-----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, VHM1Oa4oubSIGZoDbdqfJ2FFt/HZQwtYUqIZKHoNoBd2w3NnzqPnkEk+fJE8Uys3 dfkjy7TZ2JAZXukoLor7JQ== 0001029869-98-000270.txt : 19980218 0001029869-98-000270.hdr.sgml : 19980218 ACCESSION NUMBER: 0001029869-98-000270 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980217 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: PEGASYSTEMS INC CENTRAL INDEX KEY: 0001013857 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMPUTER PROCESSING & DATA PREPARATION [7374] IRS NUMBER: 042787865 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-49173 FILM NUMBER: 98542036 BUSINESS ADDRESS: STREET 1: 101 MAIN ST CITY: CAMBRIDGE STATE: MA ZIP: 02142-1590 BUSINESS PHONE: 6173749600 MAIL ADDRESS: STREET 1: 101 MAIN ST CITY: CAMBRIDGE STATE: MA ZIP: 02142-1590 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: TREFLER ALAN CENTRAL INDEX KEY: 0001032235 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: C/O PEGASYSTEMS INC STREET 2: 101 MAIN STREET CITY: CAMBRIDGE STATE: MA ZIP: 02142 BUSINESS PHONE: 6173749600 MAIL ADDRESS: STREET 1: C/O PEGASYSTEMS INC STREET 2: 101 MAIN STREET CITY: CAMBRIDGE STATE: MA ZIP: 02142 SC 13G/A 1 SCHEDULE 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13-G Information Statement Pursuant to Rules 13d-1 and 13d-2 Under the Securities Exchange Act of 1934 (Amendment No. 1)* Pegasystems Inc. ---------------------------------------------------- (Name of Issuer) Common Stock, $.01 par value ---------------------------------------------------- (Title of Class of Securities) 705573 10 3 ---------------------------------------------- (CUSIP Number) *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 disclosures provided in a prior cover page. The information required on 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 Page 2 of 5 Alan Trefler CUSIP Number 705573 10 3 - ------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Alan Trefler (social security no. ###-##-####) - ------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |_| - ------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - ------------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF SHARES 21,447,100 shares BENEFICIALLY ---------------------------------------------------- OWNED BY 6 SHARED VOTING POWER EACH REPORTING 0 PERSON ---------------------------------------------------- WITH 7 SOLE DISPOSITIVE POWER 21,447,100 ---------------------------------------------------- 8 SHARED DISPOSITIVE POWER 0 - ------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 21,447,100 shares - ------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |_| - ------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 75.1% - ------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN =============================================================================== *SEE INSTRUCTIONS BEFORE FILLING OUT! Schedule 13G Page 3 of 5 Alan Trefler CUSIP Number 705573 10 3 Item 1(a). Name of Issuer. The issuer is Pegasystems Inc. ("Pegasystems"). Item 1(b). Address of Issuer's Principal Executive Offices. The issuer's principal executive offices are located at 101 Main Street, Cambridge, MA 02142. Item 2(a). Name of Person Filing. The name of the person filing this statement is Alan Trefler. Item 2(b). Address of Principal Business Office or, if none, Residence. The business address of the person filing this statement is c/o Pegasystems Inc., 101 Main Street, Cambridge, MA 02142. Item 2(c). Citizenship. Alan Trefler is a citizen of the United States of America. Item 2(d). Title of Class of Securities. The class of securities to which this statement relates is the Common Stock, $.01 par value (the "Common Stock"), of Pegasystems. Item 2(e). CUSIP Number. The CUSIP number of the Common Stock is 705573 10 3. Item 3. Not applicable. Item 4. Ownership. (a) Amount Beneficially Owned. Alan Trefler is the beneficial owner of 21,447,100 shares of the Common Stock. (b) Percent of Class. The 21,447,100 shares of Common Stock beneficially owned by Alan Trefler represent 75.1% of the outstanding shares of Common Stock as of December 31, 1997. Schedule 13G Page 4 of 5 Alan Trefler CUSIP Number 705573 10 3 (c) Number of Shares as to which such person has: (i) sole power to vote or to direct the vote: Alan Trefler has the sole power to vote or to direct the vote of 21,447,100 shares of Common Stock. (ii) shared power to vote or to direct the vote: Alan Trefler has shared power to vote or to direct the vote of no shares of Common Stock. (iii) sole power to dispose or to direct the disposition of: Alan Trefler has sole power to dispose or to direct the disposition of 21,447,100 shares of Common Stock. (iv) shared power to dispose or to direct the disposition of: Alan Trefler has shared power to dispose or to direct the disposition of no shares of Common Stock. 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. Schedule 13G Page 5 of 5 Alan Trefler CUSIP Number 705573 10 3 Item 10. Certification. Not applicable. Signature. After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. - ------------------- ------------------------------ Date Signature Alan Trefler -----END PRIVACY-ENHANCED MESSAGE-----