SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Schedule 13G
(Rule 13d-102)
INFORMATION STATEMENT PURSUANT TO RULES 13d-1 AND 13d-2
UNDER THE SECURITIES EXCHANGE ACT OF 1934
(Amendment No. _____)*
Geotel Communications Corporation
- --------------------------------------------------------------------------------
(Name of Issuer)
Common Stock
- --------------------------------------------------------------------------------
(Title of Class of Securities)
373656107
- --------------------------------------------------------------------------------
(CUSIP Number)
*The remainder of this cover page shall be filled out for a reporting person's
initial filing on this form with respect to the subject class of securities, and
for any subsequent amendment containing information which would alter
disclosures provided in a prior cover page.
The information required on the remainder of this cover page shall not be deemed
to be "filed" for the purpose of Section 18 of the Securities Exchange Act of
1934 ("Act") or otherwise subject to the liabilities of that section of the Act
but shall be subject to all other provisions of the Act (however, see the
Notes).
(Continued on following pages)
Page 1 of 12 Pages
Exhibit Index Contained on Page 11
<PAGE>
<TABLE>
<S> <C> <C>
- -------------------------------------------------------- ---------------------------------------
CUSIP NO. 373656107 13 G Page 2 of 12 Pages
- -------------------------------------------------------- ---------------------------------------
- ----------- --------------------------------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS
Matrix Partners III, L.P. ("Matrix III")
Tax ID Number: 04-3080605
- ----------- --------------------------------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ] (b) [X]
- ----------- --------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
- ----------- --------------------------------------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware Limited Partnership
- --------------------------------------------------------------------------------------------------------------------
NUMBER OF 5 SOLE VOTING POWER
SHARES 2,011,277 shares, except that Matrix
BENEFICIALLY III Management Co.("Matrix III MC"),
OWNED BY EACH the general partner of Matrix III,
REPORTING PERSON and Messrs. Ferri, Fluegel and
WITH Humphreys, the managing partners of
Matrix III MC, may be deemed to have
shared power to vote these shares.
-------- -----------------------------------------------------------------------
6 SHARED VOTING POWER
See response to row 5.
-------- -----------------------------------------------------------------------
7 SOLE DISPOSITIVE POWER
2,011,277 shares, except that
Matrix III Management Co. ("Matrix
III MC"), the general partner of
Matrix III, and Messrs. Ferri,
Fluegel and Humphreys, the managing
partners of Matrix III MC, may be
deemed to have shared power to
dispose of these shares.
-------- -----------------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
See response to row 7.
- ----------- --------------------------------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON 2,011,277
- ----------- --------------------------------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)
EXCLUDES CERTAIN SHARES* [ ]
- ----------- --------------------------------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
14.54%
- ----------- --------------------------------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
PN
- ----------- --------------------------------------------------------------------------------------------------------
<FN>
* SEE INSTRUCTIONS BEFORE FILLING OUT!
</FN>
</TABLE>
<PAGE>
<TABLE>
<S> <C> <C>
- -------------------------------------------------------- ---------------------------------------
CUSIP NO. 373656107 13 G Page 3 of 12 Pages
- -------------------------------------------------------- ---------------------------------------
- ----------- --------------------------------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS
Matrix III Management Company (Matrix III MC")
Tax ID Number: 04-3080604
- ----------- --------------------------------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ] (b) [X]
- ----------- --------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
- ----------- --------------------------------------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
Massachusetts General Partnership
- --------------------------------------------------------------------------------------------------------------------
NUMBER OF 5 SOLE VOTING POWER
SHARES 0 shares
BENEFICIALLY
OWNED BY EACH
REPORTING
PERSON
WITH
-------- -----------------------------------------------------------------------
6 SHARED VOTING POWER
2,011,277 shares, all of which are
directly owned by Matrix III.
Matrix III MC is the general
partner of Matrix III, and may be
deemed to have shared power to vote
such shares.
-------- -----------------------------------------------------------------------
7 SOLE DISPOSITIVE POWER
0 shares
-------- -----------------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
2,011,277 shares, all of which are
directly owned by Matrix III.
Matrix III MC is the general
partner of Matrix III, and may be
deemed to have shared power to
dispose of such shares.
- --------------------------------------------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON 2,011,277 shares
- ----------- --------------------------------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)
EXCLUDES CERTAIN SHARES* N/A [ ]
- ----------- --------------------------------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
14.54%
- ----------- --------------------------------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON* PN
- ----------- --------------------------------------------------------------------------------------------------------
<FN>
* SEE INSTRUCTIONS BEFORE FILLING OUT!
</FN>
</TABLE>
<PAGE>
<TABLE>
<S> <C> <C>
- -------------------------------------------------------- ---------------------------------------
CUSIP NO. 373656107 13 G Page 4 of 12 Pages
- -------------------------------------------------------- ---------------------------------------
- ----------- --------------------------------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS
Paul J. Ferri ("Ferri")
Tax ID Number: ###-##-####
- ----------- --------------------------------------------------------------------------------------------------------
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
- ----------- --------------------------------------------------------------------------------------------------------
NUMBER OF 5 SOLE VOTING POWER
SHARES 0 Shares
BENEFICIALLY
OWNED BY EACH
REPORTING
PERSON
WITH
-------- -----------------------------------------------------------------------
6 SHARED VOTING POWER
2,011,277 shares, all of which are directly owned by Matrix III.
Ferri is a managing partner of Matrix III MC, the general partner of
Matrix III, and may be deemed to
have shared power to vote such
shares.
-------- -----------------------------------------------------------------------
7 SOLE DISPOSITIVE POWER
0 Shares
-------- -----------------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
2,011,277 shares, all of which are directly owned by Matrix III.
Ferri is a managing partner of Matrix III MC, the general partner of
Matrix III, and may be deemed to
have shared power to dispose of
such shares.
- --------------------------------------------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON 2,011,277 shares
- ----------- --------------------------------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)
EXCLUDES CERTAIN SHARES* N/A [ ]
- ----------- --------------------------------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
14.54%
- ----------- --------------------------------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
IN
- ----------- --------------------------------------------------------------------------------------------------------
<FN>
* SEE INSTRUCTIONS BEFORE FILLING OUT!
</FN>
</TABLE>
<PAGE>
<TABLE>
<S> <C> <C>
- -------------------------------------------------------- ---------------------------------------
CUSIP NO. 373656107 13 G Page 5 of 12 Pages
- -------------------------------------------------------- ---------------------------------------
- ----------- --------------------------------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS
Frederick K. Fluegel ("Fluegel")
Tax ID Number: ###-##-####
- ----------- --------------------------------------------------------------------------------------------------------
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
- --------------------------------------------------------------------------------------------------------------------
NUMBER OF 5 SOLE VOTING POWER
SHARES 2,000 shares
BENEFICIALLY
OWNED BY EACH
REPORTING
PERSON
WITH
-------- -----------------------------------------------------------------------
6 SHARED VOTING POWER
2,011,277 shares, all of which are directly owned by Matrix III.
Fluegel is a managing partner of Matrix III MC, the general partner
of Matrix III, and may be deemed to have shared power to vote such
shares.
-------- -----------------------------------------------------------------------
7 SOLE DISPOSITIVE POWER
2000 shares
-------- -----------------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
2,011,277 shares, all of which are directly owned by Matrix III.
Fluegel is a managing partner of Matrix III MC, the general partner
of Matrix III, and may be deemed to have shared power to dispose of
such shares.
- --------------------------------------------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON 2,013,277 Shares
- ----------- --------------------------------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)
EXCLUDES CERTAIN SHARES* N/A [ ]
- ----------- --------------------------------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
14.56%
- ----------- --------------------------------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
IN
- ----------- --------------------------------------------------------------------------------------------------------
<FN>
* SEE INSTRUCTIONS BEFORE FILLING OUT!
</FN>
</TABLE>
<PAGE>
<TABLE>
<S> <C> <C>
- -------------------------------------------------------- ---------------------------------------
CUSIP NO. 373656107 13 G Page 6 of 12 Pages
- -------------------------------------------------------- ---------------------------------------
- ----------- --------------------------------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS
W. Michael Humphreys ("Humphreys")
Tax ID Number: ###-##-####
- ----------- --------------------------------------------------------------------------------------------------------
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
- --------------------------------------------------------------------------------------------------------------------
NUMBER OF 5 SOLE VOTING POWER
SHARES 0 shares
BENEFICIALLY
REPORTING
OWNED BY EACH
PERSON
WITH
-------- -----------------------------------------------------------------------
6 SHARED VOTING POWER
2,011,277 shares, all of which are directly owned by Matrix III.
Humphreys is a managing partner of Matrix III MC, the general partner
of Matrix III, and may be deemed to have shared power to vote such
shares.
-------- -----------------------------------------------------------------------
7 SOLE DISPOSITIVE POWER
0 shares
-------- -----------------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
2,011,277 shares, all of which are directly owned by Matrix III.
Humphreys is a managing partner of Matrix III MC, the general partner
of Matrix III, and may be deemed to have shared power to dispose of
such shares.
- --------------------------------------------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON 2,011,277 Shares
- ----------- --------------------------------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)
EXCLUDES CERTAIN SHARES* N/A [ ]
- ----------- --------------------------------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
14.54%
- ----------- --------------------------------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
IN
- ----------- --------------------------------------------------------------------------------------------------------
<FN>
* SEE INSTRUCTIONS BEFORE FILLING OUT!
</FN>
</TABLE>
<PAGE>
Page 7 of 12 Pages
ITEM 1(a). NAME OF ISSUER:
Geotel Communications Corporation
ITEM 1(b). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES:
25 Porter Road
Littleton, MA 01460
ITEM 2(a). NAME OF PERSONS FILING:
This Statement is filed by Matrix Partners III, L.P. ("Matrix
III"), Matrix III Management Company ("Matrix III MC"), Paul
J. Ferri ("Ferri"), Frederick K. Fluegel ("Fluegel") and W.
Michael Humphreys ("Humphreys"). The foregoing entities and
individuals are collectively referred to as the "Reporting
Persons."
Matrix III MC is the general partner of Matrix III, and may be
deemed to have indirect beneficial ownership of shares of the
issuer directly owned by Matrix III. Ferri, Fluegel and
Humphreys are the managing partners of Matrix III MC, and may
be deemed to have indirect beneficial ownership of the shares
of issuer directly owned by Matrix III.
Matrix III MC hereby disclaims beneficial ownership of shares
of issuer directly owned by Matrix III except to the extent of
any indirect pecuniary interest therein. Ferri, Fluegel and
Humphreys hereby disclaim beneficial ownership of the shares
held by Matrix Partners III except to the extent of any
respective indirect pecuniary interest therein.
ITEM 2(b). ADDRESS OF PRINCIPAL BUSINESS OFFICE, OR, IF NONE, RESIDENCE:
The address of the principal business office for each of the
Reporting Persons is:
Matrix Partners
1000 Winter Street, Suite 4500
Waltham, MA 02154
<PAGE>
Page 8 of 12 Pages
ITEM 2(c) CITIZENSHIP:
Matrix III is a Delaware limited partnership, Matrix III MC is
a Massachusetts general partnership, and Ferri, Fluegel and
Humphreys are United States citizens.
ITEM 2(d). TITLE OF CLASS OF SECURITIES:
Common Stock
ITEM 2(e). CUSIP NUMBER:
CUSIP # 373656107
ITEM 3. Not Applicable
ITEM 4. OWNERSHIP:
The following information with respect to the ownership of
Common Stock of the issuer by the persons filing this
Statement is provided as of December 31, 1996:
(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.
<PAGE>
Page 9 of 12 Pages
ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS:
Not applicable.
ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER
PERSON:
Under certain circumstances set forth in the limited
partnership agreements of Matrix III and Matrix III MC, the
general and limited partners of each of such entities may be
deemed to have the right to receive dividends from, or the
proceeds from, the sale of shares of the issuer owned by each
such entity of which they are a partner.
ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH
ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING
COMPANY:
Not applicable
ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP:
Not applicable
ITEM 9. NOTICE OF DISSOLUTION OF GROUP:
Not applicable
ITEM 10. CERTIFICATION:
Not applicable
<PAGE>
Page 10 of 12 Pages
SIGNATURES
After reasonable inquiry and to the best of our knowledge and
belief, we certify that the information set forth in this statement is true,
complete and correct.
Dated: February 7, 1997
MATRIX PARTNERS III, L.P.
By: Matrix III Management Company,
its general partner
By: /s/ W. Michael Humphreys
--------------------------------
W. Michael Humphreys, General
Partner
MATRIX III MANAGEMENT COMPANY
By: /s/ W. Michael Humphreys
--------------------------------
W. Michael Humphreys, Managing
Partner
/s/ Paul J. Ferri
-----------------------------------
PAUL J. FERRI
/s/ Frederick K. Fluegel
-----------------------------------
FREDERICK K. FLUEGEL
/s/W. Michael Humphreys
-----------------------------------
W. MICHAEL HUMPHREYS
<PAGE>
Page 11 of 12 Pages
EXHIBIT INDEX
Found on
Sequentially
Exhibit Numbered Page
- ------- --------------
Exhibit A: Agreement of Joint Filing Page 12
<PAGE>
Page 12 of 12 Pages
EXHIBIT A
-----------
Agreement of Joint Filing
---------------------------
The undersigned hereby agree that a single Schedule 13G (or
any amendment thereto) relating to the Common Stock of Geotel Communications
Corporation shall be filed on behalf of each of the undersigned and that this
Agreement shall be filed as an exhibit to such Schedule 13G.
Executed this 7th day of February, 1997.
MATRIX PARTNERS III, L.P.
By: Matrix III Management Company,
its general partner
By: /s/ W. Michael Humphreys
--------------------------------
W. Michael Humphreys, General
Partner
MATRIX III MANAGEMENT COMPANY
By: /s/ W. Michael Humphreys
--------------------------------
W. Michael Humphreys, Managing
Partner
/s/ Paul J. Ferri
-----------------------------------
PAUL J. FERRI
/s/ Frederick K. Fluegel
-----------------------------------
FREDERICK K. FLUEGEL
/s/W. Michael Humphreys
-----------------------------------
W. MICHAEL HUMPHREYS
