SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Schedule 13G
(Rule 13d-102)
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)*
Pervasive Software, Inc.
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(Name of Issuer)
Common Stock
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(Title of Class of Securities)
715710109
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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 10 Pages
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CUSIP NO. 715710109 13 G Page 2 of 10
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1 NAME OF REPORTING PERSONS
SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS
Austin Ventures IV-A, L.P. ("AV IV-A")
Tax ID Number:
- ------------ ---------------------------------------------------------------------------------------------------------
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
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NUMBER OF 5 SOLE VOTING POWER
SHARES 702,081 shares, except that AV Partners IV, L.P. ("AV IV"), the general
BENEFICIALLY partner of AV IV-A, and Aragona, DeAngelis, Garvey and Wood, the general
OWNED BY EACH REPORTING partners of AV IV, may be deemed to have shared voting power with
PERSON respect to such shares.
WITH -------- ------------------------------------------------------------------------
6 SHARED VOTING POWER
See response to row 5.
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7 SOLE DISPOSITIVE POWER
702,081 shares, except that AV Partners IV, L.P. ("AV IV"), the general
partner of AV IV-A, and Aragona, DeAngelis, Garvey and Wood, the general
partners of AV IV, may be deemed to have shared dispositive power with
respect to such shares.
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8 SHARED DISPOSITIVE POWER
See response to row 7.
- ------------------------------------ -------- ------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON 702,081
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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
5.21%
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12 TYPE OF REPORTING PERSON*
PN
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<FN>
* SEE INSTRUCTIONS BEFORE FILLING OUT!
</FN>
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<TABLE>
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CUSIP NO. 715710109 13 G Page 3 of 10
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1 NAME OF REPORTING PERSONS
SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS
Austin Ventures IV-B, L.P. ("AV IV-B")
Tax ID Number:
- ------------ ---------------------------------------------------------------------------------------------------------
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
- ------------------------------------ -------- ------------------------------------------------------------------------
NUMBER OF 5 SOLE VOTING POWER
SHARES 1,472,976 shares, except that Austin Ventures IV, L.P. ("AV IV"), the
BENEFICIALLY general partner of AV IV-B, and Aragona, DeAngelis, Garvey and Wood, the
OWNED BY EACH REPORTING general partners of AV-IV, may be deemed to have shared voting power
PERSON with respect to such shares.
WITH -------- ------------------------------------------------------------------------
6 SHARED VOTING POWER
See response to row 5.
-------- ------------------------------------------------------------------------
7 SOLE DISPOSITIVE POWER
1,472,976 shares, except that Austin Ventures IV, L.P. ("AV IV"), the
general partner of AV IV-B, and Aragona, DeAngelis, Garvey and Wood, the
general partners of AV-IV, may be deemed to have shared dispositive power
with respect to such shares.
-------- ------------------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
See response to row 7.
- ------------------------------------ -------- ------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON 1,472,976
- ------------ ---------------------------------------------------------------------------------------------------------
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
10.93%
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12 TYPE OF REPORTING PERSON*
PN
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<FN>
* SEE INSTRUCTIONS BEFORE FILLING OUT!
</FN>
</TABLE>
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<TABLE>
<CAPTION>
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CUSIP NO. 715710109 13 G Page 4 of 10
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1 NAME OF REPORTING PERSONS
SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS
AV Partners IV, L.P. ("AV IV")
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
Delaware
- ------------------------------------ -------- ------------------------------------------------------------------------
NUMBER OF 5 SOLE VOTING POWER
SHARES 0 shares.
BENEFICIALLY -------- ------------------------------------------------------------------------
OWNED BY EACH REPORTING 6 SHARED VOTING POWER
PERSON 2,175,057 shares, of which 702,081 are shares directly owned by AV IV-A,
WITH and 1,472,976 are shares directly owned by AV IV-B. AV IV is the general
partner of AV IV-A and AV IV-B and may be deemed to have shared voting
power with respect to such shares.
-------- ------------------------------------------------------------------------
7 SOLE DISPOSITIVE POWER
0 shares.
-------- ------------------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
2,175,057 shares, of which 702,081 are shares directly owned by AV IV-A,
and 1,472,976 are shares directly owned by AV IV-B. AV IV is the general
partner of AV IV-A and AV IV-B and may be deemed to have shared
dispositive power with respect to such shares.
- ------------------------------------ -------- ------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON 2,175,057
- ------------ ---------------------------------------------------------------------------------------------------------
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
16.14%
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12 TYPE OF REPORTING PERSON*
PN
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<FN>
* SEE INSTRUCTIONS BEFORE FILLING OUT!
</FN>
</TABLE>
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<TABLE>
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CUSIP NO. 715710109 13 G Page 5 of 10
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1 NAME OF REPORTING PERSONS
SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS
Joseph C. Aragona ("Aragona")
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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
U.S. Citizen
- ------------------------------------ -------- ------------------------------------------------------------------------
NUMBER OF 5 SOLE VOTING POWER
SHARES 3,300 shares.
BENEFICIALLY -------- ------------------------------------------------------------------------
OWNED BY EACH REPORTING 6 SHARED VOTING POWER
PERSON 2,175,057 shares, of which 702,081 are shares directly owned by AV IV-A,
WITH and 1,472,976 are shares directly owned by AV IV-B. Aragona is a general
partner of AV IV, the general partner of AV IV-A and AV IV-B, and may be
deemed to have shared voting power with respect to such shares.
-------- ------------------------------------------------------------------------
7 SOLE DISPOSITIVE POWER
3,300 shares.
-------- ------------------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
2,175,057 shares, of which 702,081 are shares directly owned by AV IV-A,
and 1,472,976 are shares directly owned by AV IV-B. Aragona is a general
partner of AV IV, the general partner of AV IV-A and AV IV-B, and may be
deemed to have shared dispositive power with respect to such shares.
- ------------ ---------------------------------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON 2,178,357
- ------------ ---------------------------------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)
EXCLUDES CERTAIN SHARES* [ ]
- ------------ ---------------------------------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
16.17%
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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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<TABLE>
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CUSIP NO. 715710109 13 G Page 6 of 10
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1 NAME OF REPORTING PERSONS
SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS
Kenneth P. DeAngelis ("DeAngelis")
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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
U.S. Citizen
- ------------------------------------ -------- ------------------------------------------------------------------------
NUMBER OF 5 SOLE VOTING POWER
SHARES 3,300 shares.
BENEFICIALLY -------- ------------------------------------------------------------------------
OWNED BY EACH REPORTING 6 SHARED VOTING POWER
PERSON 2,175,057 shares, of which 702,081 are shares directly owned by AV IV-A,
WITH and 1,472,976 are shares directly owned by AV IV-B. DeAngelis is a
general partner of AV IV, the general partner of AV IV-A and AV IV-B,
and may be deemed to have shared voting power with respect to such
shares.
-------- ------------------------------------------------------------------------
7 SOLE DISPOSITIVE POWER
3,300 shares.
-------- ------------------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
2,175,057 shares, of which 702,081 are shares directly owned by AV IV-A,
and 1,472,976 are shares directly owned by AV IV-B. DeAngelis is a
general partner of AV IV, the general partner of AV IV-A and AV IV-B,
and may be deemed to have shared dispositive power with respect to such
shares.
- ------------------------------------ -------- ------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON 2,178,357
- ------------ ---------------------------------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)
EXCLUDES CERTAIN SHARES* [ ]
- ------------ ---------------------------------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
16.17%
- ------------ ---------------------------------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
IN
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<FN>
* SEE INSTRUCTIONS BEFORE FILLING OUT!
</FN>
</TABLE>
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<TABLE>
<CAPTION>
<S> <C>
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CUSIP NO. 715710109 13 G Page 7 of 10
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1 NAME OF REPORTING PERSONS
SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS
Jeffrey C. Garvey ("Garvey")
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ] (b) [X]
- ------------ ---------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
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4 CITIZENSHIP OR PLACE OF ORGANIZATION
U.S. Citizen
- ------------------------------------ -------- ------------------------------------------------------------------------
NUMBER OF 5 SOLE VOTING POWER
SHARES 3,300 shares.
BENEFICIALLY -------- ------------------------------------------------------------------------
OWNED BY EACH REPORTING 6 SHARED VOTING POWER
PERSON 2,175,057 shares, of which 702,081 are shares directly owned by AV IV-A,
WITH and 1,472,976 are shares directly owned by AV IV-B. Garvey is a general
partner of AV IV, the general partner of AV IV-A and AV IV-B, and may be
deemed to have shared voting power with respect to such shares.
-------- ------------------------------------------------------------------------
7 SOLE DISPOSITIVE POWER
3,300 shares.
-------- ------------------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
2,175,057 shares, of which 702,081 are shares directly owned by AV IV-A,
and 1,472,976 are shares directly owned by AV IV-B. Garvey is a general
partner of AV IV, the general partner of AV IV-A and AV IV-B, and may be
deemed to have shared dispositive power with respect to such shares.
- ------------------------------------ -------- ------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON 2,178,357
- ------------ ---------------------------------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)
EXCLUDES CERTAIN SHARES* [ ]
- ------------ ---------------------------------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
16.17%
- ------------ ---------------------------------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
IN
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<FN>
* SEE INSTRUCTIONS BEFORE FILLING OUT!
</FN>
</TABLE>
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<TABLE>
<CAPTION>
<S> <C>
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CUSIP NO. 715710109 13 G Page 8 of 10
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1 NAME OF REPORTING PERSONS
SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS
William P. Wood
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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
U.S. Citizen
- ------------------------------------ -------- ------------------------------------------------------------------------
NUMBER OF 5 SOLE VOTING POWER
SHARES 0 shares.
BENEFICIALLY -------- ------------------------------------------------------------------------
OWNED BY EACH REPORTING 6 SHARED VOTING POWER
2,175,057 shares, of which 702,081 are shares directly owned by AV IV-A,
and 1,472,976 are shares directly owned by AV IV-B. Wood is a general
partner of AV IV, the general partner of AV IV-A and AV IV-B, and may be
deemed to have shared voting power with respect to such shares.
-------- ------------------------------------------------------------------------
7 SOLE DISPOSITIVE POWER
0 shares.
-------- ------------------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
2,175,057 shares, of which 702,081 are shares directly owned by AV IV-A,
and 1,472,976 are shares directly owned by AV IV-B. Wood is a general
partner of AV IV, the general partner of AV IV-A and AV IV-B, and may be
deemed to have shared dispositive power with respect to such shares.
- ------------------------------------ -------- ------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON 2,175,057
- ------------ ---------------------------------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)
EXCLUDES CERTAIN SHARES* [ ]
- ------------ ---------------------------------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
16.14%
- ------------ ---------------------------------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
IN
- ------------ ---------------------------------------------------------------------------------------------------------
<FN>
* SEE INSTRUCTIONS BEFORE FILLING OUT!
</FN>
</TABLE>
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Page 9 of 10
This Statement amends and restates the Statement on 13(G) (the
"Original Statement") filed by Austin Ventures IV-A, L.P. ("AV IV-A"), Austin
Ventures IV-B, L.P. (AV IV-B"), AV Partners IV, L.P. ("AV IV"), Joseph C.
Aragona ("Aragona"), Kenneth P. DeAngelis ("DeAngelis"), Jeffrey C. Garvey
("Garvey"), and William P. Wood ("Wood"). The foregoing entities and individuals
are collectively referred to as the "Reporting Persons". Only those items as to
which there has been a change are included in this Statement
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 10 of 10
SIGNATURES
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.
Dated: February 11, 1998
Austin Ventures IV-A, L.P. /s/ John Nicholson
by AV Partners IV, L.P. ------------------------------------------
Its General Partner John Nicholson
Chief Financial Officer/Attorney-In-Fact
Austin Ventures IV-B, L.P. /s/ John Nicholson
by AV Partners, IV, L.P., ------------------------------------------
Its General Partner John Nicholson
Chief Financial Officer/Attorney-In-Fact
AV Partners, IV, L.P. /s/ John Nicholson
------------------------------------------
John Nicholson
Chief Financial Officer/Attorney-In-Fact
Joseph C. Aragona /s/ Joseph C. Aragona
------------------------------------------
Joseph C. Aragona
Kenneth P. DeAngelis /s/ Kenneth P. DeAngelis
------------------------------------------
Kenneth P. DeAngelis
Jeffrey C. Garvey /s/ Jeffrey C. Garvey
------------------------------------------
Jeffrey C. Garvey
William P. Wood /s/ William P. Wood
------------------------------------------
William P. Wood
