-----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, KCEePRBrCR/wITDRd9MrQQP5kn0u72rdiLFBet6JsypWdQeo9e2e8qKp92AGCKJX mrdACD6kT59gJPvZs4FuVA== 0000927356-99-000157.txt : 19990212 0000927356-99-000157.hdr.sgml : 19990212 ACCESSION NUMBER: 0000927356-99-000157 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19990211 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: DE FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-49409 FILM NUMBER: 99532040 BUSINESS ADDRESS: STREET 1: 5500 FLATIRON PARKWAY CITY: BOULDER STATE: CO ZIP: 80301 BUSINESS PHONE: 3034739118 MAIL ADDRESS: STREET 1: ROGUE WAVE SOFTWARE INC STREET 2: 5500 FLATIRON PARKWAY CITY: BOULDER STATE: CO ZIP: 80301 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/A 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/A 1 AMENDMENT NO. 2 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Amendment No. 2)* Under the Securities Exchange Act of 1934 ROGUE WAVE SOFTWARE, INC. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock - -------------------------------------------------------------------------------- (Title of Class of Securities) 775369 10 1 ------------------------------ (CUSIP Number) 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. Page 1 of 5 pages =============================================================================== CUSIP NO. 775369 10 1 13G PAGE 2 OF 5 PAGES ------------- --- --- - ------------------------------------------------------------------------------ NAMES OF REPORTING PERSONS. 1 I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY). Thomas Keffer - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) 2 (a) [_] (b) [_] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 United States - ------------------------------------------------------------------------------ SOLE VOTING POWER 5 1,317,260 NUMBER OF SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 6 - 0 - OWNED BY ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7 1,317,260 REPORTING PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 8 - 0 - - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 1,317,260 - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES 10 (SEE INSTRUCTIONS) / / - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 12.5% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) 12 IN - ------------------------------------------------------------------------------ Page 2 of 5 pages =============================================================================== Item 1 (a) Name of Issuer Rogue Wave Software, Inc. ("Issuer") (b) Address of Issuer's Principal Executive Offices 5500 Flatiron Parkway Boulder, Colorado 80301 Item 2 (a) Name of Person Filing Thomas Keffer (b) Address of Principal Business Office or, if none, Residence 5500 Flatiron Parkway Boulder, Colorado 80301 (c) Citizenship United States (d) Title of Class of Securities Common Stock (e) CUSIP Number 775369 10 1 Item 3. 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 beneficially owned: 1,317,260 (b) Percent of class: 12.5% (c) Number of shares as to which the person has: (i) Sole power to vote or to direct the vote 1,317,260 (ii) Shared power to vote or to direct the vote -0- (iii) Sole power to dispose or to direct the disposition of 1,317,260 (iv) Shared power to dispose or to direct the disposition of -0- Instruction. For computations regarding securities which represent a right to acquire an underlying security see (S)240.13d-3(d)(1). 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 a 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. February 11, 1999 ---------------------------------- Date /s/ Thomas Keffer ---------------------------------- Signature Thomas Keffer ---------------------------------- Name/Title 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 (S)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) Page 5 of 5 pages -----END PRIVACY-ENHANCED MESSAGE-----