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UNITED STATES --------------------------------------
SECURITIES AND EXCHANGE COMMISSION OMB APPROVAL
WASHINGTON, D.C. 20549 --------------------------------------
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OMB Number: 3235-0145
Expires: August 31, 1991
Estimated average burden
hours per response.......14.90
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SCHEDULE 13G
UNDER THE SECURITIES EXCHANGE ACT OF 1934
(AMENDMENT NO. ____________)*
BEA SYSTEMS, INC.
- -------------------------------------------------------------------------------
(Name of Issuer)
Common Stock
- -------------------------------------------------------------------------------
(Title of Class of Securities)
073325 10 2
------------------------------------
(CUSIP Number)
Check the following box if a fee is being paid with this statement / /. (A fee
is not required only if the filing 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).
*The remainder of this cover page shall be filled out for a reporting
person's initial filing on this form with respect to the subject class of
securities, and for any subsequent amendment containing information which
would alter the disclosures provided in a prior cover page.
The information required in the remainder of this cover page shall not be
deemed to be "filed" for the purpose of Section 18 of the Securities Exchange
Act of 1934 ("Act") or otherwise subject to the liabilities of that section
of the Act but shall be subject to all other provisions of the Act (however,
see the Notes).
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CUSIP No. 073325102 13G
1 NAME OF REPORTING PERSON
S.S OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
WARBURG, PINCUS VENTURES, L.P. I.D. NO. 13-3784037
- -------------------------------------------------------------------------------
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
- -------------------------------------------------------------------------------
NUMBER OF 5 SOLE VOTING POWER
SHARES - 0 -
BENEFICIALLY ------------------------------------------------------------
OWNED BY 6 SHARED VOTING POWER
EACH 31,775,217
REPORTING ------------------------------------------------------------
PERSON 7 SOLE DISPOSITIVE POWER
WITH - 0 -
------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
42,093,554
- -------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
42,093,554(1)
- -------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
- -------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
64.91%
- -------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
PN
- -------------------------------------------------------------------------------
(1)Assumes conversion into voting Common Stock of maximum number of shares of
Class B Non-Voting Common Stock as is permitted pursuant to the Issuer's Amended
and Restated Certificate of Incorporation (49% of Voting Common Stock). The
Reporting Person currently hold 11,870,000 shares of Common Stock and 30,223,554
shares of Class B Non-Voting Common Stock.
1
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CUSIP No. 073325102 13G
1 NAME OF REPORTING PERSON
S.S OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
WARBURG, PINCUS & CO. I.D. NO. 13-6358475
- -------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) / /
(b) /X/
- -------------------------------------------------------------------------------
3 SEC USE ONLY
- -------------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
NEW YORK
- -------------------------------------------------------------------------------
NUMBER OF 5 SOLE VOTING POWER
SHARES - 0 -
BENEFICIALLY ------------------------------------------------------------
OWNED BY 6 SHARED VOTING POWER
EACH 31,775,217
REPORTING ------------------------------------------------------------
PERSON 7 SOLE DISPOSITIVE POWER
WITH - 0 -
------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
42,093,554
- -------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
42,093,554(1)
- -------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
- -------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
64.91%
- -------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
PN
- -------------------------------------------------------------------------------
(1)Assumes conversion into voting Common Stock of maximum number of shares of
Class B Non-Voting Common Stock as is permitted pursuant to the Issuer's Amended
and Restated Certificate of Incorporation (49% of Voting Common Stock). The
Reporting Person currently hold 11,870,000 shares of Common Stock and 30,223,554
shares of Class B Non-Voting Common Stock.
2
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CUSIP No. 073325102 13G
1 NAME OF REPORTING PERSON
S.S OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
E.M. WARBURG, PINCUS & CO., LLC I.D. NO. 13-3536050
- -------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) / /
(b) /X/
- -------------------------------------------------------------------------------
3 SEC USE ONLY
- -------------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
NEW YORK
- -------------------------------------------------------------------------------
NUMBER OF 5 SOLE VOTING POWER
SHARES - 0 -
BENEFICIALLY ------------------------------------------------------------
OWNED BY 6 SHARED VOTING POWER
EACH 31,775,217
REPORTING ------------------------------------------------------------
PERSON 7 SOLE DISPOSITIVE POWER
WITH - 0 -
------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
42,093,554
- -------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
42,093,554(1)
- -------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
- -------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
64.91%
- -------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
PN
- -------------------------------------------------------------------------------
(1)Assumes conversion into voting Common Stock of maximum number of shares of
Class B Non-Voting Common Stock as is permitted pursuant to the Issuer's Amended
and Restated Certificate of Incorporation (49% of Voting Common Stock). The
Reporting Person currently hold 11,870,000 shares of Common Stock and 30,223,554
shares of Class B Non-Voting Common Stock.
3
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CUSIP No. 073325102 13G
ITEM 1.
(a) Name of Issuer: BEA Systems, Inc. (the "Issuer")
(b) Address of Issuer's Principal Executive Offices:
385 Moffett Park Drive, Sunnyvale, CA 94089
ITEM 2.
(a) & (b) Name of Person Filing; Address of Principal Business Office:
This statement is filed by and on behalf of (a) Warburg,
Pincus Ventures, L.P., a Delaware limited partnership ("WPV");
(b) Warburg, Pincus & Co., a New York general partnership
("WP"); and (c) E.M. Warburg, Pincus & Co., LLC, a New York
limited liability company ("EMW LLC"), which manages WPV. WP,
as the sole general partner of WPV, has a 20% interest in the
profits of WPV. Lionel I. Pincus is the managing partner of
WP and the managing member of EMW LLC and may be deemed to
control both WP and EMW LLC. The members of EMW LLC are
substantially the same as the partners of WP. The business
address of each of the foregoing is 466 Lexington Avenue, New
York, New York 10017.
(c) Citizenship: Not applicable.
(d) Title of Class of Securities: Common Stock
(e) CUSIP Number: 073325 10 2
ITEM 3.
Not applicable.
ITEM 4. OWNERSHIP
(a) Amount Beneficially Owned:
42,093,554 shares as of December 31, 1997(1).
(b) Percent of Class: 64.91%, as of December 31, 1997.
______________________________
(1)Assumes conversion into voting Common Stock of maximum number of shares of
Class B Non-Voting Common Stock as is permitted pursuant to the Issuer's
Amended and Restated Certificate of Incorporation (49% of Voting Common
Stock). The Reporting Person currently hold 11,870,000 shares of Common
Stock and 30,223,554 shares of Class B Non-Voting Common Stock.
4
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CUSIP No. 073325102 13G
(c) Number of shares as to which such person has:
(i) sole power to vote or to direct the vote:
- 0 - shares.
(ii) shared power to vote or to direct the vote:
31,275,217 shares
(iii) sole power to dispose or to direct the disposition of:
- 0 - shares.
(iv) shared power to dispose or to direct the disposition of:
42,093,554 shares
ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS
Not applicable.
ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON
Not applicable.
ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH
ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT
HOLDING COMPANY
Not applicable.
ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP
Not applicable.
ITEM 9. NOTICE OF DISSOLUTION OF THE GROUP
Not applicable.
ITEM 10. CERTIFICATION
Not applicable.
5
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CUSIP No. 073325102 13G
SIGNATURE
After reasonable inquiry and to the best of our knowledge and belief, the
undersigned certify that the information set forth in this statement is true,
complete and correct.
Date: January 28, 1998
WARBURG, PINCUS VENTURES, L.P.
By: Warburg, Pincus & Co.,
General Partner
By: /s/ Stephen Distler
------------------------------------
Stephen Distler
Its: Partner
WARBURG, PINCUS & CO.
By: /s/ Stephen Distler
------------------------------------
Stephen Distler
Its: Partner
E.M. WARBURG, PINCUS & CO., LLC
By: /s/ Stephen Distler
------------------------------------
Stephen Distler
Its: Partner
6
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CUSIP No. 073325102 13G
EXHIBITS
Exhibit 1 Joint Filing Agreement, dated _______________, 1998, among the
signatories to this Schedule 13G.
7
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CUSIP No. 073325102 13G
Exhibit 1
JOINT FILING AGREEMENT
PURSUANT TO RULE 13d-1(f)(1)
The undersigned acknowledge and agree that the foregoing statement on
Schedule 13G is filed on behalf of each of the undersigned and that all
subsequent amendments to this statement on Schedule 13G shall be filed on
behalf of each of the undersigned without the necessity of filing additional
joint filing agreements. The undersigned acknowledge that each shall be
responsible for the timely filing of such amendments, and for the
completeness and accuracy of the information concerning it contained therein,
but shall not be responsible for the completeness and accuracy of the
information concerning the others, except to the extent that it knows or has
reason to believe that such information is inaccurate. This Agreement may be
executed in any number of counterparts and all of such counterparts taken
together shall constitute one and the same instrument.
Dated: January 28, 1998
WARBURG, PINCUS VENTURES, L.P.
By: Warburg, Pincus & Co.,
General Partner
By: /s/ Stephen Distler
------------------------------------
Stephen Distler
Its: Partner
WARBURG, PINCUS & CO.
By: /s/ Stephen Distler
------------------------------------
Stephen Distler
Its: Partner
8
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CUSIP No. 073325102 13G
E.M. WARBURG, PINCUS & CO., LLC
By: /s/ Stephen Distler
------------------------------------
Stephen Distler
Its: Partner
9
