<PAGE>
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13D
(Rule 13d-101)
INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND
AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) UNDER THE SECURITIES EXCHANGE
ACT OF 1934
(Amendment No. ______________)/1/
SOFTLOCK.COM, INC.
------------------
(Name of Issuer)
Common Stock, par value $0.01 per share
---------------------------------------
(Title of Class of Securities)
8340 2W 109
-----------
(CUSIP Number)
Thomas A. Klee, Esq.
Shipman & Goodwin LLP
One American Row
Hartford, CT 06103
(860) 251-5909
--------------
(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)
December 21, 2000
-----------------
(Date of Event Which Requires Filing of This Statement)
If the filing person has previously filed a statement on Schedule 13G to
report the acquisition that is the subject of this Schedule 13D, and is
filing this schedule because of Rule 13d-1(e), 13d-1(f) or 13d-1(g),
check the following box [X].
Note. Schedules filed in paper format shall include a signed original
and five copies of the schedule, including all exhibits. See Rule 13d-7
for other parties to whom copies are to be sent.
(Continued on following pages)
(Page 1 of 11 Pages)
_________________________
/1/ 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 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, as amended ("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).
1
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CUSIP NO. 8340 2W 109 SCHEDULE 13D Page 2 of 11 Pages
----------------------- ------------------
------------------------------------------------------------------------------
NAMES OF REPORTING PERSONS
1 I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
SI Venture Fund II, L.P.
94 - 3346382
------------------------------------------------------------------------------
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
2 (a) [_]
(b) [X]
------------------------------------------------------------------------------
SEC USE ONLY
3
------------------------------------------------------------------------------
SOURCE OF FUNDS*
4
WC
------------------------------------------------------------------------------
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEMS 2(d) or 2(e) [_]
5
------------------------------------------------------------------------------
CITIZENSHIP OR PLACE OF ORGANIZATION
6
Delaware
------------------------------------------------------------------------------
SOLE VOTING POWER
7
NUMBER OF 3,795,120
SHARES -----------------------------------------------------------
SHARED VOTING POWER
BENEFICIALLY 8
OWNED BY
-----------------------------------------------------------
EACH SOLE DISPOSITIVE POWER
9
REPORTING 3,795,120
PERSON -----------------------------------------------------------
SHARED DISPOSITIVE POWER
WITH 10
------------------------------------------------------------------------------
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
11
3,795,120
------------------------------------------------------------------------------
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
12
[_]
------------------------------------------------------------------------------
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
13
22.3%
------------------------------------------------------------------------------
TYPE OF REPORTING PERSON*
14
PN
------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
2
<PAGE>
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CUSIP NO. 8340 2W 109 SCHEDULE 13D Page 3 of 11 Pages
----------------------- ------------------
------------------------------------------------------------------------------
NAMES OF REPORTING PERSONS
1 I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
SI Venture Management, L.L.C.
94 - 3346380
------------------------------------------------------------------------------
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
2 (a) [_]
(b) [X]
------------------------------------------------------------------------------
SEC USE ONLY
3
------------------------------------------------------------------------------
SOURCE OF FUNDS*
4
N/A
------------------------------------------------------------------------------
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEMS 2(d) or 2(e) [_]
5
------------------------------------------------------------------------------
CITIZENSHIP OR PLACE OF ORGANIZATION
6
Delaware
------------------------------------------------------------------------------
SOLE VOTING POWER
7
NUMBER OF 3,795,120
SHARES -----------------------------------------------------------
SHARED VOTING POWER
BENEFICIALLY 8
OWNED BY
-----------------------------------------------------------
EACH SOLE DISPOSITIVE POWER
9
REPORTING 3,795,120
PERSON -----------------------------------------------------------
SHARED DISPOSITIVE POWER
WITH 10
------------------------------------------------------------------------------
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
11
3,795,120 (Not to be construed as an admission of beneficial ownership.)
------------------------------------------------------------------------------
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
12
[_]
------------------------------------------------------------------------------
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
13
22.3%
------------------------------------------------------------------------------
TYPE OF REPORTING PERSON*
14
OO
------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
3
<PAGE>
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CUSIP NO. 8340 2W 109 SCHEDULE 13D Page 4 of 11 Pages
----------------------- ------------------
------------------------------------------------------------------------------
NAMES OF REPORTING PERSONS
1 I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
N. Adam Rin
------------------------------------------------------------------------------
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
2 (a) [_]
(b) [X]
------------------------------------------------------------------------------
SEC USE ONLY
3
------------------------------------------------------------------------------
SOURCE OF FUNDS*
4
N/A
------------------------------------------------------------------------------
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEMS 2(d) or 2(e) [_]
5
------------------------------------------------------------------------------
CITIZENSHIP OR PLACE OF ORGANIZATION
6
USA
------------------------------------------------------------------------------
SOLE VOTING POWER
7
NUMBER OF 3,795,120
SHARES -----------------------------------------------------------
SHARED VOTING POWER
BENEFICIALLY 8
OWNED BY
-----------------------------------------------------------
EACH SOLE DISPOSITIVE POWER
9
REPORTING 3,795,120
PERSON -----------------------------------------------------------
SHARED DISPOSITIVE POWER
WITH 10
------------------------------------------------------------------------------
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
11
3,795,120 (Not to be construed as an admission of beneficial ownership.)
------------------------------------------------------------------------------
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
12
[_]
------------------------------------------------------------------------------
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
13
22.3%
------------------------------------------------------------------------------
TYPE OF REPORTING PERSON*
14
IN
------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
4
<PAGE>
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CUSIP NO. 8340 2W 109 SCHEDULE 13D Page 5 of 11 Pages
----------------------- ------------------
------------------------------------------------------------------------------
NAMES OF REPORTING PERSONS
1 I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
Manuel A. Fernandez
------------------------------------------------------------------------------
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
2 (a) [_]
(b) [X]
------------------------------------------------------------------------------
SEC USE ONLY
3
------------------------------------------------------------------------------
SOURCE OF FUNDS*
4
N/A
------------------------------------------------------------------------------
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEMS 2(d) or 2(e) [_]
5
------------------------------------------------------------------------------
CITIZENSHIP OR PLACE OF ORGANIZATION
6
USA
------------------------------------------------------------------------------
SOLE VOTING POWER
7
NUMBER OF 3,795,120
SHARES -----------------------------------------------------------
SHARED VOTING POWER
BENEFICIALLY 8
OWNED BY
-----------------------------------------------------------
EACH SOLE DISPOSITIVE POWER
9
REPORTING 3,795,120
PERSON -----------------------------------------------------------
SHARED DISPOSITIVE POWER
WITH 10
------------------------------------------------------------------------------
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
11
3,795,120 (Not to be construed as an admission of beneficial ownership.)
------------------------------------------------------------------------------
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
12
[_]
------------------------------------------------------------------------------
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
13
22.3%
------------------------------------------------------------------------------
TYPE OF REPORTING PERSON*
14
IN
------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
5
<PAGE>
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CUSIP NO. 8340 2W 109 SCHEDULE 13D Page 6 of 11 Pages
----------------------- ------------------
------------------------------------------------------------------------------
NAMES OF REPORTING PERSONS
1 I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
John F. Halligan
------------------------------------------------------------------------------
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
2 (a) [_]
(b) [X]
------------------------------------------------------------------------------
SEC USE ONLY
3
------------------------------------------------------------------------------
SOURCE OF FUNDS*
4
N/A
------------------------------------------------------------------------------
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEMS 2(d) or 2(e) [_]
5
------------------------------------------------------------------------------
CITIZENSHIP OR PLACE OF ORGANIZATION
6
USA
------------------------------------------------------------------------------
SOLE VOTING POWER
7
NUMBER OF 3,795,120
SHARES -----------------------------------------------------------
SHARED VOTING POWER
BENEFICIALLY 8
OWNED BY
-----------------------------------------------------------
EACH SOLE DISPOSITIVE POWER
9
REPORTING 3,795,120
PERSON -----------------------------------------------------------
SHARED DISPOSITIVE POWER
WITH 10
------------------------------------------------------------------------------
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
11
3,795,120 (Not to be construed as an admission of beneficial ownership.)
------------------------------------------------------------------------------
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
12
[_]
------------------------------------------------------------------------------
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
13
22.3%
------------------------------------------------------------------------------
TYPE OF REPORTING PERSON*
14
IN
------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
6
<PAGE>
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CUSIP NO. 8340 2W 109 SCHEDULE 13D Page 7 of 11 Pages
----------------------- ------------------
Item 1. Security and Issuer
Securities acquired: Common Stock, par value $0.01 per share (the "Common
Stock")
Issuer: SoftLock.com, Inc.
5 Clock Tower Place, Suite 440, Maynard, MA 01754
Item 2. Identity and Background
(a) SI Venture Fund II, L.P.
SI Venture Management II, L.L.C.
N. Adam Rin
Manuel A. Fernandez
John F. Halligan
SI Venture Fund II, L.P. acquired the securities reported in this
Schedule 13D. SI Venture Management II, L.L.C. is the general partner of SI
Venture Fund II, L.P. N. Adam Rin, Manuel A. Fernandez and John F. Halligan are
the managing members of SI Venture Management II, L.L.C. SI Venture Management
II, L.L.C., N. Adam Rin, Manuel A. Fernandez and John F. Halligan disclaim any
beneficial ownership in the shares acquired by SI Venture Fund II, L.P.
(b) SI Venture Fund II, L.P.,
SI Venture Management II, L.L.C.,
N. Adam Rin,
Manuel A. Fernandez and
John F. Halligan:
12600 Gateway Boulevard, Fort Myers, FL 33913
(c) The principal business of SI Venture Fund II, L.P. is as a venture
capital fund. The principal business of SI Venture Management II, L.L.C. is to
manage the assets of SI Venture Fund II, L.P. The principal occupation of each
of N. Adam Rin, Manuel A. Fernandez and John F. Halligan is as manager of SI
Venture Management II, L.L.C. and related entities making venture capital
investments. The address of each is 12600 Gateway Boulevard, Fort Myers, FL
33913.
(d) Neither SI Venture Fund II, L.P., SI Venture Management II, L.L.C., N.
Adam Rin, Manuel A. Fernandez nor John F. Halligan has been convicted in a
criminal proceeding (excluding traffic violations or similar misdemeanors)
during the last five years.
(e) Neither SI Venture Fund II, L.P., SI Venture Management II, L.L.C., N.
Adam Rin, Manuel A. Fernandez nor John F. Halligan during the past five years
was a party to a civil proceeding of a judicial or administrative body of
competent jurisdiction and as a result of such proceeding was or is subject to
any judgment, decree or final order enjoining future violations of, or
prohibiting or mandating activities subject to, Federal or State securities laws
or finding any violation with respect to such laws.
(f) SI Venture Fund II, L.P., a Delaware limited partnership
SI Venture Management II, L.L.C., a Delaware limited liability company
N. Adam Rin,
Manuel A. Fernandez and
John F. Halligan:
Citizens of USA
Item 3. Source and Amount of Funds or Other Consideration
The source of the $4,375,141 aggregate consideration for the purchase
of the securities of the Issuer reported in this Schedule 13D was the working
capital of SI Venture Fund II, L.P. No funds were borrowed for this purpose.
7
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CUSIP NO. 8340 2W 109 SCHEDULE 13D Page 8 of 11 Pages
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Item 4. Purpose of Transaction
SI Venture Fund II, L.P. acquired the securities of the Issuer for
portfolio investment purposes. Neither SI Venture Fund II, L.P., SI Venture
Management II, L.L.C., N. Adam Rin, Manuel A. Fernandez nor John F. Halligan
have any present plans or proposals that relate to or would result in any change
in the business, policies, management, structure or capitalization of the
Issuer, but SI Venture Fund II, L.P., SI Venture Management II, L.L.C., N. Adam
Rin, Manuel A. Fernandez and John F. Halligan reserve the right to acquire, or
dispose of, additional securities of the Issuer in the ordinary course of
business, to the extent deemed advisable in light of the general investment and
trading policies of SI Venture Fund II, L.P., market conditions or other
factors.
Neither SI Venture Fund II, L.P., SI Venture Management II, L.L.C., N.
Adam Rin, Manuel A. Fernandez nor John F. Halligan has present plans or
proposals that relate to or would result in any of the following matters:
(a) An extraordinary corporate transaction, such as a merger,
reorganization or liquidation involving the issuer or any of its subsidiaries;
(b) A sale or transfer of a material amount of assets of the Issuer or
of any of its subsidiaries;
(c) Any change in the present board of directors or management of the
Issuer, including any plans or proposals to change the number or term of
directors or to fill any existing vacancies on the board;
(d) Any material change in the present capitalization or dividend
policy of the Issuer;
(e) Any other material change in the Issuer's business or corporate
structure;
(f) Changes in the Issuer's charter, bylaws or instruments
corresponding thereto or other actions which may impede the acquisition of
control of the Issuer by any person;
(g) Causing a class of securities of the Issuer to be delisted from a
national securities exchange or to cease to be authorized to be quoted in an
inter-dealer quotation system of a registered national securities association;
(h) A class of equity securities of the issuer becoming eligible for
termination of registration pursuant to Section 12(g)(4) of the Act; or
(i) Any action similar to any of those enumerated above.
Item 5. Interest in Securities of the Issuer
(a) Pursuant to Rule 13d-3, SI Venture Fund II, L.P. is deemed to be
the beneficial owner of the following shares of Common Stock of the Issuer:
19,117 shares of Series A Preferred Stock, currently convertible into
1,911,700 shares of Common Stock of the Issuer;
4,688 shares of Series B Preferred Stock, currently convertible into
468,800 shares of Common Stock of the Issuer;
Common Stock Purchase Warrant currently exercisable to purchase
187,520 shares of Common Stock of the Issuer;
9,817 shares of Series C Preferred Stock, currently convertible
into 981,700 shares of Common Stock of the Issuer; and
Series C Preferred Stock Purchase Warrant currently exercisable to
purchase 2,454 shares of Series C Preferred Stock of the Issuer, which
Series C Preferred Stock would be currently convertible into 245,400
shares of the Common Stock of the Issuer.
In the aggregate, if all warrants described above were exercised and
all shares of Preferred Stock described above were converted into shares of
Common Stock, SI Venture Fund II, L.P. would own an aggregate of 3,795,120
shares of Common Stock, or 22.3% of the outstanding shares of Common Stock,
based on the number of shares of Common Stock reported outstanding in the
Issuer's Form 10-QSB for the quarter ended September 30, 2000 and computed in
accordance with Rule 13d-3(d)(1).
8
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CUSIP NO. 8340 2W 109 SCHEDULE 13D Page 9 of 11 Pages
----------------------- ------------------
SI Venture Management II, L.L.C., N. Adam Rin, Manuel A. Fernandez and John
F. Halligan disclaim beneficial ownership of such securities.
(b) SI Venture Fund II, L.P. has sole power to vote and sole power to
dispose of the securities. SI Venture Management II, L.L.C., as the general
partner of SI Venture Fund II, L.P., has the power to direct the vote of the
securities and the power to direct the disposition of the securities. N. Adam
Rin, Manuel A. Fernandez and John F. Halligan, as managing members of SI Venture
Management II, L.L.C., acting by majority in membership interests have the power
to direct the vote of the securities and the power to direct the disposition of
the securities.
(c) During the past 60 days, SI Venture Fund II, L.P. had the following
transactions in securities of the Issuer relating to the beneficial ownership of
the Common Stock:
11/10/00 - Acquired the Common Stock Purchase Warrant to purchase 187,520
shares of Common Stock of the Issuer in a transaction with the
Issuer. The consideration for the acquisition of the Common Stock
Purchase Warrant was SI Venture Fund II, L.P.'s entering a
Shareholder Agreement with the Issuer providing certain
restrictions on the ability of SI Venture Fund II, L.P. to
transfer the shares of Series B Preferred Stock held by SI
Venture Fund II, L.P. No cash consideration was paid.
12/21/00 - Acquired 9,817 shares of Class C Preferred Stock and the warrant
to purchase 2,454 shares of Class C Preferred Stock of the Issuer
in a transaction with the Issuer. The aggregate consideration
paid was $1,875,047.
(d) Not applicable.
(e) Not applicable.
Item 6. Contracts, Arrangements, Understandings or Relationships with Respect
to Securities of the Issuer
SI Venture Fund II, L.P. is a party to various agreements with the
Issuer, certain individual holders of the Common Stock and other purchasers of
the Series A Preferred Stock, the Series B Preferred Stock and the Series C
Preferred Stock of the Issuer (together, the "Preferred Stock"). Among other
matters, the agreements give SI Venture Fund II, L.P. the right to designate one
director of the Issuer to be elected by the holders of the Series A Preferred
Stock, and N. Adam Rin has been elected as such director, and the agreements
obligate SI Venture Fund II, L.P. to vote for two persons as directors of the
Issuer designated by other holders of the Preferred Stock. Also, the agreements
grant SI Ventures Fund II, L.P. and other investors in the Preferred Stock
certain registration rights and rights of first refusal on issuances of
additional equity securities by the Issuer and on transfers of Common Stock
owned by such individual holders of the Common Stock.
Subject to certain ownership thresholds, the Issuer has also agreed to
obtain the consent of the majority of the holders of the Preferred Stock before
engaging in certain activities, including but not limited to (i) the sale or
disposal of any stock of the subsidiary or a substantial part of the Issuer's
assets or business; (ii) the acquisition of another entity for a purchase price
greater than certain thresholds, (iii) consolidation or merger with any other
entity (subject to certain exceptions); (iv) the grant of any registration
rights preferential to those granted to the purchasers of the Preferred Stock;
(v) any substantial change in the character of the Issuer's business; (vi) any
distributions on equity securities (subject to certain exceptions); (vii) any
redemption, purchase or acquisition of the Issuer's own stock (subject to
certain exceptions); (viii) amendment to the Issuer's certificate of
incorporation or bylaw amendment not approved by the Board of Directors of the
Issuer; or (ix) any issuance or award of equity securities or options to acquire
equity securities of the Issuer with rights ranking senior or equivalent to the
Series B Preferred Stock or the Series C Preferred Stock.
9
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CUSIP NO. 8340 2W 109 SCHEDULE 13D Page 10 of 11 Pages
----------------------- -------------------
Item 7. Material to Be Filed as Exhibits
1. Amended and Restated Shareholders' and Rights Agreement.
Incorporated by reference to Exhibit 99.3 to Form 8-K filed by SoftLock.com,
Inc. (File No. 33-37751-D) on February 15, 2000.
2. Amended and Restated Shareholders' and Rights Agreement dated
December 21, 2000 by and among SoftLock.com, Inc. and the Shareholders named
therein. Incorporated by reference from Exhibit 10.2 to Form 8-K filed by
SoftLock.com, Inc. (File No. 1-13611) on January 5, 2001.
3. Series A Preferred Stock Purchase Agreement by and among the
Purchasers, SoftLock.com, Inc. and SoftLock Services, Inc. Incorporated by
reference to Exhibit 99.3 to Form 8-K filed by Softlock.com, Inc. (File No.
33-37751-D) on January 18, 2000.
4. Series B Preferred Stock and Warrant Purchase Agreement by and
among the Purchasers, SoftLock.com, Inc. and SoftLock Services, Inc.
(Incorporated by reference to Exhibit 99.4 to Form 8-K filed by SoftLock.com,
Inc. (File No. 33-37751-D) on February 15, 2000.
5. Series C Preferred Stock and Warrant Purchase Agreement dated
December 21, 2000 by and among SoftLock.com, Inc., SoftLock Services, Inc. and
the Purchasers listed on Schedule 1 thereto. (Incorporated by reference from
Exhibit 10.1 to Form 8-K filed by SoftLock.com, Inc. (File No. 1-13611) on
January 5, 2001.)
10
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CUSIP NO. 8340 2W 109 SCHEDULE 13D Page 11 of 11 Pages
----------------------- -------------------
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, the
undersigned certifies that the information set forth in this statement is true,
complete and correct.
Dated: January 8, 2001
SI VENTURE FUND II, L.P.
By: SI Venture Management II, L.L.C.
Its General Partner
By: /s/ N. Adam Rin
-------------------------------------------
N. Adam Rin
Its Managing Member
SI VENTURE MANAGEMENT II, L.L.C.
By: /s/ N. Adam Rin
-------------------------------------------
N. Adam Rin
Its Managing Member
/s/ N. Adam Rin
-----------------------------------------------
N. Adam Rin
/s/ Manuel A. Fernandez
-----------------------------------------------
Manuel A. Fernandez
/s/ John F. Halligan
-----------------------------------------------
John F. Halligan
11
