THIS DOCUMENT IS A COPY OF THE AMENDMENT No. 3 TO THE ORIGINAL SCHEDULE 13D
AND WAS FILED ON JULY 26, 1996
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D
Under the Securities Exchange Act of 1934
(Amendment No. 3)
APPLIX, INC.
(Name of Issuer)
Common
(Title of Class of Securities)
038316105
(CUSIP Number)
Dawson-Samberg Capital Management, Inc., 354 Pequot Ave., Southport CT 06490
203/254-0091
(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)
July 19, 1996
(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 which is the subject of this Schedule 13D, and is
filing this schedule because of Rule 13d-1(b)(3) or (4), check the following
box o.
Check the following box if a fee is being paid with this statement o. (A fee
is not required only if the reporting person: (1) has a previous statement on
file reporting beneficial ownership of more than five percent of the class of
securities described in Item 1; and (2) has filed no amendment subsequent
thereto reporting beneficial ownership of five percent or less of such class.)
(See Rule 13d-7.)
NOTE: Six copies of this statement, including all exhibits, should be filed
with the Commission. See Rule 13d-1(a) for other parties to whom copies are
to be sent.
*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).
1 Name of Reporting Person DAWSON-SAMBERG CAPITAL MANAGEMENT, INC.
IRS Identification No. of Above Person 06-1033494
2 Check the Appropriate Box if a Member of a Group (a) o
(b) o
3 SEC USE ONLY
4 Source of Funds 00
5 Check Box if Disclosure of Legal Proceedings is
Required Pursuant to Items 2(d) or 2(e)
6 Citizenship or Place of Organization CONNECTICUT
7 Sole Voting Power 103,734
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY EACH
REPORTING
PERSON WITH
8 Shared Voting Power
9 Sole Dispositive Power 103,734
10 Shared Dispositive Power
11 Aggregate Amount Beneficially Owned by Each Reporting Person 103,734
12 Check Box if the Aggregate Amount in Row 11 Excludes Certain Shares
13 Percent of Class Represented by Amount in Row 11 1.1
14 Type of Reporting Person IA
1 Name of Reporting Person PEQUOT GENERAL PARTNERS
IRS Identification No. of Above Person 06-1321556
2 Check the Appropriate Box if a Member of a Group (a) o
(b) o
3 SEC USE ONLY
4 Source of Funds AF
5 Check Box if Disclosure of Legal Proceedings is
Required Pursuant to Items 2(d) or 2(e)
6 Citizenship or Place of Organization CONNECTICUT
7 Sole Voting Power 305,700
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY EACH
REPORTING
PERSON WITH
8 Shared Voting Power
9 Sole Dispositive Power 305,700
10 Shared Dispositive Power
11 Aggregate Amount Beneficially Owned by Each Reporting Person 305,700
12 Check Box if the Aggregate Amount in Row 11 Excludes Certain Shares
13 Percent of Class Represented by Amount in Row 11 3.3
14 Type of Reporting Person PN
1 Name of Reporting Person DS INTERNATIONAL PARTNERS, L.P.
IRS Identification No. of Above Person 06-1324895
2 Check the Appropriate Box if a Member of a Group (a) o
(b) o
3 SEC USE ONLY
4 Source of Funds AF
5 Check Box if Disclosure of Legal Proceedings is
Required Pursuant to Items 2(d) or 2(e)
6 Citizenship or Place of Organization DELAWARE
7 Sole Voting Power
169,300
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY EACH
REPORTING
PERSON WITH
8 Shared Voting Power
9 Sole Dispositive Power 169,300
10 Shared Dispositive Power
11 Aggregate Amount Beneficially Owned by Each Reporting Person 169,300
12 Check Box if the Aggregate Amount in Row 11 Excludes Certain Shares
13 Percent of Class Represented by Amount in Row 11 1.8
14 Type of Reporting Person PN
1 Name of Reporting Person PEQUOT ENDOWMENT PARTNERS, L.P.
IRS Identification No. of Above Person 06-1383498
2 Check the Appropriate Box if a Member of a Group (a) o
(b) o
3 SEC USE ONLY
4 Source of Funds AF
5 Check Box if Disclosure of Legal Proceedings is
Required Pursuant to Items 2(d) or 2(e)
6 Citizenship or Place of Organization DELAWARE
7 Sole Voting Power 98,000
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY EACH
REPORTING
PERSON WITH
8 Shared Voting Power
9 Sole Dispositive Power 98,000
10 Shared Dispositive Power
11 Aggregate Amount Beneficially Owned by Each Reporting Person 98,000
12 Check Box if the Aggregate Amount in Row 11 Excludes Certain Shares
13 Percent of Class Represented by Amount in Row 11 1.1
14 Type of Reporting Person PN
ITEM 1. SECURITY AND ISSUER
On December 27, 1994, the Reporting Persons filed a Schedule 13D relative
to their holdings of 6.57% of the Common Stock of Applix, Inc. ("APLX"), a
Massachusetts corporation. This Amendment Number 3 sets forth changes in the
information previously filed. Each item with any change has been set forth
herein in full.
ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION
As of the date hereof, the Reporting Persons beneficially own in the
aggregate 676,734 Shares. Of the 676,734 Shares, 305,700 shares are owned by
Pequot, 103,734 shares are held in managed accounts for which Dawson-Samberg
acts as investment adviser, 169,300 shares are owned by Pequot International,
and 98,000 shares are owned by Pequot Endowment. The 676,734 shares were
purchased in open market transactions at an aggregate cost of $4,363,689. The
funds for the purchase of Shares held by Pequot, Pequot Endowment, and Pequot
International were obtained from the contributions of their various
partners/shareholders. The funds for the acquisition of the Shares held by
the managed accounts came from their own funds.
ITEM 4. PURPOSE OF TRANSACTION
The Shares held by the above-mentioned entities were acquired for,
and are being held for, investment purposes. The acquisitions of the Shares
described herein were made in the ordinary course of the Reporting Person's
business or investment activities, as the case may be. The Reporting Person,
on behalf of the above mentioned entities, reserves the right to purchase
additional Shares or to dispose of the Shares in the open market or in
privately negotiated transactions or in any other lawful manner in the future,
including engaging in short sales of the Shares, and to take whatever action
with respect to each of such entities' holdings of the Shares it deems to be
in the best interests of such entities.
ITEM 5. INTEREST IN SECURITIES OF THE ISSUER
(a) Not Applicable
(b) Not Applicable
(c) As of the date hereof, the Reporting Persons beneficially own in the
aggregate 676,734 Shares. These Shares represent approximately 7.33% of the
9,236,000 Shares believed to be outstanding. Dawson-Samberg has the sole
power to vote, direct the vote, dispose and direct the disposition of the
103,734 Shares held in the managed accounts. Pequot General Partners has the
sole power to vote, direct the vote, dispose and direct the disposition of the
305,700 Shares owned by Pequot. DS International Partners, L.P. has the sole
power to vote, direct the vote, dispose and direct the disposition of the
169,300 Shares owned by Pequot International. Pequot Endowment Partners, L.P.
has the sole power to vote, direct the vote, dispose and direct the
disposition of the 98,000 Shares owned by Pequot Endowment. A description of
the transactions of the Reporting Persons in the Shares that were effected
during the past 60 days is set forth on Exhibit B.
(d) Not Applicable
(e) Not Applicable
ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH
RESPECT TO SECURITIES OF THE ISSUER
None
<PAGE>
ITEM 7. MATERIAL TO BE FILED AS EXHIBITS
A copy of a written agreement relating to the filing of a joint
statement as required by Rule 13d-1(f) under the Securities Exchange Act of
1934 is attached hereto as Exhibit A.
THIS TABLE HAS BEEN SQUEEZED AS FAR AS IT CAN GO WITHOUT WORDS/##
BREAKING UP. IF ATTY WANTS MORE INFO OR "MORE SPACE", HE'LL HAVE TO BUMP FONT
TO SZ.8 AND/OR MAKE MARGINS THINNER. After a reasonable inquiry and to the
best of my knowledge and belief, the undersigned certify that the information
set forth in this statement is true, complete and correct.
In accordance with Rule 101(a)(2)(ii) of Regulation S-T, attached
hereto as Exhibit C is the text of the Amendment No. 2 that was filed by the
Reporting Persons with the Commission on October 19,1995, Exhibit D is the
text of the Amendment No. 1 that was filed by the Reporting Persons with the
Commission on August 2, 1995, and Exhibit E is the text of the Original
Schedule 13D that was filed by the Reporting Persons with the Commission on
December 27, 1994.
Dawson-Samberg Capital Management, Inc.
By: /s/ Arthur J. Samberg
Arthur J. Samberg, President
Pequot General Partners
By: /s/ Arthur J. Samberg
Arthur J. Samberg, General Partner
DS International Partners, L.P.
By: /s Arthur J. Samberg
Arthur J. Samberg, General Partner
Pequot Endowment Partners, L.P.
By: /s/ Arthur J. Samberg
Arthur J. Samberg, General Partner
July 26, 1996
<PAGE>
EXHIBIT A
AGREEMENT
The undersigned agree that this Amendment Number 3 to Schedule 13D
dated July 19, 1996 relating to the Shares of Applix, Inc. shall be filed on
behalf of the undersigned.
Dawson-Samberg Capital Management, Inc.
By: /s/ Arthur J. Samberg
Arthur J. Samberg, President
Pequot General Partners
By:/s/ Arthur J. Samberg
Arthur J. Samberg, General Partner
DS International Partners, L.P.
By:/s/ Arthur J. Samberg
Arthur J. Samberg, General Partner
Pequot Endowment Partners, L.P.
By: /s/ Arthur J. Samberg
Arthur J. Samberg, General Partner
<PAGE>
<TABLE>
<CAPTION>
EXHIBIT B
APPLIX, INC.
SCHEDULE 13D
COMMON STOCK, .0025 PAR VALUE
CUSIP # 038316105
<S> <C> <C> <C> <C> <C> <C>
PEQUOT PEQUOT PEQUOT DAWSON
PARTNERS INTERNATIONAL ENDOWMENT SAMBERG
# OF SHARES FUND, L.P. FUND, LTD. FUND, L.P. CAPITAL MGMT
TRADE PURCHASED TAX I.D. # TAX I.D. # TAX I.D. # TAX I.D. #
DATE (SOLD) PRICE 22-2741859 FOREIGN CORP. 06-1388800 06-1033494
- -------- ------------ ------- ----------- -------------- ----------- -------------
05/28/96 (14,300) 33.7065 0 (7,100) (4,900) (2,300)
05/28/96 (8,700) 33.7065 (8,500) 0 0 (200)
05/29/96 (16,500) 32.8575 0 (8,400) (5,500) (2,600)
05/29/96 (11,000) 32.8575 (10,600) 0 0 (400)
06/18/96 10,000 25.7500 3,700 3,100 2,200 1,000
06/19/96 17,500 27.7321 6,400 5,400 3,900 1,800
07/03/96 (15,700) 32.5313 0 (7,900) (5,500) (2,300)
07/03/96 (9,300) 32.5313 (9,100) 0 0 (200)
07/17/96 (2,500) 33.7500 (1,100) (700) (400) (300)
07/17/96 (7,500) 33.2083 (2,700) (2,400) (1,700) (700)
07/19/96 (21,700) 31.7500 (20,000) 0 0 (1,700)
07/19/96 (18,600) 32.7361 (17,200) 0 0 (1,400)
07/19/96 (28,300) 31.7500 0 (14,600) (8,600) (5,100)
07/19/96 (26,400) 32.7361 0 (13,200) (9,300) (3,900)
07/19/96 (5,000) 33.0000 0 (2,600) (1,700) (700)
07/19/96
(158,000) (59,100) (48,400) (31,500) (19,000)
</TABLE>
<PAGE>
THIS DOCUMENT IS A COPY OF AMENDMENT No. 2 THAT WAS FILED ON OCTOBER 19, 1995
EXHIBIT C
ITEM 1. SECURITY AND ISSUER
On December 27, 1994, the Reporting Persons filed a Schedule 13D relative
to their holdings of 6.57% of the Common Stock of Applix, Inc. ("APLX"), a
Massachusetts corporation. This Amendment Number 2 sets forth changes in the
information previously filed. Each item with any change has been set forth
herein in full.
ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION
As of the date hereof, the Reporting Persons beneficially own in the
aggregate 413,061 Shares. Of the 413,061 Shares, 149,700 shares are owned by
Pequot, 44,961 shares are held in managed accounts for which Dawson-Samberg
acts as investment adviser, 138,800 shares are owned by Pequot International,
and 79,600 shares are owned by Pequot Endowment. The 413,061 shares were
purchased in open market transactions at an aggregate cost of $5,668,899. The
funds for the purchase of Shares held by Pequot, Pequot Endowment, and Pequot
International were obtained from the contributions of their various
partners/shareholders. The funds for the acquisition of the Shares held by
the managed accounts came from their own funds.
ITEM 4. PURPOSE OF TRANSACTION
The Shares held by the above-mentioned entities were made for
investment purposes.
ITEM 5. INTEREST IN SECURITIES OF THE ISSUER
(a) Not Applicable
(b) Not Applicable
(c) As of the date hereof, the Reporting Persons beneficially own in the
aggregate 413,061 Shares. These Shares represent approximately 8.95% of the
4,617,718 Shares believed to be outstanding. Dawson-Samberg has the sole
power to vote, direct the vote, dispose and direct the disposition of the
44,961 Shares held in the managed accounts. Pequot General Partners has the
sole power to vote, direct the vote, dispose and direct the disposition of the
149,700 Shares owned by Pequot. DS International Partners, L.P. has the sole
power to vote, direct the vote, dispose and direct the disposition of the
138,800 Shares owned by Pequot International. Pequot Endowment Partners, L.P.
has the sole power to vote, direct the vote, dispose and direct the
disposition of the 79,600 Shares owned by Pequot Endowment. A description of
the transactions of the Reporting Persons in the Shares that were effected
during the past 60 days is set forth on Exhibit B.
(d) Not Applicable
(e) Not Applicable
ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH
RESPECT TO SECURITIES OF THE ISSUER
None
ITEM 7. MATERIAL TO BE FILED AS EXHIBITS
A copy of a written agreement relating to the filing of a joint
statement as required by Rule 13d-1(f) under the Securities Exchange Act of
1934 is attached hereto as Exhibit A.
THIS TABLE HAS BEEN SQUEEZED AS FAR AS IT CAN GO WITHOUT WORDS/##
BREAKING UP. IF ATTY WANTS MORE INFO OR "MORE SPACE", HE'LL HAVE TO BUMP FONT
TO SZ.8 AND/OR MAKE MARGINS THINNER. After a reasonable inquiry and to the
best of my knowledge and belief, the undersigned certify that the information
set forth in this statement is true, complete and correct.
Dawson-Samberg Capital Management, Inc.
By: /s/ Arthur J. Samberg
Arthur J. Samberg, President
Pequot General Partners
By: /s/ Arthur J. Samberg
Arthur J. Samberg, General Partner
DS International Partners, L.P.
By: /s Arthur J. Samberg
Arthur J. Samberg, General Partner
Pequot Endowment Partners, L.P.
By: /s/ Arthur J. Samberg
Arthur J. Samberg, General Partner
October 19,1995
<PAGE>
EXHIBIT A
AGREEMENT
The undersigned agree that this Amendment Number 2 to Schedule 13D
dated October
19, 1995 relating to the Shares of Applix, Inc. shall be filed on behalf of
the undersigned.
Dawson-Samberg Capital Management, Inc.
By: /s/ Arthur J. Samberg
Arthur J. Samberg, President
Pequot General Partners
By:/s/ Arthur J. Samberg
Arthur J. Samberg, General Partner
DS International Partners, L.P.
By:/s/ Arthur J. Samberg
Arthur J. Samberg, General Partner
Pequot Endowment Partners, L.P.
By: /s/ Arthur J. Samberg
Arthur J. Samberg, General Partner
<PAGE>
<TABLE>
<CAPTION>
EXHIBIT B
APPLIX, INC.
SCHEDULE 13D
COMMON STOCK, .0025 PAR VALUE
CUSIP # 038316105
<S> <C> <C> <C> <C> <C> <C>
PEQUOT PEQUOT PEQUOT DAWSON
PARTNERS INTERNATIONAL ENDOWMENT SAMBERG
# OF SHARES FUND, L.P. FUND, LTD. FUND, L.P. CAPITAL MGMT
TRADE PURCHASED TAX I.D. # TAX I.D. # TAX I.D. # TAX I.D. #
DATE (SOLD) PRICE 22-2741859 FOREIGN CORP. 06-1388800 06-1033494
- -------------- ------------ ------- ---------- ------------- ---------- ------------
TOTAL SHARES @
07/26/95 346,861 123,700 114,200 73,100 35,861
------------ ---------- ------------- ---------- ------------
07/28/95 5,000 28.5000 1,800 1,700 900 600
08/02/95 10,000 26.6250 5,000 3,000 0 2,000
08/07/95 10,000 27.0000 2,800 5,300 0 1,900
08/08/95 3,600 26.7500 2,200.00 800.00 0.00 600
08/14/95 2,600 27.7500 0 0 2,600 0
10/02/95 10,000 19.8750 3,100 3,000 3,000 900
10/09/95 25,000 20.5000 11,100 10,800 0 3,100
------------ ---------- ------------- ---------- ------------
66,200 26,000 24,600 6,500 9,100
TOTAL SHARES @
10/09/95 413,061 149,700 138,800 79,600 44,961
------------ ---------- ------------- ---------- ------------
</TABLE>
<PAGE>
THIS DOCUMENT IS A COPY OF AMENDMENT No. 1 THAT WAS FILED ON AUGUST 2, 1995
EXHIBIT D
ITEM 1. SECURITY AND ISSUER
On December 27, 1994, the Reporting Persons filed a Schedule 13D relative
to their holdings of 6.57% of the Common Stock of Applix, Inc. ("APLX"), a
Massachusetts corporation. This Amendment Number 1 sets forth changes in the
information previously filed. Each item with any change has been set forth
herein in full.
ITEM 2. IDENTITY AND BACKGROUND
This statement is being filed on behalf of Dawson-Samberg Capital
Management, Inc. ("Dawson-Samberg"), a Connecticut corporation, Pequot General
Partners, a Connecticut partnership, Pequot Endowment Partners, L.P., a
Delaware partnership and DS International Partners, L.P., a Delaware
partnership (collectively, the "Reporting Persons"). The principal business
of Dawson-Samberg, an investment adviser registered under the Investment
Advisers Act of 1940, is to act as investment adviser to certain managed
accounts. The principal shareholders at Dawson-Samberg are Messrs. Jonathan
T. Dawson and Arthur J. Samberg. The sole business of Pequot General Partners
is to serve as the general partner of Pequot Partners Fund, L.P. ("Pequot"),
a limited partnership formed under the laws of Delaware to invest and trade
primarily in securities and financial instruments. Messrs. Dawson and Samberg
are general partners of Pequot General Partners. The sole business of Pequot
Endowment Partners, L.P. is to serve as the investment manager of Pequot
Endowment Fund,L.P. ("Pequot Endowment"), a partnership formed under the laws
of Delaware to invest and trade primarily in securities and financial
instruments. Messrs. Dawson and Samberg are general partners of Pequot
Endowment Partners, L.P. The sole business of DS International Partners, L.P.
is to serve as the investment manager of Pequot International Fund, Inc.
("Pequot International") a corporation formed under the laws of British Virgin
Islands to invest and trade primarily in securities and financial instruments.
Messrs. Dawson and Samberg are general partners of DS International Partners,
L.P. The business address of the Reporting Persons is 354 Pequot Avenue,
Southport, CT 06490.
None of the Reporting Persons, their respective General Partners,
officers, directors or controlling persons have, during the last five years,
been convicted in a criminal proceeding (excluding traffic violations or
similar misdemeanors
None of the Reporting Persons, their respective General Partners,
officers, directors or controlling persons have, during the last five years,
been a party to a civil proceeding of a judicial or administrative body of
competent jurisdiction which resulted in a 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.
ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION
As of the date hereof, the Reporting Persons beneficially own in the
aggregate 346,861 Shares. Of the 346,861 Shares, 123,700 shares are owned by
Pequot, 35,861 Shares are held in managed accounts for which Dawson-Samberg
acts as investment adviser, 114,200 Shares are owned by Pequot International,
and 73,100 Shares are owned by Pequot Endowment. The 346,861 Shares were
purchased in open market transactions at an aggregate cost of $4,110,293. The
funds for the purchase of Shares held by Pequot, Pequot Endowment, and Pequot
International were obtained from the contributions of their various
partners/shareholders. The funds for the acquisition of the Shares held by
the managed accounts came from their own funds.
<PAGE>
ITEM 4. PURPOSE OF TRANSACTION
The acquisition of Shares described herein were made for investment
purposes.
ITEM 5. INTEREST IN SECURITIES OF THE ISSUER
(a) Not Applicable
(b) Not Applicable
(c) As of the date hereof, the Reporting Persons beneficially own in the
aggregate 346,861 Shares. These Shares represent approximately 7.645% of the
4,543,000 Shares believed to be outstanding. Dawson-Samberg has the sole
power to vote, direct the vote, dispose and direct the disposition of the
35,861 Shares held in the managed accounts. Pequot General Partners has the
sole power to vote, direct the vote, dispose and direct the disposition of the
123,700 Shares owned by Pequot. DS International Partners, L.P. has the sole
power to vote, direct the vote, dispose and direct the disposition of the
114,200 Shares owned by Pequot International. Pequot Endowment Partners, L.P.
has the sole power to vote, direct the vote, dispose and direct the
disposition of the 73,100 Shares owned by Pequot Endowment. A description of
the transactions of the Reporting Persons in the Shares that were effected
during the past 60 days is set forth on Exhibit B.
(d) Not Applicable
(e) Not Applicable
ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH
RESPECT TO SECURITIES OF THE ISSUER
None
ITEM 7. MATERIAL TO BE FILED AS EXHIBITS
A copy of a written agreement relating to the filing of a joint
statement as required by Rule 13d-1(f) under the Securities Exchange Act of
1934 is attached hereto as Exhibit A.
<PAGE>
THIS TABLE HAS BEEN SQUEEZED AS FAR AS IT CAN GO WITHOUT WORDS/##
BREAKING UP. IF ATTY WANTS MORE INFO OR "MORE SPACE", HE'LL HAVE TO BUMP FONT
TO SZ.8 AND/OR MAKE MARGINS THINNER. After a reasonable inquiry and to the
best of my knowledge and belief, the undersigned certify that the information
set forth in this statement is true, complete and correct.
Dawson-Samberg Capital Management, Inc.
By: /s/ Arthur J. Samberg
Arthur J. Samberg, President
Pequot General Partners
By: /s/ Arthur J. Samberg
Arthur J. Samberg, General Partner
DS International Partners, L.P.
By: /s Arthur J. Samberg
Arthur J. Samberg, General Partner
Pequot Endowment Partners, L.P.
By: /s/ Arthur J. Samberg
Arthur J. Samberg, General Partner
August 2,1995
<PAGE>
EXHIBIT A
AGREEMENT
The undersigned agree that this Amendment Number 1 to Schedule 13D
dated August 2 1995 relating to the Shares of Applix, Inc. shall be filed on
behalf of the undersigned.
Dawson-Samberg Capital Management, Inc.
By: /s/ Arthur J. Samberg
Arthur J. Samberg, President
Pequot General Partners
By:/s/ Arthur J. Samberg
Arthur J. Samberg, General Partner
DS International Partners, L.P.
By:/s/ Arthur J. Samberg
Arthur J. Samberg, General Partner
Pequot Endowment Partners, L.P.
By: /s/ Arthur J. Samberg
Arthur J. Samberg, General Partner
<PAGE>
<TABLE>
<CAPTION>
EXHIBIT B
APPLIX, INC.
SCHEDULE 13D
COMMON STOCK, .0025 PAR VALUE
CUSIP # 038316105
<S> <C> <C> <C> <C> <C> <C>
PEQUOT PEQUOT PEQUOT DAWSON
PARTNERS INTERNATIONAL ENDOWMENT SAMBERG
# OF SHARES FUND, L.P. FUND, LTD. FUND, L.P. CAPITAL MGMT
TRADE PURCHASED TAX I.D. # TAX I.D. # TAX I.D. # TAX I.D. #
DATE (SOLD) PRICE 22-2741859 FOREIGN CORP. 06-1388800 06-1033494
- -------------- ------------ ------- ---------- ------------- ---------- -------------
TOTAL SHARES @
01/01/95 327,261 112,600 105,200 64,300 45,161
------------ ---------- ------------- ---------- -------------
06/22/95 (5,400) 22.0000 0 0 0 (5,400)
07/03/95 (800) 25.8750 0 0 0 (800)
07/03/95 7,000 25.8750 0 0 7,000 (7,000)
07/03/95 (4,500) 25.8750 0 0 0 (4,500)
07/03/95 (400) 25.8750 0 0 0 (400)
07/03/95 (300) 25.8750 0 0 0 (300)
07/03/95 (1,000) 25.8750 0 0 0 (1,000)
07/19/95 2,500 25.3750 1,100 900 200 300
07/26/95 22,500 30.3056 10,000 8,100 1,600 2,800
------------ ---------- ------------- ---------- -------------
19,600 11,100 9,000 8,800 (9,300)
TOTAL SHARES @
07/26/95 346,861 123,700 114,200 73,100 35,861
------------ ---------- ------------- ---------- -------------
</TABLE>
<PAGE>
THIS DOCUMENT IS A COPY OF THE ORIGINAL SCHEDULE 13D THAT WAS FILED ON
DECEMBER 27, 1994
EXHIBIT E
ITEM 1. SECURITY AND ISSUER
This statement relates to the Common Stock, par value .0025, (the
"Shares"), of Applix, Inc. ("APLX"), a Massachusetts corporation."), a
Massachusetts corporation. APLX's principal executive office is located at
112 Turnpike Road, Westboro, MA 01581-2831.
ITEM 2. IDENTITY AND BACKGROUND
This statement is being filed on behalf of Dawson-Samberg Capital
Management, Inc. ("Dawson-Samberg"), a Connecticut corporation, Pequot General
Partners, a Connecticut partnership, and DS International Partners, L.P., a
Delaware partnership (collectively, the "Reporting Persons"). The principal
business of Dawson-Samberg, an investment adviser registered under the
Investment Advisers Act of 1940, is to act as investment adviser to certain
managed accounts. The principal shareholders at Dawson-Samberg are Messrs.
Jonathan T. Dawson and Arthur J. Samberg. The sole business of Pequot General
Partners is to serve as the general partner of Pequot Partners Fund, L.P.
("Pequot"), a limited partnership formed under the laws of Delaware to invest
and trade primarily in securities and financial instruments. Messrs. Dawson
and Samberg are general partners of Pequot General Partners. The sole
business of DS International Partners, L.P. is to serve as the investment
manager of Pequot International Fund, Inc. ("Pequot International") a
corporation formed under the laws of British Virgin Islands to invest and
trade primarily in securities and financial instruments. Messrs. Dawson and
Samberg are general partners of DS International Partners, L.P. The business
address of the Reporting Persons is 354 Pequot Avenue, Southport, CT 06490.
None of the Reporting Persons, their respective General Partners,
officers, directors or controlling persons have, during the last five years,
been convicted in a criminal proceeding (excluding traffic violations or
similar misdemeanors
None of the Reporting Persons, their respective General Partners,
officers, directors or controlling persons have, during the last five years,
been a party to a civil proceeding of a judicial or administrative body of
competent jurisdiction which resulted in a 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.
ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION
As of the date hereof, the Reporting Persons beneficially own in the
aggregate 291,400 Shares. Of the 291,400 Shares, 98,300 shares are owned by
Pequot, 102,000 Shares are held in managed accounts for which Dawson-Samberg
acts as investment adviser, and 91,100 Shares are owned by Pequot
International. The 291,400 Shares were purchased in open market transactions
at an aggregate cost of $2,944,529. The funds for the purchase of Shares held
by Pequot and Pequot International were obtained from the contributions of
their various partners/shareholders. The funds for the acquisition of the
Shares held by the managed accounts came from their own funds.
ITEM 4. PURPOSE OF TRANSACTION
The acquisition of Shares described herein were made for investment
purposes.
<PAGE>
ITEM 5. INTEREST IN SECURITIES OF THE ISSUER
(a) Not Applicable
(b) Not Applicable
(c) As of the date hereof, the Reporting Persons beneficially own in the
aggregate 291,400 Shares. These Shares represent approximately 6.57% of the
4,432,569 Shares believed to be outstanding. Dawson-Samberg has the sole
power to vote, direct the vote, dispose and direct the disposition of the
102,000 Shares held in the managed accounts. Pequot General Partners has the
sole power to vote, direct the vote, dispose and direct the disposition of the
98,300 Shares owned by Pequot. DS International Partners, L.P. has the sole
power to vote, direct the vote, dispose and direct the disposition of the
91,100 Shares owned by Pequot International. A description of the
transactions of the Reporting Persons in the Shares that were effected during
the past 60 days is set forth below:
Trade Date Number of Shares Price Per Share
12/09/94 Buy 189,500 $10.04
12/09/94 Sale (80,000) 10.12
12/12/94 Buy 150,000 10.18
12/13/96 Buy 31,900 10.18
(d) Not Applicable
(e) Not Applicable
ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH
RESPECT TO SECURITIES OF THE ISSUER
None
ITEM 7. MATERIAL TO BE FILED AS EXHIBITS
A copy of a written agreement relating to the filing of a joint
statement as required by Rule 13d-1(f) under the Securities Exchange Act of
1934 is attached hereto as Exhibit A.
THIS TABLE HAS BEEN SQUEEZED AS FAR AS IT CAN GO WITHOUT WORDS/##
BREAKING UP. IF ATTY WANTS MORE INFO OR "MORE SPACE", HE'LL HAVE TO BUMP FONT
TO SZ.8 AND/OR MAKE MARGINS THINNER.
Dawson-Samberg Capital Management, Inc.
By: /s/ Arthur J. Samberg
Arthur J. Samberg, President
Pequot General Partners
By: /s/ Arthur J. Samberg
Arthur J. Samberg, General Partner
DS International Partners, L.P.
By: /s Arthur J. Samberg
Arthur J. Samberg, General Partner
EXHIBIT A
AGREEMENT
The undersigned agree that this Schedule 13D dated December 27, 1994
relating to the Shares of Applix, Inc. shall be filed on behalf of the
undersigned.
Dawson-Samberg Capital Management, Inc.
By: /s/ Arthur J. Samberg
Arthur J. Samberg, President
Pequot General Partners
By:/s/ Arthur J. Samberg
Arthur J. Samberg, General Partner
DS International Partners, L.P.
By:/s/ Arthur J. Samberg
Arthur J. Samberg, General Partner
