-----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, PmPm+VGfIgHAN7vHNm4jfPl83j4EanGtcMdIuPGDHVwYtvWwDSgDLKqEOMK95OK9 AoX5v9Vt/bU4OoHePMXlGw== 0000912057-97-005370.txt : 19970222 0000912057-97-005370.hdr.sgml : 19970222 ACCESSION NUMBER: 0000912057-97-005370 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970214 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ROGUE WAVE SOFTWARE INC /OR/ CENTRAL INDEX KEY: 0001023184 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 931064214 STATE OF INCORPORATION: OR FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-49409 FILM NUMBER: 97533804 BUSINESS ADDRESS: STREET 1: 850 SW 35TH ST CITY: CORVALLIS STATE: OR ZIP: 97333 BUSINESS PHONE: 5417543010 MAIL ADDRESS: STREET 1: ROGUE WAVE SOFTWARE INC STREET 2: 850 SW 35TH ST CITY: CORVALLIS STATE: OR ZIP: 97333 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: KEFFER THOMAS CENTRAL INDEX KEY: 0001032691 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] STATE OF INCORPORATION: OR FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 850 SW 35TH STREET CITY: CORVALLIS STATE: OR ZIP: 97333 MAIL ADDRESS: STREET 1: 850 SW 35TH STREET CITY: CORVALLIS STATE: OR ZIP: 97333 SC 13G 1 SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Amendment No. )* ------ UNDER THE SECURITIES EXCHANGE ACT OF 1934 ROGUE WAVE, INC. ---------------------------------- (Name of Issuer) Common Stock ---------------------------------- (Title of Class of Securities) 775369 10 1 ---------------------------------- (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 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). Page 1 of 5 Pages CUSIP No. 775369 10 1 13G Page 2 of 5 Pages ----------- --- --- - ------------------------------------------------------------------------------- (1) Names of Reporting Persons. S.S. or I.R.S. Identification Nos. of Above Persons Thomas Keffer - ------------------------------------------------------------------------------- (2) Check the Appropriate Box if a Member (a) / / of a Group* (b) / / - ------------------------------------------------------------------------------- (3) SEC Use Only - ------------------------------------------------------------------------------- (4) Citizenship or Place of Organization United States - ------------------------------------------------------------------------------- Number of Shares (5) Sole Voting Beneficially Power 1,487,450 Owned by -------------------------------------------------- Each Reporting (6) Shared Voting Person With Power -0- -------------------------------------------------- (7) Sole Dispositive Power 1,487,450 -------------------------------------------------- (8) Shared Dispositive Power -0- - ------------------------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned by Each Reporting Person 1,487,450 - ------------------------------------------------------------------------------- (10) Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares* - ------------------------------------------------------------------------------- (11) Percent of Class Represented by Amount in Row (9) 19.5% - ------------------------------------------------------------------------------- (12) Type of Reporting Person* IN - ------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! Page 2 of 5 Pages *SEE INSTRUCTION BEFORE FILLING OUT! ITEM 1(A). NAME OF ISSUER Rogue Wave, Inc. ("Issuer") - ------------------------------------------------------------------------------- ITEM 1(B). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES 850 S.W. 35th Street, Corvallis, OR 97333 - ------------------------------------------------------------------------------- ITEM 2(A). NAME OF PERSON(S) FILING Thomas Keffer - ------------------------------------------------------------------------------- ITEM 2(B). ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE 850 S.W. 35th Street, Corvallis, OR 97333 - ------------------------------------------------------------------------------- ITEM 2(C). CITIZENSHIP United States - ------------------------------------------------------------------------------- ITEM 2(D). TITLE OF CLASS OF SECURITIES Common Stock - ------------------------------------------------------------------------------- ITEM 2(E). CUSIP NUMBER 775369 10 1 - ------------------------------------------------------------------------------- ITEM 3. NOT APPLICABLE ITEM 4. OWNERSHIP (a) Amount Beneficially Owned: 1,487,450 --------------------------------------------------------------------------- (b) Percent of Class: 15.1% --------------------------------------------------------------------------- (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote 1,487,450 ----------------------------------------------------------------- (ii) shared power to vote or to direct the vote -0- ----------------------------------------------------------------- (iii) sole power to dispose or to direct the disposition of 1,487,450 ----------------------------------------------------------------- (iv) shared power to dispose or to direct the disposition of -0- ----------------------------------------------------------------- ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS Not Applicable. - ------------------------------------------------------------------------------- Page 3 of 5 Pages 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. - ------------------------------------------------------------------------------- Page 4 of 5 Pages 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: February 13, 1997 By /s/ ---------------------------------------- Thomas Keffer Page 5 of 5 Pages -----END PRIVACY-ENHANCED MESSAGE-----