-----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, MinUwdvZK56pkwU3vY4cvVq32ceOrn1xOCF6wfUE6jiEgr3Ku4L+H8JZXSJys8GZ 1YnXM2LVMFgekcbOw8db6g== 0000928475-07-000307.txt : 20071011 0000928475-07-000307.hdr.sgml : 20071011 20071010182911 ACCESSION NUMBER: 0000928475-07-000307 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20071011 DATE AS OF CHANGE: 20071010 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: BEA SYSTEMS INC CENTRAL INDEX KEY: 0001031798 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 770394711 STATE OF INCORPORATION: DE FISCAL YEAR END: 0131 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-52639 FILM NUMBER: 071166039 BUSINESS ADDRESS: STREET 1: 2315 NORTH FIRST STREET STREET 2: - CITY: SAN JOSE STATE: CA ZIP: 95131 BUSINESS PHONE: 4085708000 MAIL ADDRESS: STREET 1: 2315 NORTH FIRST STREET STREET 2: - CITY: SAN JOSE STATE: CA ZIP: 95131 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: ICAHN CARL C ET AL CENTRAL INDEX KEY: 0000921669 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] IRS NUMBER: 000000000 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: C/O ICAHN CAPITAL MANAGEMENT LP STREET 2: 767 FIFTH AVE., SUITE 4700 CITY: NEW YORK STATE: NY ZIP: 10153 BUSINESS PHONE: 2127024300 MAIL ADDRESS: STREET 1: C/O ICAHN CAPITAL MANAGEMENT LP STREET 2: 767 FIFTH AVE., SUITE 4700 CITY: NEW YORK STATE: NY ZIP: 10153 SC 13D/A 1 sch13damd4101007.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No.4)* BEA Systems, Inc. (Name of Issuer) Common Stock, Par Value $.001 (Title of Class of Securities) 073325102 (CUSIP Number) Keith Schaitkin, Esq. Icahn Capital Management LP 767 Fifth Avenue, 47th Floor New York, New York 10153 (212) 702-4380 (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) October 10, 2007 (Date of Event which Requires Filing of this Statement) If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of Section 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box / /. NOTE: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Rule 13d-7 for other parties to whom copies are to be sent. *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 13D CUSIP No. 073325102 1 NAME OF REPORTING PERSON Carl C. Icahn S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) / / (b) / / 3 SEC USE ONLY 4 SOURCE OF FUNDS* 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) / / 6 CITIZENSHIP OR PLACE OF ORGANIZATION United States of America NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: 7 SOLE VOTING POWER 0 8 SHARED VOTING POWER 51,820,017 9 SOLE DISPOSITIVE POWER 0 10 SHARED DISPOSITIVE POWER 51,820,017 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 51,820,017 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* / / 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 13.22% 14 TYPE OF REPORTING PERSON* IN SCHEDULE 13D CUSIP No. 073325102 1 NAME OF REPORTING PERSON High River Limited Partnership S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) / / (b) / / 3 SEC USE ONLY 4 SOURCE OF FUNDS* WC 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) / / 6 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: 7 SOLE VOTING POWER 10,364,001 8 SHARED VOTING POWER 0 9 SOLE DISPOSITIVE POWER 10,364,001 10 SHARED DISPOSITIVE POWER 0 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 10,364,001 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* / / 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 2.64% 14 TYPE OF REPORTING PERSON* PN SCHEDULE 13D CUSIP No. 073325102 1 NAME OF REPORTING PERSON Hopper Investments LLC S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) / / (b) / / 3 SEC USE ONLY 4 SOURCE OF FUNDS* 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) / / 6 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: 7 SOLE VOTING POWER 0 8 SHARED VOTING POWER 10,364,001 9 SOLE DISPOSITIVE POWER 0 10 SHARED DISPOSITIVE POWER 10,364,001 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 10,364,001 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* / / 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 2.64% 14 TYPE OF REPORTING PERSON* OO SCHEDULE 13D CUSIP No. 073325102 1 NAME OF REPORTING PERSON Barberry Corp. S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) / / (b) / / 3 SEC USE ONLY 4 SOURCE OF FUNDS* 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) / / 6 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: 7 SOLE VOTING POWER 0 8 SHARED VOTING POWER 10,364,001 9 SOLE DISPOSITIVE POWER 0 10 SHARED DISPOSITIVE POWER 10,364,001 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 10,364,001 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* / / 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 2.64% 14 TYPE OF REPORTING PERSON* CO SCHEDULE 13D CUSIP No. 073325102 1 NAME OF REPORTING PERSON Icahn Partners Master Fund LP S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) / / (b) / / 3 SEC USE ONLY 4 SOURCE OF FUNDS* WC 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) / / 6 CITIZENSHIP OR PLACE OF ORGANIZATION Cayman Islands NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: 7 SOLE VOTING POWER 18,049,915 8 SHARED VOTING POWER 0 9 SOLE DISPOSITIVE POWER 18,049,915 10 SHARED DISPOSITIVE POWER 0 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 18,049,915 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* / / 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 4.60% 14 TYPE OF REPORTING PERSON* PN SCHEDULE 13D CUSIP No. 073325102 1 NAME OF REPORTING PERSON Icahn Partners Master Fund II LP S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) / / (b) / / 3 SEC USE ONLY 4 SOURCE OF FUNDS* WC 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) / / 6 CITIZENSHIP OR PLACE OF ORGANIZATION Cayman Islands NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: 7 SOLE VOTING POWER 5,926,430 8 SHARED VOTING POWER 0 9 SOLE DISPOSITIVE POWER 5,926,430 10 SHARED DISPOSITIVE POWER 0 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 5,926,430 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* / / 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 1.51% 14 TYPE OF REPORTING PERSON* PN SCHEDULE 13D CUSIP No. 073325102 1 NAME OF REPORTING PERSON Icahn Partners Master Fund III LP S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) / / (b) / / 3 SEC USE ONLY 4 SOURCE OF FUNDS* WC 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) / / 6 CITIZENSHIP OR PLACE OF ORGANIZATION Cayman Islands NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: 7 SOLE VOTING POWER 2,243,223 8 SHARED VOTING POWER 0 9 SOLE DISPOSITIVE POWER 2,243,223 10 SHARED DISPOSITIVE POWER 0 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,243,223 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* / / 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 0.57% 14 TYPE OF REPORTING PERSON* PN SCHEDULE 13D CUSIP No. 073325102 1 NAME OF REPORTING PERSON Icahn Offshore LP S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) / / (b) / / 3 SEC USE ONLY 4 SOURCE OF FUNDS* 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) / / 6 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: 7 SOLE VOTING POWER 0 8 SHARED VOTING POWER 26,219,568 9 SOLE DISPOSITIVE POWER 0 10 SHARED DISPOSITIVE POWER 26,219,568 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 26,219,568 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* / / 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 6.69% 14 TYPE OF REPORTING PERSON* PN SCHEDULE 13D CUSIP No. 073325102 1 NAME OF REPORTING PERSON Icahn Partners LP S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) / / (b) / / 3 SEC USE ONLY 4 SOURCE OF FUNDS* WC 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) / / 6 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: 7 SOLE VOTING POWER 15,236,448 8 SHARED VOTING POWER 0 9 SOLE DISPOSITIVE POWER 15,236,448 10 SHARED DISPOSITIVE POWER 0 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 15,236,448 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* / / 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 3.89% 14 TYPE OF REPORTING PERSON* PN SCHEDULE 13D CUSIP No. 073325102 1 NAME OF REPORTING PERSON Icahn Onshore LP S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) / / (b) / / 3 SEC USE ONLY 4 SOURCE OF FUNDS* 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) / / 6 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: 7 SOLE VOTING POWER 0 8 SHARED VOTING POWER 15,236,448 9 SOLE DISPOSITIVE POWER 0 10 SHARED DISPOSITIVE POWER 15,236,448 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 15,236,448 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* / / 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 3.89% 14 TYPE OF REPORTING PERSON* PN SCHEDULE 13D CUSIP No. 073325102 1 NAME OF REPORTING PERSON Icahn Partners Holding LP S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) / / (b) / / 3 SEC USE ONLY 4 SOURCE OF FUNDS* 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) / / 6 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: 7 SOLE VOTING POWER 0 8 SHARED VOTING POWER 41,456,016 9 SOLE DISPOSITIVE POWER 0 10 SHARED DISPOSITIVE POWER 41,456,016 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 41,456,016 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* / / 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 10.58% 14 TYPE OF REPORTING PERSON* PN SCHEDULE 13D CUSIP No. 073325102 1 NAME OF REPORTING PERSON IPH GP LLC S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) / / (b) / / 3 SEC USE ONLY 4 SOURCE OF FUNDS* 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) / / 6 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: 7 SOLE VOTING POWER 0 8 SHARED VOTING POWER 41,456,016 9 SOLE DISPOSITIVE POWER 0 10 SHARED DISPOSITIVE POWER 41,456,016 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 41,456,016 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* / / 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 10.58% 14 TYPE OF REPORTING PERSON* OO SCHEDULE 13D CUSIP No. 073325102 1 NAME OF REPORTING PERSON Icahn Enterprises Holdings L.P. S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) / / (b) / / 3 SEC USE ONLY 4 SOURCE OF FUNDS* 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) / / 6 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: 7 SOLE VOTING POWER 0 8 SHARED VOTING POWER 41,456,016 9 SOLE DISPOSITIVE POWER 0 10 SHARED DISPOSITIVE POWER 41,456,016 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 41,456,016 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* / / 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 10.58% 14 TYPE OF REPORTING PERSON* PN SCHEDULE 13D CUSIP No. 073325102 1 NAME OF REPORTING PERSON Icahn Enterprises G.P. Inc. S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) / / (b) / / 3 SEC USE ONLY 4 SOURCE OF FUNDS* 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) / / 6 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: 7 SOLE VOTING POWER 0 8 SHARED VOTING POWER 41,456,016 9 SOLE DISPOSITIVE POWER 0 10 SHARED DISPOSITIVE POWER 41,456,016 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 41,456,016 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* / / 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 10.58% 14 TYPE OF REPORTING PERSON* CO SCHEDULE 13D CUSIP No. 073325102 1 NAME OF REPORTING PERSON Beckton Corp. S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) / / (b) / / 3 SEC USE ONLY 4 SOURCE OF FUNDS* 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) / / 6 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: 7 SOLE VOTING POWER 0 8 SHARED VOTING POWER 41,456,016 9 SOLE DISPOSITIVE POWER 0 10 SHARED DISPOSITIVE POWER 41,456,016 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 41,456,016 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* / / 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 10.58% 14 TYPE OF REPORTING PERSON* CO SCHEDULE 13D Item 1. Security and Issuer The Schedule 13D filed with the Securities and Exchange Commission on September 14, 2007 by the Reporting Persons (the "Initial 13D"), as amended by the Amendment No. 1 to the Initial 13D, filed on September 20, 2007, Amendment No. 2 to the Initial 13D, filed on October 2, 2007 and Amendment No. 3 to the Initial 13D, filed on October 3, 2007 (collectively, the "Amendments", and together with the Initial 13D, the "Schedule 13D"), with respect to the shares of Common Stock, par value $.001 (the "Shares"), issued by BEA Systems, Inc. (the "Issuer"), is hereby amended to furnish the additional information set forth herein. All capitalized terms contained herein but not otherwise defined shall have the meanings ascribed to such terms in the Schedule 13D. Item 3. Source and Amount of Funds or Other Consideration Item 3 of the Schedule 13D is hereby amended and restated in its entirety as follows: The aggregate purchase price of the 51,820,017 Shares (including the purchase and exercise (on October 10, 2007) of 34,547,147 options to purchase Shares) purchased by High River, Icahn Master, Icahn Master II, Icahn Master III and Icahn Partners, collectively, was $ 663,819,910 (including commissions and premiums for the options to purchase Shares). The source of funding for the purchase of these Shares was the general working capital of the respective purchasers. The Shares are held by the Reporting Persons in margin accounts. Such margin accounts may from time to time have debit balances. Since other securities are held in such margin accounts, it is not possible to determine the amounts, if any, of margin used with respect to the purchase of the Shares. Item 5. Interest in Securities of the Issuer Item 5 of the Initial 13D is hereby amended and restated in its entirety as follows: (a) The Reporting Persons may be deemed to beneficially own, in the aggregate, 51,820,017 Shares, representing approximately 13.22% of the Issuer's outstanding Shares (based upon the 392,002,200 Shares stated to be outstanding as of May 31, 2006 by the Issuer in the Issuer's Quarterly Report on Form 10-Q, filed with the Securities and Exchange Commission on June 9, 2006, which appears to the Issuer's most recent statement as to number of outstanding shares). (b) High River has sole voting power and sole dispositive power with regard to 10,364,001 Shares. Each of Hopper, Barberry and Carl C. Icahn has shared voting power and shared dispositive power with regard to such Shares. Icahn Master has sole voting power and sole dispositive power with regard to 18,049,915 Shares. Each of Icahn Offshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Carl C. Icahn has shared voting power and shared dispositive power with regard to such Shares. Icahn Master II has sole voting power and sole dispositive power with regard to 5,926,430 Shares. Each of Icahn Offshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Carl C. Icahn has shared voting power and shared dispositive power with regard to such Shares. Icahn Master III has sole voting power and sole dispositive power with regard to 2,243,223 Shares. Each of Icahn Offshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Carl C. Icahn has shared voting power and shared dispositive power with regard to such Shares. Icahn Partners has sole voting power and sole dispositive power with regard to 10,364,001 Shares. Each of Icahn Onshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Carl C. Icahn has shared voting power and shared dispositive power with regard to such Shares. Each of Hopper, Barberry and Mr. Icahn, by virtue of their relationships to High River (as disclosed in Item 2), are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which High River directly beneficially owns. Each of Hopper, Barberry and Mr. Icahn disclaims beneficial ownership of such Shares for all other purposes. Each of Icahn Offshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Master (as disclosed in Item 2), are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Master directly beneficially owns. Each of Icahn Offshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Shares for all other purposes. Each of Icahn Offshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Master II (as disclosed in Item 2), are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Master II directly beneficially owns. Each of Icahn Offshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Shares for all other purposes. Each of Icahn Offshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Master III (as disclosed in Item 2), are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Master III directly beneficially owns. Each of Icahn Offshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Shares for all other purposes. Each of Icahn Onshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn, by virtue of their relationships to Icahn Partners (as disclosed in Item 2), are deemed to beneficially own (as that term is defined in Rule 13d-3 under the Act) the Shares which Icahn Partners directly beneficially owns. Each of Icahn Onshore, Icahn Partners Holding, IPH, Icahn Enterprises, Icahn Enterprises GP, Beckton and Mr. Icahn disclaims beneficial ownership of such Shares for all other purposes. (c) The following table sets forth all transactions with respect to Shares effected during the past sixty (60) days by any of the Reporting Persons, inclusive of any transactions effected through 5:00 p.m., Eastern Standard Time, on October 10, 2007. On October 10, 2007, High River acquired 6,454,004 Shares, Icahn Partners acquired 10,209,164 Shares, Icahn Master acquired 13,029,292 Shares, Icahn Master II acquired 3,521,479 Shares and Icahn Master III acquired 1,333,208 Shares, in each case, upon the exercise of all of the call options listed in the following table. Except as otherwise indicated, all transactions were effected in the open market, and the table includes commissions paid in per share prices.
NAME DATE SHARES PURCHASED PRICE PER SHARE/ (SOLD) EXERCISE PRICE - -------------------------------------------------------------------------------- HIGH RIVER - -------------------------------------------------------------------------------- High River September 4, 2007 117,262 (1) 7.50 (2) - ----------------- -------------------- ---------------- ------------------------ High River September 5, 2007 441,870 (1) 7.50 (2) - ----------------- -------------------- ---------------- ------------------------ High River September 6, 2007 263,806 (1) 7.50 (2) - ----------------- -------------------- ---------------- ------------------------ High River September 7, 2007 216,400 (1) 7.50 (2) - ----------------- -------------------- ---------------- ------------------------ High River September 10, 2007 500,000 (1) 7.50 (2) - ----------------- -------------------- ---------------- ------------------------ High River September 11, 2007 255,876 (1) 7.50 (2) - ----------------- -------------------- ---------------- ------------------------ High River September 12, 2007 600,000 (1) 7.50 (2) - ----------------- -------------------- ---------------- ------------------------ High River September 13, 2007 380,000 (1) 7.50 (2) - ----------------- -------------------- ---------------- ------------------------ High River September 14, 2007 378,790 (1) 7.50 (2) - ----------------- -------------------- ---------------- ------------------------ High River September 19, 2007 400,000 (1) 7.50 (2) - ----------------- -------------------- ---------------- ------------------------ High River September 20, 2007 280,000 (1) 7.50 (2) - ----------------- -------------------- ---------------- ------------------------ High River September 28, 2007 320,000 (1) 7.50 (2) - ----------------- -------------------- ---------------- ------------------------ High River October 1, 2007 300,000 (1) 7.50 (2) - ----------------- -------------------- ---------------- ------------------------ High River October 2, 2007 300,000 (1) 7.50 (2) - ----------------- -------------------- ---------------- ------------------------ High River October 3, 2007 1,700,000 (3) 9.00 (4) - -------------------------------------------------------------------------------- ICAHN PARTNERS - -------------------------------------------------------------------------------- Icahn Partners September 4, 2007 469,050 (1) 7.50 (2) - ----------------- -------------------- ---------------- ------------------------ Icahn Partners September 5, 2007 753,383 (1) 7.50 (2) - ----------------- -------------------- ---------------- ------------------------ Icahn Partners September 6, 2007 361,160 (1) 7.50 (2) - ----------------- -------------------- ---------------- ------------------------ Icahn Partners September 7, 2007 296,955 (1) 7.50 (2) - ----------------- -------------------- ---------------- ------------------------ Icahn Partners September 10, 2007 686,123 (1) 7.50 (2) - ----------------- -------------------- ---------------- ------------------------ Icahn Partners September 11, 2007 351,125 (1) 7.50 (2) - ----------------- -------------------- ---------------- ------------------------ Icahn Partners September 12, 2007 823,348 (1) 7.50 (2) - ----------------- -------------------- ---------------- ------------------------ Icahn Partners September 13, 2007 522,295 (1) 7.50 (2) - ----------------- -------------------- ---------------- ------------------------ Icahn Partners September 14, 2007 519,832 (1) 7.50 (2) - ----------------- -------------------- ---------------- ------------------------ Icahn Partners September 19, 2007 548,941 (1) 7.50 (2) - ----------------- -------------------- ---------------- ------------------------ Icahn Partners September 20, 2007 384,259 (1) 7.50 (2) - ----------------- -------------------- ---------------- ------------------------ Icahn Partners September 28, 2007 439,152 (1) 7.50 (2) - ----------------- -------------------- ---------------- ------------------------ Icahn Partners October 1, 2007 1,151,666 (1) 7.50 (2) - ----------------- -------------------- ---------------- ------------------------ Icahn Partners October 2, 2007 438,699 (1) 7.50 (2) - ----------------- -------------------- ---------------- ------------------------ Icahn Partners October 3, 2007 2,463,176 (3) 9.00 (2) - -------------------------------------------------------------------------------- ICAHN MASTER - -------------------------------------------------------------------------------- Icahn Master September 5, 2007 695,651 (1) 7.50 (2) - ----------------- -------------------- ---------------- ------------------------ Icahn Master September 6, 2007 476,658 (1) 7.50 (2) - ----------------- -------------------- ---------------- ------------------------ Icahn Master September 7, 2007 390,920 (1) 7.50 (2) - ----------------- -------------------- ---------------- ------------------------ Icahn Master September 10, 2007 903,237 (1) 7.50 (2) - ----------------- -------------------- ---------------- ------------------------ Icahn Master September 11, 2007 462,234 (1) 7.50 (2) - ----------------- -------------------- ---------------- ------------------------ Icahn Master September 12, 2007 1,083,882 (1) 7.50 (2) - ----------------- -------------------- ---------------- ------------------------ Icahn Master September 13, 2007 684,215 (1) 7.50 (2) - ----------------- -------------------- ---------------- ------------------------ Icahn Master September 14, 2007 684,169 (1) 7.50 (2) - ----------------- -------------------- ---------------- ------------------------ Icahn Master September 19, 2007 722,476 (1) 7.50 (2) - ----------------- -------------------- ---------------- ------------------------ Icahn Master September 20, 2007 505,735 (1) 7.50 (2) - ----------------- -------------------- ---------------- ------------------------ Icahn Master September 28, 2007 577,982 (1) 7.50 (2) - ----------------- -------------------- ---------------- ------------------------ Icahn Master October 1, 2007 48,334 (1) 7.50 (2) - ----------------- -------------------- ---------------- ------------------------ Icahn Master October 2, 2007 531,643 (1) 7.50 (2) - ----------------- -------------------- ---------------- ------------------------ Icahn Master October 3, 2007 2,985,026 (3) 9.00 (2) - -------------------------------------------------------------------------------- ICAHN MASTER II - -------------------------------------------------------------------------------- Icahn Master II September 5, 2007 231,095 (1) 7.50 (2) - ----------------- -------------------- ---------------- ------------------------ Icahn Master II September 6, 2007 157,937 (1) 7.50 (2) - ----------------- -------------------- ---------------- ------------------------ Icahn Master II September 7, 2007 128,941 (1) 7.50 (2) - ----------------- -------------------- ---------------- ------------------------ Icahn Master II September 10, 2007 297,923 (1) 7.50 (2) - ----------------- -------------------- ---------------- ------------------------ Icahn Master II September 11, 2007 152,462 (1) 7.50 (2) - ----------------- -------------------- ---------------- ------------------------ Icahn Master II September 12, 2007 357,508 (1) 7.50 (2) - ----------------- -------------------- ---------------- ------------------------ Icahn Master II September 13, 2007 227,843 (1) 7.50 (2) - ----------------- -------------------- ---------------- ------------------------ Icahn Master II September 14, 2007 225,767 (1) 7.50 (2) - ----------------- -------------------- ---------------- ------------------------ Icahn Master II September 19, 2007 238,409 (1) 7.50 (2) - ----------------- -------------------- ---------------- ------------------------ Icahn Master II September 20, 2007 166,886 (1) 7.50 (2) - ----------------- -------------------- ---------------- ------------------------ Icahn Master II September 28, 2007 190,727 (1) 7.50 (2) - ----------------- -------------------- ---------------- ------------------------ Icahn Master II October 2, 2007 165,373 (1) 7.50 (2) - ----------------- -------------------- ---------------- ------------------------ Icahn Master II October 3, 2007 980,608 (3) 9.00 (2) - -------------------------------------------------------------------------------- ICAHN MASTER III - -------------------------------------------------------------------------------- Icahn Master III September 5, 2007 87,349 (1) 7.50 (2) - ----------------- -------------------- ---------------- ------------------------ Icahn Master III September 6, 2007 59,468 (1) 7.50 (2) - ----------------- -------------------- ---------------- ------------------------ Icahn Master III September 7, 2007 48,784 (1) 7.50 (2) - ----------------- -------------------- ---------------- ------------------------ Icahn Master III September 10, 2007 112,717 (1) 7.50 (2) - ----------------- -------------------- ---------------- ------------------------ Icahn Master III September 11, 2007 57,683 (1) 7.50 (2) - ----------------- -------------------- ---------------- ------------------------ Icahn Master III September 12, 2007 135,262 (1) 7.50 (2) - ----------------- -------------------- ---------------- ------------------------ Icahn Master III September 13, 2007 85,647 (1) 7.50 (2) - ----------------- -------------------- ---------------- ------------------------ Icahn Master III September 14, 2007 85,390 (1) 7.50 (2) - ----------------- -------------------- ---------------- ------------------------ Icahn Master III September 19, 2007 90,174 (1) 7.50 (2) - ----------------- -------------------- ---------------- ------------------------ Icahn Master III September 20, 2007 63,120 (1) 7.50 (2) - ----------------- -------------------- ---------------- ------------------------ Icahn Master III September 28, 2007 72,139 (1) 7.50 (2) - ----------------- -------------------- ---------------- ------------------------ Icahn Master III October 2, 2007 62,285 (1) 7.50 (2) - ----------------- -------------------- ---------------- ------------------------ Icahn Master III October 3, 2007 371,190 (3) 9.00 (2) - --------------------------------------------------------------------------------
- --------------------------- (1) Shares underlying American-style call options purchased by the applicable Reporting Person, which expire on December 10, 2009. (2) Per share exercise price of call options purchased by the Reporting Persons. Exercise price will be adjusted to account for any dividends or other distributions declared by the Issuer prior to exercise of the options. The premium for such call options was approximately 35% of the market price. (3) Shares underlying American-style call options purchased by the applicable Reporting Person, which expire on November 3, 2009. Item 6. Contracts, Arrangements, Understandings or Relationship with Respect to Securities of the Issuer Item 6 of the Initial 13D is hereby amended and restated in its entirety as follows: Total Return Swaps The Reporting Persons have entered into a number of derivative agreements, commonly known as Total Return Swaps, with counterparties, which agreements provide that the profit to the Reporting Persons shall be based upon the increase in value of the Shares and the loss to the Reporting Persons shall be based upon the decrease in the value of the Shares, during the period from inception of the applicable agreement to its termination. The agreements provide that they settle in cash. In addition to the Shares which they beneficially own as shown in Item 5 above, the Reporting Persons currently have long economic exposure to an aggregate of 6,757,939 Shares through such agreements. These agreements do not give the Reporting Persons direct or indirect voting, investment or dispositive control over the Shares to which these agreements relate and, accordingly, the Reporting Persons disclaim any beneficial ownership in the Shares to which these agreements relate. Except as otherwise described herein, there are no contracts, arrangements, understandings or relationships (legal or otherwise) among the persons named in Item 2 and between such persons and any person with respect to any securities of the Issuer, including but not limited to transfer or voting of any of the securities, finder's fees, joint ventures, loan or option arrangements, puts or calls, guarantees of profits, division of profits or loss, or the giving or withholding of proxies. SIGNATURE After reasonable inquiry and to the best of each of the undersigned knowledge and belief, each of the undersigned certifies that the information set forth in this statement is true, complete and correct. Dated: October 10, 2007 HIGH RIVER LIMITED PARTNERSHIP By: Hopper Investments LLC, general partner By: Barberry Corp., sole member By: /s/ Edward E. Mattner --------------------- Name: Edward E. Mattner Title: Authorized Signatory HOPPER INVESTMENTS LLC By: Barberry Corp., sole member By: /s/ Edward E. Mattner --------------------- Name: Edward E. Mattner Title: Authorized Signatory BARBERRY CORP. By: /s/ Edward E. Mattner --------------------- Name: Edward E. Mattner Title: Authorized Signatory ICAHN PARTNERS MASTER FUND LP By: /s/ Edward E. Mattner --------------------- Name: Edward E. Mattner Title: Authorized Signatory ICAHN PARTNERS MASTER FUND II LP By: /s/ Edward E. Mattner --------------------- Name: Edward E. Mattner Title: Authorized Signatory ICAHN PARTNERS MASTER FUND III LP By: /s/ Edward E. Mattner --------------------- Name: Edward E. Mattner Title: Authorized Signatory ICAHN OFFSHORE LP By: /s/ Edward E. Mattner --------------------- Name: Edward E. Mattner Title: Authorized Signatory ICAHN PARTNERS LP By: /s/ Edward E. Mattner --------------------- Name: Edward E. Mattner Title: Authorized Signatory ICAHN ONSHORE LP By: /s/ Edward E. Mattner --------------------- Name: Edward E. Mattner Title: Authorized Signatory ICAHN PARTNERS HOLDING LP By: IPH GP LLC, general partner By: Icahn Enterprises Holdings L.P., general partner By: Icahn Enterprises G.P. Inc., general partner By: /s/ Andrew Skobe ---------------- Name: Andrew Skobe Title: Interim Chief Financial Officer IPH GP LLC By: Icahn Enterprises Holdings L.P., general partner By: Icahn Enterprises G.P. Inc., general partner By: /s/ Andrew Skobe ---------------- Name: Andrew Skobe Title: Interim Chief Financial Officer ICAHN ENTERPRISES HOLDINGS L.P. By: Icahn Enterprises G.P. Inc., general partner By: /s/ Andrew Skobe ---------------- Name: Andrew Skobe Title: Interim Chief Financial Officer ICAHN ENTERPRISES G.P. INC. By: /s/ Andrew Skobe ---------------- Name: Andrew Skobe Title: Interim Chief Financial Officer BECKTON CORP. By: /s/ Edward E. Mattner --------------------- Name: Edward E. Mattner Title: Authorized Signatory /s/ Carl C. Icahn - ----------------- CARL C. ICAHN [Signature Page of Schedule 13D Amend. No. 4 - BEA Systems, Inc.] -----END PRIVACY-ENHANCED MESSAGE-----