SC 13G 1 nuance.txt SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 Nuance Communications, Inc. ----------------------------------------------------------------------------- (Name of Issuer) Common Stock, $0.001 par value per share ----------------------------------------------------------------------------- (Title of Class of Securities) 669967-101 ----------------------------------------------------------------------------- (Cusip Number) Check the following if a fee is being paid with this statement [x]. 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). SCHEDULE 13G - ---------------------------------------------------------------------------- | 1 | NAME OF REPORTING PERSON | | | S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON | | | | | | Morgenthaler Venture Partners IV 34-1807476 | |-----|----------------------------------------------------------------------| | 2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] | | | ---- | | | (b) [ ] | | | ---- | |-----|----------------------------------------------------------------------| | 3 | SEC USE ONLY | | | | |-----|----------------------------------------------------------------------| | 4 | SOURCE OF FUNDS* | | | | | | | | | | | | | |-----|----------------------------------------------------------------------| | 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 | |-------------------------------|-------|------------------------------------| | NUMBER OF | 7 | SOLE VOTING POWER | | | | | | SHARES | | 0 | | |-------|------------------------------------| | BENEFICIALLY | 8 | SHARED VOTING POWER | | | | | | OWNED BY | | 1,765,524 (See Item 4) | | |-------|------------------------------------| | EACH | 9 | SOLE DISPOSITIVE POWER | | | | | | REPORTING | | 0 | | | | | | PERSON |-------|------------------------------------| | | 10 | SHARED DISPOSITIVE POWER | | WITH | | | | | | 1,765,524 (See Item 4) | |-------------------------------|-------|------------------------------------| | 11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | | | | | | 1,765,524 (See Item 4) | |-----|----------------------------------------------------------------------| | 12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN | | | SHARES* [ ] | | | N/A ---- | |-----|----------------------------------------------------------------------| | 13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) | | | | | | 5.49 | |-----|----------------------------------------------------------------------| | 14 | TYPE OF REPORTING PERSON* | | | | | | PN | - ---------------------------------------------------------------------------- SCHEDULE 13G - ----------------------------------------------------------------------------- | 1 | NAME OF REPORTING PERSON | | | S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON | | | | | | Morgenthaler Management Partners IV 34-1807474 | |-----|-----------------------------------------------------------------------| | 2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] | | | ---- | | | (b) [ ] | | | ---- | |-----|-----------------------------------------------------------------------| | 3 | SEC USE ONLY | | | | |-----|-----------------------------------------------------------------------| | 4 | SOURCE OF FUNDS* | | | | | | | | | | | | | |-----|-----------------------------------------------------------------------| | 5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT | | | TO ITEMS 2(d) OR 2(e) [ ] | | | ---- | | | | | | | |-----|-----------------------------------------------------------------------| | 6 | CITIZENSHIP OR PLACE OF ORGANIZATION | | | | | | Ohio | |-------------------------------|-------|-------------------------------------| | NUMBER OF | 7 | SOLE VOTING POWER | | | | | | SHARES | | 0 | | |-------|-------------------------------------| | BENEFICIALLY | 8 | SHARED VOTING POWER | | | | | | OWNED BY | | 1,765,524 (See Item 4) | | |-------|-------------------------------------| | EACH | 9 | SOLE DISPOSITIVE POWER | | | | | | REPORTING | | | | | | 0 | | PERSON |-------|-------------------------------------| | | 10 | SHARED DISPOSITIVE POWER | | WITH | | | | | | 1,765,524 (See Item 4) | |-------------------------------|-------|-------------------------------------| | 11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | | | | | | 1,765,524 (See Item 4) | |-----|-----------------------------------------------------------------------| | 12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN | | | SHARES* [ ] | | | ---- | |-----|-----------------------------------------------------------------------| | 13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) | | | | | | 5.49% | |-----|-----------------------------------------------------------------------| | 14 | TYPE OF REPORTING PERSON* | | | | | | PN | - ----------------------------------------------------------------------------- SCHEDULE 13G - ----------------------------------------------------------------------------- | 1 | NAME OF REPORTING PERSON | | | S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON | | | | | | David T. Morgenthaler ###-##-#### | |-----|-----------------------------------------------------------------------| | 2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] | | | ---- | | | (b) [ ] | | | ---- | |-----|-----------------------------------------------------------------------| | 3 | SEC USE ONLY | | | | |-----|-----------------------------------------------------------------------| | 4 | SOURCE OF FUNDS* | | | | | | | | | | | | | |-----|-----------------------------------------------------------------------| | 5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT | | | TO ITEMS 2(d) OR 2(e) [ ] | | | ---- | | | | | | | |-----|-----------------------------------------------------------------------| | 6 | CITIZENSHIP OR PLACE OF ORGANIZATION | | | | | | United States | |-------------------------------|-------|-------------------------------------| | NUMBER OF | 7 | SOLE VOTING POWER | | | | | | SHARES | | 0 | | |-------|-------------------------------------| | BENEFICIALLY | 8 | SHARED VOTING POWER | | | | | | OWNED BY | | 1,765,524 (See Item 4) | | |-------|-------------------------------------| | EACH | 9 | SOLE DISPOSITIVE POWER | | | | | | REPORTING | | | | | | 0 | | PERSON |-------|-------------------------------------| | | 10 | SHARED DISPOSITIVE POWER | | WITH | | | | | | 1,765,524 (See Item 4) | |-------------------------------|-------|-------------------------------------| | 11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | | | | | | 1,765,524 (See Item 4) | |-----|-----------------------------------------------------------------------| | 12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN | | | SHARES* [ ] | | | ---- | |-----|-----------------------------------------------------------------------| | 13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) | | | | | | 5.49% | |-----|-----------------------------------------------------------------------| | 14 | TYPE OF REPORTING PERSON* | | | | | | IN | - ----------------------------------------------------------------------------- SCHEDULE 13G - ----------------------------------------------------------------------------- | 1 | NAME OF REPORTING PERSON | | | S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON | | | | | | Robert D. Pavey ###-##-#### | |-----|-----------------------------------------------------------------------| | 2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] | | | ---- | | | (b) [ ] | | | ---- | |-----|-----------------------------------------------------------------------| | 3 | SEC USE ONLY | | | | |-----|-----------------------------------------------------------------------| | 4 | SOURCE OF FUNDS* | | | | | | | | | | | | | |-----|-----------------------------------------------------------------------| | 5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT | | | TO ITEMS 2(d) OR 2(e) [ ] | | | ---- | | | | | | | |-----|-----------------------------------------------------------------------| | 6 | CITIZENSHIP OR PLACE OF ORGANIZATION | | | | | | United States | |-------------------------------|-------|-------------------------------------| | NUMBER OF | 7 | SOLE VOTING POWER | | | | | | SHARES | | 0 | | |-------|-------------------------------------| | BENEFICIALLY | 8 | SHARED VOTING POWER | | | | | | OWNED BY | | 1,765,524 (See Item 4) | | |-------|-------------------------------------| | EACH | 9 | SOLE DISPOSITIVE POWER | | | | | | REPORTING | | | | | | 0 | | PERSON |-------|-------------------------------------| | | 10 | SHARED DISPOSITIVE POWER | | WITH | | | | | | 1,765,524 (See Item 4) | |-------------------------------|-------|-------------------------------------| | 11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | | | | | | 1,765,524 (See Item 4) | |-----|-----------------------------------------------------------------------| | 12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN | | | SHARES* [ ] | | | ---- | |-----|-----------------------------------------------------------------------| | 13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) | | | | | | 5.49% | |-----|-----------------------------------------------------------------------| | 14 | TYPE OF REPORTING PERSON* | | | | | | IN | - ----------------------------------------------------------------------------- SCHEDULE 13G - ---------------------------------------------------------------------------- | 1 | NAME OF REPORTING PERSON | | | S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON | | | | | | Robert C. Bellas, Jr. ###-##-#### | |-----|----------------------------------------------------------------------| | 2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] | | | ---- | | | (b) [ ] | | | ---- | |-----|----------------------------------------------------------------------| | 3 | SEC USE ONLY | | | | |-----|----------------------------------------------------------------------| | 4 | SOURCE OF FUNDS* | | | | | | | | | | | | | |-----|----------------------------------------------------------------------| | 5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT | | | TO ITEMS 2(d) OR 2(e) [ ] | | | ---- | | | | | | | |-----|----------------------------------------------------------------------| | 6 | CITIZENSHIP OR PLACE OF ORGANIZATION | | | | | | United States | |-------------------------------|-------|------------------------------------| | NUMBER OF | 7 | SOLE VOTING POWER | | | | | | SHARES | | 0 | | |-------|------------------------------------| | BENEFICIALLY | 8 | SHARED VOTING POWER | | | | | | OWNED BY | | 1,765,524 (See Item 4) | | |-------|------------------------------------| | EACH | 9 | SOLE DISPOSITIVE POWER | | | | | | REPORTING | | 0 | | | | | | PERSON |-------|------------------------------------| | | 10 | SHARED DISPOSITIVE POWER | | WITH | | | | | | 1,765,524 (See Item 4) | |-------------------------------|-------|------------------------------------| | 11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | | | | | | 1,765,524 (See Item 4) | |-----|----------------------------------------------------------------------| | 12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN | | | SHARES* [ ] | | | ---- | |-----|----------------------------------------------------------------------| | 13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) | | | | | | 5.49% | |-----|----------------------------------------------------------------------| | 14 | TYPE OF REPORTING PERSON* | | | | | | IN | - ---------------------------------------------------------------------------- SCHEDULE 13G - ---------------------------------------------------------------------------- | 1 | NAME OF REPORTING PERSON | | | S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON | | | | | | Gary J. Morgenthaler ###-##-#### | |-----|----------------------------------------------------------------------| | 2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] | | | ---- | | | (b) [ ] | | | ---- | |-----|----------------------------------------------------------------------| | 3 | SEC USE ONLY | | | | |-----|----------------------------------------------------------------------| | 4 | SOURCE OF FUNDS* | | | | | | | | | | | | | |-----|----------------------------------------------------------------------| | 5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT | | | TO ITEMS 2(d) OR 2(e) [ ] | | | ---- | | | | | | | |-----|----------------------------------------------------------------------| | 6 | CITIZENSHIP OR PLACE OF ORGANIZATION | | | | | | United States | |-------------------------------|-------|------------------------------------| | NUMBER OF | 7 | SOLE VOTING POWER | | | | | | SHARES | | 30,000 (See Item 4) | | |-------|------------------------------------| | BENEFICIALLY | 8 | SHARED VOTING POWER | | | | | | OWNED BY | | 1,765,524 (See Item 4) | | |-------|------------------------------------| | EACH | 9 | SOLE DISPOSITIVE POWER | | | | | | REPORTING | | 30,000 (See Item 4) | | | | | | PERSON |-------|------------------------------------| | | 10 | SHARED DISPOSITIVE POWER | | WITH | | | | | | 1,765,524 (See Item 4) | |-------------------------------|-------|------------------------------------| | 11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | | | | | | 1,795,524 (See Item 4) | |-----|----------------------------------------------------------------------| | 12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN | | | SHARES* [ ] | | | ---- | |-----|----------------------------------------------------------------------| | 13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) | | | | | | 5.58% | |-----|----------------------------------------------------------------------| | 14 | TYPE OF REPORTING PERSON* | | | | | | IN | - ---------------------------------------------------------------------------- SCHEDULE 13G - ---------------------------------------------------------------------------- | 1 | NAME OF REPORTING PERSON | | | S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON | | | | | | John D. Lutsi ###-##-#### | |-----|----------------------------------------------------------------------| | 2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] | | | ---- | | | (b) [ ] | | | ---- | |-----|----------------------------------------------------------------------| | 3 | SEC USE ONLY | | | | |-----|----------------------------------------------------------------------| | 4 | SOURCE OF FUNDS* | | | | | | | | | | | | | |-----|----------------------------------------------------------------------| | 5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT | | | TO ITEMS 2(d) OR 2(e) [ ] | | | ---- | | | | | | | |-----|----------------------------------------------------------------------| | 6 | CITIZENSHIP OR PLACE OF ORGANIZATION | | | | | | United States | |-------------------------------|-------|------------------------------------| | NUMBER OF | 7 | SOLE VOTING POWER | | | | | | SHARES | | 0 | | |-------|------------------------------------| | BENEFICIALLY | 8 | SHARED VOTING POWER | | | | | | OWNED BY | | 1,765,524 (See Item 4) | | |-------|------------------------------------| | EACH | 9 | SOLE DISPOSITIVE POWER | | | | | | REPORTING | | 0 | | | | | | PERSON |-------|------------------------------------| | | 10 | SHARED DISPOSITIVE POWER | | WITH | | | | | | 1,765,524 (See Item 4) | |-------------------------------|-------|------------------------------------| | 11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | | | | | | 1,765,524 (See Item 4) | |-----|----------------------------------------------------------------------| | 12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN | | | SHARES* [ ] | | | ---- | |-----|----------------------------------------------------------------------| | 13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) | | | | | | 5.49% | |-----|----------------------------------------------------------------------| | 14 | TYPE OF REPORTING PERSON* | | | | | | IN | - ---------------------------------------------------------------------------- Schedule 13G ------------ Item 1(a). NAME OF ISSUER: Nuance Communication, Inc. Item 1(b). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: 1005 Hamilton Ct Menlo Park, CA 94025 Item 2(a). NAMES OF PERSONS FILING: Morgenthaler Venture Partners IV ("MVP IV"); Morgenthaler Management Partners IV ("MMP IV"), the general partner of MVP IV; David T. Morgenthaler, Robert D. Pavey, Robert C. Bellas, Jr., Gary J. Morgenthaler and John D. Lutsi (collectively, The "General Partners") are partners of MMP IV, the general partner of MVP IV. Item 2(b). ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE: The address of the principal business office of MVP IV, MMP IV and each of the General Partners is: Morgenthaler Venture Partners IV 50 Public Square Suite 2700 Cleveland, Ohio 44113 Item 2(c). CITIZENSHIP: MVP IV is a limited partnership organized under the laws of Delaware and MMP IV is a limited partnership organized under the laws of the State of Ohio. Each of the General Partners is a United States citizen. Item 2(d). TITLE OF CLASS OF SECURITIES: Common Stock, $0.001 par value per share Item 2(e). CUSIP NUMBER: 669967-101 Item 3. IF THIS STATEMENT IS FILED PURSUANT TO RULES 13d-1(b), OR 13d-2(b), CHECK WHETHER THE PERSON FILING IS a: (a) [ ] Broker or Dealer registered under Section 15 of the Securities Exchange Act of 1934 (the "Act"). (b) [ ] Bank as defined in Section 3(a)(6) of the Act. (c) [ ] Insurance Company as defined in Section 3(a)( 19) of the Act. (d) [ ] Investment Company registered under Section 8 of the Investment Company Act of 1940. (e) [ ] Investment Advisor registered under Section 203 of the Investment Advisors Act of 1940. (f) [ ] Employee Benefit Plan, Pension Fund which is subject to the provisions of the Employee Retirement Income Security Act of 1974 or Endowment Fund; see Rule 13d-1(b)(1)(ii)(f) of the Act. (g) [ ] Parent Holding Company, in accordance with Rule 13d-1(b)(ii)(G) of the Act. (h) [ ] Group, in accordance with Rule 13d-1(b)(1)(ii)(H) of the Act. Not Applicable. Item 4. OWNERSHIP. (a) Amount Beneficially owned: MVP IV, 1,765,524 shares of Nuance Communication, Inc. and each of MMP IV, David T. Morgenthaler, Robert D. Pavey, Robert C. Bellas, Gary, J. Morgenthaler and John D. Lutsi may be deemed to beneficially own 1,765,524 shares of Nuance Communication, Inc. (the company) as of December 31, 2000. MVP IV is the record owner of 1,765,524 shares. MMP IV, in its capacity as the general partner of MVP IV, may be deemed to beneficially own such 1,765,524 shares. Gary J. Morgenthaler holds an option for 30,000 common shares, Gary J. Morgenthaler has sole voting and disposite power over such shares. (b) Percent of Class (based on 32,158,875 shares of common stock): MVP IV: 5.49% MMP IV: 5.49% David T. Morgenthaler: 5.49% Robert D. Pavey : 5.49% Robert C. Bellas: 5.49% Gary J. Morgenthaler : 5.58% John D. Lutsi: 5.49% (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: Gary J. Morgenthaler: 30,000 shares* (ii) shared power to vote or to direct the vote: MVP IV: 1,765,524 shares MMP IV: 1,765,524 shares David T. Morgenthaler: 1,765,524 shares Robert D. Pavey : 1,765,524 shares Robert C. Bellas: 1,765,524 shares Gary J. Morgenthaler : 1,765,524 shares John D. Lutsi: 1,765,524 shares (iii) sole power to dispose or direct the disposition of: Gary J. Morgenthaler: 30,000 shares* (iv) shared power to dispose or direct the disposition of: MVP IV: 1,765,524 shares MMP IV: 1,765,524 shares David T. Morgenthaler: 1,765,524 shares Robert D. Pavey : 1,765,524 shares Robert C. Bellas: 1,765,524 shares Gary J. Morgenthaler : 1,765,524 shares John D. Lutsi : 1,765,524 shares Each of MVP IV and MMP IV and each of the General Partners expressly disclaims beneficial ownership of any shares of common stock of the Company, except in the case of MVP IV, for the 1,765,524 shares which its holds of record. *Gary J. Morgenthaler holds an option for 30,000 common shares, Gary J. Morgenthaler has sole voting and disposite power over such 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 GROUP. Not Applicable. Item 10. CERTIFICATION. Not Applicable. This statement on Schedule 13G is not filed pursuant to Rule 13d-1(b). By signing below, I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purposes or effect. SIGNATURES ---------- After reasonable inquiry and to the best of its knowledge and belief, I certify that the information set forth in this statement is true, complete, and correct. Date: February MORGENTHALER VENTURE PARTNERS IV, L.P By: Morgenthaler Management Partners IV, L.P By: * ---------------------------------------- General Partner MORGENTHALER MANAGEMENT PARTNERS IV, L.P By: * ---------------------------------------- General Partner * ---------------------------------------- David T. Morgenthaler * ---------------------------------------- Robert D. Pavey * ---------------------------------------- Robert C. Bellas, Jr. * ---------------------------------------- Gary J. Morgenthaler * ---------------------------------------- John D. Lutsi *By: /s/ Theodore A. Laufik --------------------------------------- Theodore A. Laufik Attorney-in-Fact