-----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, U+4pPvU1feHqnC2BeQG3Ay93WUhIwcLs7W/B+Vk5IDCmRQFiRqDSL/KjdNTergtM C9nHBZZ+fE8Arx6B7xxCOg== 0001047469-98-006311.txt : 19980218 0001047469-98-006311.hdr.sgml : 19980218 ACCESSION NUMBER: 0001047469-98-006311 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980217 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: DE FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-49409 FILM NUMBER: 98540614 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/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 SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G (Amendment No. 1)* 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) Check the following box if a fee is being paid with this statement / /. (A fee is not required only if the filing person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of five percent or less of such class.) (See Rule 13d-7). * 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 NAME OF REPORTING PERSONS S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS Thomas Keffer - -------------------------------------------------------------------------------- 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 1,342,260 NUMBER OF ----------------------------------------------------------- SHARES 6 SHARED VOTING POWER BENEFICIALLY - 0 - OWNED BY ----------------------------------------------------------- EACH REPORTING 7 SOLE DISPOSITIVE POWER PERSON WITH 1,342,260 ----------------------------------------------------------- 8 SHARED DISPOSITIVE POWER - 0 - - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,342,260 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* / / - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 16.0% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* 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: 850 S.W. 35th Street Corvallis, OR 97333 ITEM 2. (a) Name of Person Filing: Thomas Keffer (b) Address of Principal Business Office: 850 SW 35th Street Corvallis, OR 97333 (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. ----------------------------------------------------- (a) Beneficial Ownership 1,342,260 ----------------------------------------------------- (b) Percentage of Class 16.0% ----------------------------------------------------- (c) Sole Voting Power 1,342,260 ----------------------------------------------------- Shared Voting Power -0- ----------------------------------------------------- Sole Dispositive Power 1,342,260 ----------------------------------------------------- Shared Dispositive Power -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 By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purpose or effect. 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 12, 1998 By /s/ Thomas Keffer -------------------------- Thomas Keffer Page 5 of 5 pages -----END PRIVACY-ENHANCED MESSAGE-----