-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, HyWmqW3b9XZrrLAlAIizT3F5gTdYAoWwPctp7B7JNcAIDtrIzgEewjzodZH/SUpU PHKIIG4Yc0ivjAgWqTyoTg== 0001002225-99-000001.txt : 19990218 0001002225-99-000001.hdr.sgml : 19990218 ACCESSION NUMBER: 0001002225-99-000001 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19990217 GROUP MEMBERS: DIMARCO HARLEEN REVOCABLE LIVING TRUST GROUP MEMBERS: DIMARCO HARLEEN REVOCABLE LIVING TRUST DATED 9/20/90 ET AL GROUP MEMBERS: JAMES HARLEEN GROUP MEMBERS: STEPHANIE DIMARCO SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ADVENT SOFTWARE INC /DE/ CENTRAL INDEX KEY: 0001002225 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMPUTER PROGRAMMING SERVICES [7371] IRS NUMBER: 942901952 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-46001 FILM NUMBER: 99543719 BUSINESS ADDRESS: STREET 1: 301 BRANNAN ST CITY: SAN FRANCISCO STATE: CA ZIP: 94107 BUSINESS PHONE: 4155437696 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: DIMARCO HARLEEN REVOCABLE LIVING TRUST DATED 9/20/90 ET AL CENTRAL INDEX KEY: 0001009280 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] IRS NUMBER: 550275088 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 224 MOUNTAIN AVE CITY: PIEDMONT STATE: CA ZIP: 94611 BUSINESS PHONE: 4155437696 MAIL ADDRESS: STREET 1: DIMARCO HARLEEN REVOCABLE LIVING TRUST STREET 2: 224 MOUNTAIN AVE CITY: PIEDMONT STATE: CA ZIP: 94611 SC 13G/A 1 SCHEDULE 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3)* Advent Software, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 007974108 (CUSIP Number) December 31, 1998 - -------------------------------------------------------------------------------- (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [ ] Rule 13d-1(b) [ ] Rule 13d-1(c) [X] Rule 13d-1(d) *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). 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 control number. SEC 1745 (3-98) CUSIP No. 007974108 - -------------------------------------------------------------------------------- 1. Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only). DiMarco/Harleen Revocable Living Trust, Dated 9/20/90, as amended, and Stephanie DiMarco and James Harleen, Trustees 2. Check the Appropriate Box if a Member of a Group (See Instructions) (a) ............................................................. (b) Wife and Husband..........................................[X] - -------------------------------------------------------------------------------- 3. SEC Use Only ......................................................... - -------------------------------------------------------------------------------- 4. Citizenship or Place of Organization For the Trust - California; The Trustees, Stephanie DiMarco and James Harleen are U.S.citizens.... - -------------------------------------------------------------------------------- 5. Sole Voting Power - -------------------------------------------------------------------------------- 6. Shared Voting Power 1,057,503 (1).................................... - -------------------------------------------------------------------------------- 7. Sole Dispositive Power - -------------------------------------------------------------------------------- 8. Shared Dispositive Power 1,057,503 (1)............................... - -------------------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 1,057,503 (1) 10. Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) ................................................... 11. Percent of Class Represented by Amount in Row (11) 12.8%............. - -------------------------------------------------------------------------------- 12. Type of Reporting Person (See Instructions ) OO..................... - -------------------------------------------------------------------------------- (1) Includes 849,004 shares of Common Stock held in the name of DiMarco/Harleen Revocable Living Trust, Dated 9/20/90, as amended, 44,500 shares of Common Stock held in the name of DiMarco/Harleen Charitable Trust, 104,000 shares of Common Stock held in the name of DiMarco/Harleen 1997 Charitable Trust and 59,999 shares of Common Stock issuable upon exercise of options granted to Stephanie DiMarco pursuant to the issuer's stock option plan, as to which Stephanie DiMarco has sole voting and dispositive power. Item 1. (a) Name of Issuer : Advent Software, Inc. (b) Address of Issuer's Principal Executive Offices 301 Brannan Street, San Francisco, CA 94107 Item 2. (a) Name of Person Filing: DiMarco/Harleen Revocable Living Trust, dated 9/20/90, as amended, and Stephanie DiMarco and James Harleen, Trustees (b) Address of Principal Business Office or, if none, Residence 301 Brannan Street, San Francisco, CA 94107 (c) Citizenship The DiMarco/Harleen Revocable Living Trust, Dated 9/20/90, as amended, is a living trust. The Trustees, James Harleen and Stephanie DiMarco, are U. S. citizens (d) Title of Class of Securities Common Stock (e) CUSIP Number 007974108 Item 3. If this statement is filed pursuant to Rules 13d-1(b) or 13d-2(b) or (c), check whether the person filing is a: NOT APPLICABLE Item 4. Ownership Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1. (a) Amount of beneficially owed: 1,057,503 (2) (b) Percent of class: ___12.8%___. (c) Number of shares as to which the person has: (i) Sole power to vote or to direct the vote. ____N/A____. (2) Includes 849,004 shares of Common Stock held in the name of DiMarco/Harleen Revocable Living Trust, Dated 9/20/90, as amended, 44,500 shares of Common Stock held in the name of DiMarco/Harleen Charitable Trust, 104,000 shares of Common Stock held in the name of DiMarco/Harleen 1997 Charitable Trust and 59,999 shares of Common Stock issuable upon exercise of options granted to Stephanie DiMarco pursuant to the issuer's stock option plan, as to which Stephanie DiMarco has sole voting and dispositive power. (ii) Shared power to vote or to direct the vote. __1,057,503 (3)_. (iii) Sole power to dispose or to direct the disposition of. _N/A_. (iv) Shared power to dispose or to direct the disposition of. _1,507,503_ Instruction. For computations regarding securities which represent a right to acquire an underlying security see Rule 13d-3(d)(1). Item 5. Ownership of Five Percent or Less of a Class If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following |_|. Instruction: Dissolution of a group requires a response to this item. Item 6. Ownership of More than Five Percent on Behalf of Another Person If any other person is known to have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, such securities, a statement to that effect should be included in response to this item and, if such interest relates to more than five percent of the class, such person should be identified. A listing of the shareholders of an investment company registered under the Investment Company Act of 1940 or the beneficiaries of employee benefit plan, pension fund or endowment fund is not required. Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company If a parent holding company has filed this schedule, pursuant to Rule 13d-1(b)(ii)(G), so indicate under Item 3(g) and attach an exhibit stating the identity and the Item 3 classification of the relevant subsidiary. If a parent holding company has filed this schedule pursuant to Rule 13d-1(c) or Rule 13d-1(d), attach an exhibit stating the identification of the relevant subsidiary. Item 8. Identification and Classification of Members of the Group If a group has filed this schedule pursuant to Rules 13d-1(b)(1)(ii)(J), so indicate under Item 3(j) and attach an exhibit stating the identity and Item 3 classification of each member of the group. If a group has filed this schedule pursuant to Rule 13d-1(c) or Rule 13d-1(d), attach an exhibit stating the identity of each member of the group. Item 9. Notice of Dissolution of Group Notice of dissolution of a group may be furnished as an exhibit stating the date of the dissolution and that all further filings with respect to transactions in the security reported on will be filed, if required, by members of the group, in their individual capacity. See Item 5. (3) Includes 849,004 shares of Common Stock held in the name of DiMarco/Harleen Revocable Living Trust, Dated 9/20/90, as amended, 44,500 shares of Common Stock held in the name of DiMarco/Harleen Charitable Trust, 104,000 shares of Common Stock held in the name of DiMarco/Harleen 1997 Charitable Trust and 59,999 shares of Common Stock issuable upon exercise of options granted to Stephanie DiMarco pursuant to the issuer's stock option plan, as to which Stephanie DiMarco has sole voting and dispositive power. Item 10. Certification (a) The following certification shall be included if the statement is 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 acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. (b) The following certification shall be included if the statement is filed pursuant to Rule 13d-1(c): By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set in this statement is true, complete and correct. February 16 , 1999 -------------------------------- Date /s/ James Harleen on behalf of the DiMarco/Harleen Revocable Living Trust, dated 9/20/90, as amended, DiMarco/Harleen Charitable Trust, DiMarco/ Harleen 1997 Charitable Trust in his capacity as a Trustee of said Trusts /s/ Stephanie DiMarco, individually, and on behalf of the DiMarco/ Harleen Revocable Living Trust, dated 9/20/90, as amended, DiMarco/Harleen Charitable Trust, DiMarco/Harleen 1997 Charitable Trust in her capacity as a Trustee of said Trusts The original statement shall be signed by each person on whose behalf the statement is filed or his authorized representative. If the statement is signed on behalf of a person by his authorized representative other than an executive officer or general partner of the filing person, evidence of the representative's authority to sign on behalf of such person shall be filed with the statement, provided, however, that a power of attorney for this purpose which is already on file with the Commission may be incorporated by reference. The name and any title of each person who signs the statement shall be typed or printed beneath his signature. NOTE: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Rule 240.13d-7 for other parties for whom copies are to be sent. Attention: Intentional misstatements or omissions of fact constitute Federal criminal violations (See 18 U.S.C. 1001) - -------- -----END PRIVACY-ENHANCED MESSAGE-----