001 par value
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(Title of Class of Securities)
0008292131
-------------------------------
(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).
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CUSIP No. 0008292131 13G Page 2 of 33 Pages
----------
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- ------ -------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Summit Ventures III, L.P.
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ]
(b) [ ]
- ------ -------------------------------------------------------------------------
3 SEC USE ONLY
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware limited partnership
- ------ -------------------------------------------------------------------------
- ----------------------- ----- --------------------------------------------------
5 SOLE VOTING POWER
0 shares
NUMBER OF
----- --------------------------------------------------
----- --------------------------------------------------
SHARES 6 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 1,278,651 shares
----- --------------------------------------------------
----- --------------------------------------------------
EACH 7 SOLE DISPOSITIVE POWER
REPORTING
PERSON 0 shares
----- --------------------------------------------------
----- --------------------------------------------------
WITH 8 SHARED DISPOSITIVE POWER
1,278,651 shares
- ----------------------- ----- --------------------------------------------------
- ------ -------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,278,651 shares
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ]
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
13.0%
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON *
PN
- ------ -------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
Page 2 of 33 Pages
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CUSIP No. 0008292131 13G Page 3 of 33 Pages
----------
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- ------ -------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Summit Partners III, L.P.
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ]
(b) [ ]
- ------
- ------ -------------------------------------------------------------------------
3 SEC USE ONLY
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware limited partnership
- ------ -------------------------------------------------------------------------
- ----------------------- ----- --------------------------------------------------
5 SOLE VOTING POWER
0 shares
NUMBER OF
----- --------------------------------------------------
----- --------------------------------------------------
SHARES 6 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 1,278,651 shares
----- --------------------------------------------------
----- --------------------------------------------------
EACH 7 SOLE DISPOSITIVE POWER
REPORTING
PERSON 0 shares
----- --------------------------------------------------
----- --------------------------------------------------
WITH 8 SHARED DISPOSITIVE POWER
1,278,651 shares
- ----------------------- ----- --------------------------------------------------
- ------ -------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,278,651 shares
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ]
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
13.0%
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON *
PN
- ------ -------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
Page 3 of 33 Pages
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CUSIP No. 0008292131 13G Page 4 of 33 Pages
----------
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1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Summit Investors II, L.P.
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ]
(b) [ ]
- ------
- ------ -------------------------------------------------------------------------
3 SEC USE ONLY
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware limited partnership
- ------ -------------------------------------------------------------------------
- ----------------------- ----- --------------------------------------------------
5 SOLE VOTING POWER
0 shares
NUMBER OF
----- --------------------------------------------------
----- --------------------------------------------------
SHARES 6 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 1,278,651 shares
----- --------------------------------------------------
----- --------------------------------------------------
EACH 7 SOLE DISPOSITIVE POWER
REPORTING
PERSON 0 shares
----- --------------------------------------------------
----- --------------------------------------------------
WITH 8 SHARED DISPOSITIVE POWER
1,278,651 shares
- ----------------------- ----- --------------------------------------------------
- ------ -------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,278,651 shares
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ]
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
13.0%
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON *
PN
- ------ -------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
Page 4 of 33 Pages
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CUSIP No. 0008292131 13G Page 5 of 33 Pages
----------
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- ------ -------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Stamps, Woodsum & Co. III
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ]
(b) [ ]
- ------
- ------ -------------------------------------------------------------------------
3 SEC USE ONLY
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
Massachusetts general partnership
- ------ -------------------------------------------------------------------------
- ----------------------- ----- --------------------------------------------------
5 SOLE VOTING POWER
0 shares
NUMBER OF
----- --------------------------------------------------
----- --------------------------------------------------
SHARES 6 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 1,278,651 shares
----- --------------------------------------------------
----- --------------------------------------------------
EACH 7 SOLE DISPOSITIVE POWER
REPORTING
PERSON 0 shares
----- --------------------------------------------------
----- --------------------------------------------------
WITH 8 SHARED DISPOSITIVE POWER
1,278,651 shares
- ----------------------- ----- --------------------------------------------------
- ------ -------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,278,651 shares
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ]
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
13.0%
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON *
PN
- ------ -------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
Page 5 of 33 Pages
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CUSIP No. 0008292131 13G Page 6 of 33 Pages
----------
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1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
E. Roe Stamps, IV
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ]
(b) [ ]
- ------
- ------ -------------------------------------------------------------------------
3 SEC USE ONLY
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- ------ -------------------------------------------------------------------------
- ----------------------- ----- --------------------------------------------------
5 SOLE VOTING POWER
0 shares
NUMBER OF
----- --------------------------------------------------
----- --------------------------------------------------
SHARES 6 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 1,278,651 shares
----- --------------------------------------------------
----- --------------------------------------------------
EACH 7 SOLE DISPOSITIVE POWER
REPORTING
PERSON 0 shares
----- --------------------------------------------------
----- --------------------------------------------------
WITH 8 SHARED DISPOSITIVE POWER
1,278,651 shares
- ----------------------- ----- --------------------------------------------------
- ------ -------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,278,651 shares
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ]
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
13.0%
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON *
IN
- ------ -------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
Page 6 of 33 Pages
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CUSIP No. 0008292131 13G Page 7 of 33 Pages
----------
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1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Stephen G. Woodsum
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ]
(b) [ ]
- ------
- ------ -------------------------------------------------------------------------
3 SEC USE ONLY
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- ------ -------------------------------------------------------------------------
- ----------------------- ----- --------------------------------------------------
5 SOLE VOTING POWER
0 shares
NUMBER OF
----- --------------------------------------------------
----- --------------------------------------------------
SHARES 6 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 1,278,651 shares
----- --------------------------------------------------
----- --------------------------------------------------
EACH 7 SOLE DISPOSITIVE POWER
REPORTING
PERSON 0 shares
----- --------------------------------------------------
----- --------------------------------------------------
WITH 8 SHARED DISPOSITIVE POWER
1,278,651 shares
- ----------------------- ----- --------------------------------------------------
- ------ -------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,278,651 shares
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ]
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
13.0%
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON *
IN
- ------ -------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
Page 7 of 33 Pages
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CUSIP No. 0008292131 13G Page 8 of 33 Pages
----------
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1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Gregory M. Avis
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ]
(b) [ ]
- ------
- ------ -------------------------------------------------------------------------
3 SEC USE ONLY
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- ------ -------------------------------------------------------------------------
- ----------------------- ----- --------------------------------------------------
5 SOLE VOTING POWER
0 shares
NUMBER OF
----- --------------------------------------------------
----- --------------------------------------------------
SHARES 6 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 1,278,651 shares
----- --------------------------------------------------
----- --------------------------------------------------
EACH 7 SOLE DISPOSITIVE POWER
REPORTING
PERSON 0 shares
----- --------------------------------------------------
----- --------------------------------------------------
WITH 8 SHARED DISPOSITIVE POWER
1,278,651 shares
- ----------------------- ----- --------------------------------------------------
- ------ -------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,278,651 shares
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ]
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
13.0%
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON *
IN
- ------ -------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
Page 8 of 33 Pages
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CUSIP No. 0008292131 13G Page 9 of 33 Pages
----------
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1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
John A. Genest
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ]
(b) [ ]
- ------
- ------ -------------------------------------------------------------------------
3 SEC USE ONLY
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- ------ -------------------------------------------------------------------------
- ----------------------- ----- --------------------------------------------------
5 SOLE VOTING POWER
0 shares
NUMBER OF
----- --------------------------------------------------
----- --------------------------------------------------
SHARES 6 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 1,278,651 shares
----- --------------------------------------------------
----- --------------------------------------------------
EACH 7 SOLE DISPOSITIVE POWER
REPORTING
PERSON 0 shares
----- --------------------------------------------------
----- --------------------------------------------------
WITH 8 SHARED DISPOSITIVE POWER
1,278,651 shares
- ----------------------- ----- --------------------------------------------------
- ------ -------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,278,651 shares
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ]
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
13.0%
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON *
IN
- ------ -------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
Page 9 of 33 Pages
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CUSIP No. 0008292131 13G Page 10 of 33 Pages
----------
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1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Martin J. Mannion
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ]
(b) [ ]
- ------
- ------ -------------------------------------------------------------------------
3 SEC USE ONLY
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- ------ -------------------------------------------------------------------------
- ----------------------- ----- --------------------------------------------------
5 SOLE VOTING POWER
0 shares
NUMBER OF
----- --------------------------------------------------
----- --------------------------------------------------
SHARES 6 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 1,278,651 shares
----- --------------------------------------------------
----- --------------------------------------------------
EACH 7 SOLE DISPOSITIVE POWER
REPORTING
PERSON 0 shares
----- --------------------------------------------------
----- --------------------------------------------------
WITH 8 SHARED DISPOSITIVE POWER
1,278,651 shares
- ----------------------- ----- --------------------------------------------------
- ------ -------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,278,651 shares
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ]
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
13.0%
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON *
IN
- ------ -------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
Page 10 of 33 Pages
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CUSIP No. 0008292131 13G Page 11 of 33 Pages
----------
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- ------ -------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Ernest K. Jacquet
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ]
(b) [ ]
- ------
- ------ -------------------------------------------------------------------------
3 SEC USE ONLY
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- ------ -------------------------------------------------------------------------
- ----------------------- ----- --------------------------------------------------
5 SOLE VOTING POWER
0 shares
NUMBER OF
----- --------------------------------------------------
----- --------------------------------------------------
SHARES 6 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 1,278,651 shares
----- --------------------------------------------------
----- --------------------------------------------------
EACH 7 SOLE DISPOSITIVE POWER
REPORTING
PERSON 0 shares
----- --------------------------------------------------
----- --------------------------------------------------
WITH 8 SHARED DISPOSITIVE POWER
1,278,651 shares
- ----------------------- ----- --------------------------------------------------
- ------ -------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,278,651 shares
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ]
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
13.0%
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON *
IN
- ------ -------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
Page 11 of 33 Pages
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CUSIP No. 0008292131 13G Page 12 of 33 Pages
----------
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- ------ -------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Bruce R. Evans
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ]
(b) [ ]
- ------
- ------ -------------------------------------------------------------------------
3 SEC USE ONLY
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- ------ -------------------------------------------------------------------------
- ----------------------- ----- --------------------------------------------------
5 SOLE VOTING POWER
0 shares
NUMBER OF
----- --------------------------------------------------
----- --------------------------------------------------
SHARES 6 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 1,278,651 shares
----- --------------------------------------------------
----- --------------------------------------------------
EACH 7 SOLE DISPOSITIVE POWER
REPORTING
PERSON 0 shares
----- --------------------------------------------------
----- --------------------------------------------------
WITH 8 SHARED DISPOSITIVE POWER
1,278,651 shares
- ----------------------- ----- --------------------------------------------------
- ------ -------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,278,651 shares
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ]
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
13.0%
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON *
IN
- ------ -------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
Page 12 of 33 Pages
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CUSIP No. 0008292131 13G Page 13 of 33 Pages
----------
- --------------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Thomas S. Roberts
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ]
(b) [ ]
- ------
- ------ -------------------------------------------------------------------------
3 SEC USE ONLY
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- ------ -------------------------------------------------------------------------
- ----------------------- ----- --------------------------------------------------
5 SOLE VOTING POWER
0 shares
NUMBER OF
----- --------------------------------------------------
----- --------------------------------------------------
SHARES 6 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 1,278,651 shares
----- --------------------------------------------------
----- --------------------------------------------------
EACH 7 SOLE DISPOSITIVE POWER
REPORTING
PERSON 0 shares
----- --------------------------------------------------
----- --------------------------------------------------
WITH 8 SHARED DISPOSITIVE POWER
1,278,651 shares
- ----------------------- ----- --------------------------------------------------
- ------ -------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,278,651 shares
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ]
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
13.0%
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON *
IN
- ------ -------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
Page 13 of 33 Pages
- --------------------------------------------------------------------------------
CUSIP No. 0008292131 13G Page 14 of 33 Pages
----------
- --------------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Walter G. Kortschak
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ]
(b) [ ]
- ------
- ------ -------------------------------------------------------------------------
3 SEC USE ONLY
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- ------ -------------------------------------------------------------------------
- ----------------------- ----- --------------------------------------------------
5 SOLE VOTING POWER
0 shares
NUMBER OF
----- --------------------------------------------------
----- --------------------------------------------------
SHARES 6 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 1,278,651 shares
----- --------------------------------------------------
----- --------------------------------------------------
EACH 7 SOLE DISPOSITIVE POWER
REPORTING
PERSON 0 shares
----- --------------------------------------------------
----- --------------------------------------------------
WITH 8 SHARED DISPOSITIVE POWER
1,278,651 shares
- ----------------------- ----- --------------------------------------------------
- ------ -------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,278,651 shares
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ]
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
13.0%
- ------ -------------------------------------------------------------------------
- ------ -------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON *
IN
- ------ -------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
Page 14 of 33 Pages
Schedule 13G
------------
Item 1(a). Name of Issuer: Simulation Sciences, Inc.
Item 1(b). Address of Issuer's Principal Executive Offices:
6015 Valencia Avenue, Brea, California 92621
Item 2(a). Names of Persons Filing: Summit Ventures III, L.P., Summit
Partners III, L.P., Summit Investors II, L.P., Stamps, Woodsum
& Co. III and Messrs. E. Roe Stamps, IV, Stephen G. Woodsum,
Gregory M. Avis, John A. Genest, Martin J. Mannion, Ernest K.
Jacquet, Bruce R. Evans, Thomas S. Roberts and Walter G.
Kortschak.
Summit Partners III, L.P. is the sole general partner of
Summit Ventures III, L.P. Stamps, Woodsum & Co. III is the
sole general partner of Summit Partners III, L.P. Messrs.
Stamps, Woodsum, Avis, Genest, Mannion, Jacquet, Evans,
Roberts and Kortschak are individual general partners of
Stamps, Woodsum & Co. III and Summit Investors II, L.P.
Item 2(b). Address of Principal Business Office or, if None, Residence:
The address of the principal business office of Summit
Ventures III, L.P., Summit Partners III, L.P., Summit
Investors II, L.P., Stamps, Woodsum & Co. III and Messrs.
Stamps, Woodsum, Mannion, Genest, Jacquet, Evans and Roberts
is Summit Partners, 600 Atlantic Avenue, Boston, Massachusetts
02210. The address of the principal business office of Messrs.
Avis and Kortschak is Summit Partners, 499 Hamilton Avenue,
Palo Alto, California 94301.
Item 2(c). Citizenship: Each of Summit Ventures III, L.P., Summit
Partners III, L.P. and Summit Investors II, L.P. is a limited
partnership organized under the laws of the State of Delaware.
Stamps, Woodsum & Co. III is a general partnership organized
under the laws of the Commonwealth of Massachusetts. Each of
Messrs. Stamps, Woodsum, Avis, Mannion, Genest, Jacquet,
Evans, Roberts and Kortschak 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: 0008292131
Item 3. If this statement is filed pursuant to Rules 13d-1(b), or
13d-2(b), check whether the person filing is a:
(a) [ ] Broker or Dealer registered under Section 15 of the
Securities Exchange Act of 1934 (the "Act").
Page 15 of 33 Pages
(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.
(g) [ ] Parent Holding Company, in accordance with Rule
13d-1(b)(ii)(G) of the Act.
(h) [ ] Group, in accordance with Rule 13d-1(b)(1)(ii)(H)
of the Act.
Not Applicable.
Item 4. Ownership.
(a) Amount Beneficially Owned:
Each of Summit Ventures III, L.P., Summit Partners III,
L.P., Summit Investors II, L.P., and Stamps, Woodsum &
Co. III (individually an "Entity" and collectively the
"Entities") may be deemed to own beneficially 1,278,651
shares of Common Stock as of December 31, 1996. Each of
Messrs. Stamps, Woodsum, Avis, Mannion, Genest, Jacquet,
Evans, Roberts and Kortschak may be deemed to own
beneficially 1,278,651 shares of Common Stock as of
December 31, 1996.
As of December 31, 1996, Summit Ventures III, L.P. was
the record owner of 1,258,149 shares of Common Stock.
Summit Investors II, L.P. was the record owner of 20,502
shares of Common Stock. The shares held of record by
Summit Ventures III, L.P. and Summit Investors II, L.P.
are referred to herein collectively as the "Record
Shares." By virtue of the affiliate relationships among
the Entities, each Entity may be deemed to own
beneficially all of the Record
Page 16 of 33 Pages
Shares. Hence, each Entity may be deemed to own
beneficially 1,278,651 shares of Common Stock. In their
capacities as individual general partners of Stamps,
Woodsum & Co. III and Summit Investors II, L.P., each of
Messrs. Stamps, Woodsum, Avis, Mannion, Genest, Jacquet,
Evans, Roberts and Kortschak may be deemed to own
beneficially 1,278,651 shares of Common Stock.
(b) Percent of Class:
Summit Ventures III, L.P.: 13.0%
Summit Partners III, L.P.: 13.0%
Summit Investors II, L.P.: 13.0%
Stamps, Woodsum & Co. III: 13.0%
E. Roe Stamps, IV: 13.0%
Stephen G. Woodsum: 13.0%
Gregory M. Avis: 13.0%
Martin J. Mannion: 13.0%
John A. Genest: 13.0%
Ernest K. Jacquet: 13.0%
Bruce R. Evans: 13.0%
Walter G. Kortschak: 13.0%
Thomas S. Roberts: 13.0%
The foregoing percentages are calculated based on the
9,471,803 shares of Common Stock reported to be
outstanding in a Quarterly Report on Form 10-Q for
Simulation Sciences, Inc. for the quarter ended
September 30, 1996, 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
(ii) shared power to vote or to direct the vote:
Summit Ventures III, L.P.: 1,278,651 shares
Summit Partners III, L.P.: 1,278,651 shares
Summit Investors II, L.P.: 1,278,651 shares
Stamps, Woodsum & Co. III: 1,278,651 shares
E. Roe Stamps, IV: 1,278,651 shares
Stephen G. Woodsum: 1,278,651 shares
Gregory M. Avis: 1,278,651 shares
Martin J. Mannion: 1,278,651 shares
John A. Genest: 1,278,651 shares
Ernest K. Jacquet: 1,278,651 shares
Bruce R. Evans: 1,278,651 shares
Walter G. Kortschak: 1,278,651 shares
Thomas S. Roberts: 1,278,651 shares
(iii) sole power to dispose or direct the disposition
of:
0 shares for each reporting person
(iv) shared power to dispose or direct the disposition
of:
Summit Ventures III, L.P.: 1,278,651 shares
Summit Partners III, L.P.: 1,278,651 shares
Summit Investors II, L.P.: 1,278,651 shares
Stamps, Woodsum & Co. III: 1,278,651 shares
E. Roe Stamps, IV: 1,278,651 shares
Stephen G. Woodsum: 1,278,651 shares
Gregory M. Avis: 1,278,651 shares
Martin J. Mannion: 1,278,651 shares
John A. Genest: 1,278,651 shares
Page 17 of 33 Pages
Ernest K. Jacquet: 1,278,651 shares
Bruce R. Evans: 1,278,651 shares
Walter G. Kortschak: 1,278,651 shares
Thomas S. Roberts: 1,278,651 shares
Each of the reporting persons expressly disclaims beneficial
ownership of any shares of Common Stock of Simulation
Sciences,Inc. except in the case of Summit Ventures III, L.P.,
for the 1,258,149 shares which it holds of record and in the
case of Summit Investors II, L.P., for the 20,502 shares which
it holds of record.
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.
Page 18 of 33 Pages
Item 8. Identification and Classification of Members of the Group.
Not Applicable. The reporting persons expressly disclaim
membership in a "group" as defined 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).
Page 19 of 33 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. We also hereby agree to file this statement jointly pursuant to the
Agreement listed on Exhibit 1 hereto.
Dated: February 14, 1997
SUMMIT VENTURES III, L.P. *
---------------------------
E. Roe Stamps, IV
By: Summit Partners III, L.P.
By: Stamps, Woodsum & Co. III *
---------------------------
Stephen G. Woodsum
By: *
---------------------------
E. Roe Stamps, IV *
General Partner ---------------------------
Gregory M. Avis
SUMMIT INVESTORS II, L.P.
*
---------------------------
Martin J. Mannion
By: /s/ John A. Genest
----------------------------------
General Partner /s/ John A. Genest
---------------------------
John A. Genest
SUMMIT PARTNERS III, L.P.
*
---------------------------
By: Stamps, Woodsum & Co. III Ernest K. Jacquet
By: * *
----------------------------- ---------------------------
E. Roe Stamps, IV Bruce R. Evans
General Partner
STAMPS, WOODSUM & CO. III *
---------------------------
Walter G. Kortschak
By: * *
----------------------------------- ---------------------------
E. Roe Stamps, IV Thomas S. Roberts
General Partner
Page 20 of 33 Pages
*By: /s/ John A. Genest
-----------------------
John A. Genest,
Attorney-in-Fact
- --------------------------------------------------------------------------------
* Pursuant to Powers of Attorney on file with the Commission, which Powers of
Attorney are incorporated herein by reference. Copies of such Powers of Attorney
are attached hereto as Exhibit 2.
Page 21 of 33 Pages
Exhibit 1
---------
AGREEMENT
Pursuant to Rule 13d-1(f)(1) under the Securities Exchange Act of 1934,
the undersigned hereby agree that only one statement containing the information
required by Schedule 13G need be filed with respect to the ownership by each of
the undersigned of shares of Common Stock of Simulation Sciences, Inc.
This agreement may be executed in any number of counterparts, each of
which shall be deemed an original.
EXECUTED this 14th day of February, 1997.
SUMMIT VENTURES III, L.P. *
-------------------------
E. Roe Stamps, IV
By: Summit Partners III, L.P.
*
-------------------------
By: Stamps, Woodsum & Co. III Stephen G. Woodsum
*
-------------------------
By: * Gregory M. Avis
--------------------------
E. Roe Stamps, IV
General Partner *
-------------------------
Martin J. Mannion
SUMMIT INVESTORS II, L.P.
/s/ John A. Genest
-------------------------
John A. Genest
By: /s/ John A. Genest *
-------------------------------- ------------------------
General Partner Ernest K. Jacquet
*
-------------------------
SUMMIT PARTNERS III, L.P. Bruce R. Evans
By: Stamps, Woodsum & Co. III *
-------------------------
Walter G. Kortschak
By: * *
-------------------------- -------------------------
E. Roe Stamps, IV Thomas S. Roberts
General Partner
Page 22 of 33 Pages
STAMPS, WOODSUM & CO. III
By: *
----------------------------
E. Roe Stamps, IV
General Partner
*By: /s/ John A. Genest
-----------------------
John A. Genest,
Attorney-in-Fact
- --------------------------------------------------------------------------------
* Pursuant to Powers of Attorney on file with the Commission, which Powers
of Attorney are incorporated herein by reference. Copies of such Powers of
Attorney are attached hereto as Exhibit 2.
Exhibit 2
---------
POWER OF ATTORNEY
KNOW ALL MEN BY THESE PRESENTS, that each person whose signature appears
below hereby constitutes and appoints each and any of E. Roe Stamps, IV, Stephen
G. Woodsum and John A. Genest his true and lawful attorney-in-fact and agent,
with full power of substitution and resubstitution, for him and in his name,
place and stead, in any and all capacities (until revoked in writing) to sign
any and all instruments, certificates and documents required to be executed on
behalf of himself individually or on behalf of each or any of Summit Ventures,
L.P., Summit Partners, L.P., Stamps, Woodsum & Co., Summit Partners' Holdings,
L.P., Summit Ventures II, L.P., Summit Partners II, L.P., Stamps, Woodsum & Co.
II, SV Eurofund C.V., SV International, L.P., Stamps, Woodsum International &
Co., Summit Investors, L.P., Summit Investors II, L.P., Summit Investors III,
L.P., Summit Ventures III, L.P., Summit Partners III, L.P., Stamps, Woodsum &
Co. III, Summit Ventures IV, L.P., Summit Partners IV, L.P., Stamps, Woodsum &
Co., IV, Summit Subordinated Debt Fund, L.P., Summit Partners SD, L.P., SW
Management Corp., Summit Management Co., Summit Subordinated Debt Fund II, L.P.,
and Summit Partners SD II, LLC, pursuant to sections 13 and 16 of the Securities
Exchange Act of 1934, as amended (the "Exchange Act"), and any and all
regulations promulgated thereunder, and to file the same, with all exhibits
thereto, and any other documents in connection therewith, with the Securities
and Exchange Commission, and with any other entity when and if such is mandated
by the Exchange Act or by the By-laws of the National Association of Securities
Dealers, granting unto said attorney-in-fact and agent full power and authority
to do and perform each and every act and thing requisite and necessary fully to
all intents and purposes as she might or could do in person thereby ratifying
and confirming all that said attorney-in-fact and agent, or her substitute or
substitutes, may lawfully do or cause to be done by virtue hereof.
Page 24 of 33 Pages
IN WITNESS WHEREOF, this Power of Attorney has been signed as of the 10th
day of February, 1997.
/s/ E. Roe Stamps, IV
-----------------------------------
E. Roe Stamps, IV
Commonwealth of Massachusetts )
) ss:
County of Suffolk )
On this 10th day of February, 1997, before me personally came E. Roe
Stamps, IV,known to me to be the person described and who executed the foregoing
instrument that he acknowledged that he executed the same.
[Notary Seal]
/s/ Cynthia R. Freedman
---------------------------------
Notary Public
October 20, 2000
---------------------------------
My Comission expires:
Page 25 of 33
IN WITNESS WHEREOF, this Power of Attorney has been signed as of the 10th
day of February, 1997.
/s/ Stephen G. Woodsum
-----------------------------------
Stephen G. Woodsum
Commonwealth of Massachusetts )
) ss:
County of Suffolk )
On this 10th day of February, 1997, before me personally came Stephen
G.Woodsum, known to me to be the person described and who executed the foregoing
instrument that he acknowledged that he executed the same.
[Notary Seal]
/s/ Cynthia R. Freedman
---------------------------------
Notary Public
October 20, 2000
---------------------------------
My Comission expires:
Page 26 of 33
IN WITNESS WHEREOF, this Power of Attorney has been signed as of the 10th
day of February, 1997.
/s/ Martin J. Mannion
-----------------------------------
Martin J. Mannion
Commonwealth of Massachusetts )
) ss:
County of Suffolk )
On this 10th day of February, 1997, before me personally came Martin J.
Mannion, known to me to be the person described and who executed the foregoing
instrument that he acknowledged that he executed the same.
[Notary Seal]
/s/ Cynthia R. Freedman
---------------------------------
Notary Public
October 20, 2000
---------------------------------
My Comission expires:
Page 27 of 33
IN WITNESS WHEREOF, this Power of Attorney has been signed as of the 10th
day of February, 1997.
/s/ John A. Genest
-----------------------------------
John A. Genest
Commonwealth of Massachusetts )
) ss:
County of Suffolk )
On this 10th day of February, 1997, before me personally came John A.
Genest, known to me to be the person described and who executed the foregoing
instrument that he acknowledged that he executed the same.
[Notary Seal]
/s/ Cynthia R. Freedman
---------------------------------
Notary Public
October 20, 2000
---------------------------------
My Comission expires:
Page 28 of 33
IN WITNESS WHEREOF, this Power of Attorney has been signed as of the 3rd
day of February, 1997.
/s/ Gregory M. Avis
-----------------------------------
Gregory M. Avis
State of California )
) ss:
County of Santa Clara )
On this 3rd day of February, 1997, before me personally came Gregory M.
Avis, known to me to be the person described and who executed the foregoing
instrument that he acknowledged that he executed the same.
[Notary Seal]
/s/ Katherine C. Ely
---------------------------------
Notary Public
May 28, 2000
---------------------------------
My Comission expires:
Page 29 of 33
IN WITNESS WHEREOF, this Power of Attorney has been signed as of the 10th
day of February, 1997.
/s/ Ernest K. Jacquet
-----------------------------------
Ernest K. Jacquet
Commonwealth of Massachusetts )
) ss:
County of Suffolk )
On this 10th day of February, 1997, before me personally came Ernest K.
Jacquet, known to me to be the person described and who executed the foregoing
instrument that he acknowledged that he executed the same.
[Notary Seal]
/s/ Cynthia R. Freedman
---------------------------------
Notary Public
October 20, 2000
---------------------------------
My Comission expires:
Page 30 of 33
IN WITNESS WHEREOF, this Power of Attorney has been signed as of the 10th
day of February, 1997.
/s/ Thomas S. Roberts
-----------------------------------
Thomas S. Roberts
Commonwealth of Massachusetts )
) ss:
County of Suffolk )
On this 10th day of February, 1997, before me personally came Thomas S.
Roberts, known to me to be the person described and who executed the foregoing
instrument that he acknowledged that he executed the same.
[Notary Seal]
/s/ Cynthia R. Freedman
---------------------------------
Notary Public
October 20, 2000
---------------------------------
My Comission expires:
Page 31 of 33
IN WITNESS WHEREOF, this Power of Attorney has been signed as of the 10th
day of February, 1997.
/s/ Bruce R. Evans
-----------------------------------
Bruce R. Evans
Commonwealth of Massachusetts )
) ss:
County of Suffolk )
On this 10th day of February, 1997, before me personally came Bruce R.
Evans, known to me to be the person described and who executed the foregoing
instrument that he acknowledged that he executed the same.
[Notary Seal]
/s/ Cynthia R. Freedman
---------------------------------
Notary Public
October 20, 2000
---------------------------------
My Comission expires:
Page 32 of 33
IN WITNESS WHEREOF, this Power of Attorney has been signed as of the 3rd
day of February, 1997.
/s/ Walter G. Kortschak
-----------------------------------
Walter G. Kortschak
State of California )
) ss:
County of Santa Clara )
On this 3rd day of February, 1997, before me personally came Walter G.
Kortschak, known to me to be the person described and who executed the foregoing
instrument that he acknowledged that he executed the same.
[Notary Seal]
/s/ Katherine C. Ely
---------------------------------
Notary Public
May 28, 2000
---------------------------------
My Comission expires:
Page 33 of 33
