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Applegate Brion B – ‘3’ for 4/10/98 re: CTC Communications Corp.

As of:  Monday, 4/20/98   ·   For:  4/10/98   ·   Accession #:  908662-98-79   ·   File #:  0-13627

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  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 4/20/98  Applegate Brion B                 3          10% Owner   1:9K   CTC Communications Corp.          Locke Lord LLP/FA

Initial Statement of Beneficial Ownership of Securities by an Insider   —   Form 3   —   SEA’34
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 3           Initial State/Beneficial Ownership of Securities       4±    14K 

31st “Page” of 2TOCTopPreviousNextBottomJust 1st
 

------------------------------ OMB APPROVAL ------------------------------ OMB Number 3235-0104 Expires: September 30, 1998 Estimated average burden hours per response ....... 0.5 ------------------------------ U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 3 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 ================================================================================ 1. Name and Address of Reporting Person* Applegate Brion B. -------------------------------------------------------------------------------- (Last) (First) (Middle) 245 Lytton Avenue, Suite 175 -------------------------------------------------------------------------------- (Street) Palo Alto CA 94301 -------------------------------------------------------------------------------- (City) (State) (Zip) ================================================================================ 2. Date of Event Requiring Statement (Month/Day/Year) 4/10/98 ================================================================================ 3. IRS or Social Security Number of Reporting Person (Voluntary) ================================================================================ 4. Issuer Name and Ticker or Trading Symbol CTC Communications Corp. (CPTL) ================================================================================ 5. Relationship of Reporting Person to Issuer (Check all applicable) [ ] Director [ x ] 10% Owner [ ] Officer (give title below) [ ] Other (specify below) -------------------------------------------------------------------- ================================================================================ 6. If Amendment, Date of Original (Month/Year) ================================================================================ 7. Individual or Joint/Group Filing (Check applicable line) [ x ] Form Filed by One Reporting Person [ ] Form Filed by More than One Reporting Person ================================================================================ Table I -- Non-Derivative Securities Beneficially Owned ================================================================================ [Enlarge/Download Table] 3. Ownership Form: 2. Amount of Securities Direct (D) or 1. Title of Security Beneficially Owned Indirect (I) 4. Nature of Indirect Beneficial Ownership (Instr. 4) (Instr. 4) (Instr. 5) (Instr.5) ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, $.01 par value 0 NA NA ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ==================================================================================================================================== * If the Form is filed by more than one Reporting Person, see Instruction 5(b)(v) Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. Page 1 of ___
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FORM 3 (continued) Table II -- Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) ================================================================================ [Enlarge/Download Table] 5. Owner- 3. Title and Amount of Securities ship Underlying Derivative Security Form of 2. Date Exercisable (Instr. 4) Derivative and Expiration Date --------------------------------- 4. Conver- Security: (Month/Day/Year) Amount sion or Direct 6. Nature of ---------------------- or Exercise (D) or Indirect Date Expira- Number Price of Indirect Beneficial 1. Title of Derivative Exer- tion of Derivative (I) Ownership Security (Instr. 4) cisable Date Title Shares Security (Instr.5) (Instr. 5) ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ Warrant Immed. 4/9/03 Common Stock, $.01 par value 131,511 $9.00 I By Spectrum Equity Investors II, L.P.* ------------------------------------------------------------------------------------------------------------------------------------ Series A Convertible Preferred Stock, $1.00 par value Immed. 4/9/03 Common Stock, $.01 par value 1,315,110 $9.00 I By Spectrum Equity Investors II, L.P.* ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ==================================================================================================================================== Explanation of Responses: * -Reporting Person is a General Partner of the registered owner's /s/Brion B. Applegate April 20, 1998 --------------------------------------------- ----------------------- **Signature of Reporting Person Date Brion B. Applegate ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this Form, one of which must be manually signed. If space provided is insufficient, See Instruction 6 for procedure. Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. Page 2 of __

Dates Referenced Herein   and   Documents Incorporated by Reference

Referenced-On Page
This ‘3’ Filing    Date First  Last      Other Filings
9/30/98110-Q,  10-Q/A
Filed on:4/20/9823,  SC 13D
For Period end:4/10/983,  8-K
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Filing Submission 0000908662-98-000079   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)

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