-----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, UOowIoEHPnOuBwHGk2boYw+X9tdu0BTUdZzYn1hc8OwLoZ+aeP8TBR2KyQx7B6Ww tP54YJcplB/7Qq7BJRM0bQ== 0000950131-02-000513.txt : 20020414 0000950131-02-000513.hdr.sgml : 20020414 ACCESSION NUMBER: 0000950131-02-000513 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20020214 GROUP MEMBERS: ARAGON INVESTMENTS, LTD. GROUP MEMBERS: CITADEL INVESTMENT GROUP, L.L.C. GROUP MEMBERS: CITADEL TRADING GROUP, L.L.C. GROUP MEMBERS: FISHER CAPITAL LTD. GROUP MEMBERS: GLB PARTNERS, L.P. GROUP MEMBERS: KENNETH GRIFFIN GROUP MEMBERS: KENSINGTON GLOBAL STRATEGIES FUND, LTD. GROUP MEMBERS: WELLINGTON PARTNERS LIMITED PARTNERSHIP GROUP MEMBERS: WINGATE CAPITAL LTD. SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: MICROSTRATEGY INC CENTRAL INDEX KEY: 0001050446 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 510323571 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-54429 FILM NUMBER: 02543768 BUSINESS ADDRESS: STREET 1: 1861 INTERNATIONAL DR CITY: MCLEAN STATE: VA ZIP: 22102 BUSINESS PHONE: 7038488600 MAIL ADDRESS: STREET 1: 1861 INTERNATIONAL DR CITY: MCLEAN STATE: VA ZIP: 22102 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: CITADEL LIMITED PARTNERSHIP CENTRAL INDEX KEY: 0000931939 IRS NUMBER: 363754834 STATE OF INCORPORATION: IL FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 225 WEST WASHINGTON ST STREET 2: 9TH FL CITY: CHICAGO STATE: IL ZIP: 60606 BUSINESS PHONE: 3126962100 MAIL ADDRESS: STREET 1: 225 W WASHINGTON ST STREET 2: STE 900 CITY: CHICAGO STATE: IL ZIP: 60606 FORMER COMPANY: FORMER CONFORMED NAME: CITADEL INVESTMENT MANAGEMENT LP /ADV DATE OF NAME CHANGE: 19960524 SC 13G/A 1 dsc13ga.txt AMENDMENT 2 TO SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) Information Statement Pursuant to Rules 13d-1 and 13d-2 Under the Securities Exchange Act of 1934 (Amendment No. 2)* MicroStrategy Incorporated --------------------------- (Name of Issuer) Common Stock - Class A ------------------------------ (Title of Class of Securities) 594972101 ----------------- (CUSIP Number) December 31, 2001 ------------------ Date of Event Which Requires Filing of the Statement Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [ ] Rule 13d-1(b) [ X ] Rule 13d-1(c) [ ] 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 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). Page 1 of 19 - --------------------- -------------------- CUSIP NO. 594972101 13G Page 2 of 19 Pages - --------------------- -------------------- - -------------------------------------------------------------------------------- NAME OF REPORTING PERSON 1 S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Name Citadel Limited Partnership - -------------------------------------------------------------------------------- CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [X] (b) [_] - -------------------------------------------------------------------------------- SEC USE ONLY 3 - -------------------------------------------------------------------------------- CITIZENSHIP OR PLACE OF ORGANIZATION 4 Illinois limited partnership U.S.A. - -------------------------------------------------------------------------------- SOLE VOTING POWER 5 NUMBER OF 0 SHARES ------------------------------------------------------------- BENEFICIALLY SHARED VOTING POWER OWNED BY 6 EACH 1,192,260 shares of Class A Common Stock REPORTING 1,590 shares of Series B Convertible Preferred Stock PERSON (convertible into 567,001 shares of Class A Common WITH Stock)/1//2/ 1,590 shares of Series C Convertible Preferred Stock (convertible into 0 shares of Class A Common Stock)/1//2/ 1,451.1 shares of Series D Convertible Preferred Stock (convertible into 2,902,200 shares of Class A Common Stock)/1//2/ ------------------------------------------------------------- SOLE DISPOSITIVE POWER 7 0 ------------------------------------------------------------- SHARED DISPOSITIVE POWER 8 See Row 6 above. - -------------------------------------------------------------------------------- AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 See Row 6 above. - -------------------------------------------------------------------------------- CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*/2/ 10 [X] - -------------------------------------------------------------------------------- PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 Approximately 9.99% as of December 31, 2001./2/ (Based on 43,192,074 shares of Class A Common Stock issued and outstanding as of November 1, 2001, plus the shares of Class A Common Stock issuable upon the conversion of the Series B, Series C and Series D Convertible Preferred Stock referred to in Row 6 above.) - -------------------------------------------------------------------------------- TYPE OF REPORTING PERSON* 12 PN; HC - -------------------------------------------------------------------------------- /1/ The Series B Convertible Preferred Stock and Series C Convertible Preferred Stock also accrue dividends at a rate of 12.5% per annum, payable in cash or Class A Common Stock, at the discretion of the Issuer, on the first day of each calendar quarter. See Footnote 3 in Item 4. /2/ Pursuant to the terms of the Series B Convertible Preferred Stock, Series C Convertible Preferred Stock, and Series D Convertible Preferred Stock, the Reporting Person can not be the "beneficial owner" of more than 9.99% of the Class A Common Stock within the meaning of Rule 13d-1 of the Securities Exchange Act of 1934. Page 2 of 19 - --------------------- -------------------- CUSIP NO. 594972101 13G Page 3 of 19 Pages - --------------------- -------------------- - ------------------------------------------------------------------------------ NAME OF REPORTING PERSON 1 S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Name GLB Partners, L.P. - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [X] (b) [_] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 Delaware limited partnership U.S.A. - ------------------------------------------------------------------------------ SOLE VOTING POWER 5 NUMBER OF 0 SHARES ----------------------------------------------------------- BENEFICIALLY SHARED VOTING POWER OWNED BY 6 EACH 1,192,260 shares of Class A Common Stock REPORTING 1,590 shares of Series B Convertible Preferred Stock PERSON (convertible into 567,001 shares of Class A Common WITH Stock)/1//2/ 1,590 shares of Series C Convertible Preferred Stock (convertible into 0 shares of Class A Common Stock)/1//2/ 1,451.1 shares of Series D Convertible Preferred Stock (convertible into 2,902,200 shares of Class A Common Stock)/1//2/ ----------------------------------------------------------- SOLE DISPOSITIVE POWER 7 0 ----------------------------------------------------------- SHARED DISPOSITIVE POWER 8 See Row 6 above. - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 See Row 6 above. - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*/2/ 10 [X] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 Approximately 9.99% as of December 31, 2001./2/ (Based on 43,192,074 shares of Class A Common Stock issued and outstanding as of November 1, 2001, plus the shares of Class A Common Stock issuable upon the conversion of the Series B, Series C and Series D Convertible Preferred Stock referred to in Row 6 above.) - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* 12 PN; HC - ------------------------------------------------------------------------------ /1/ The Series B Convertible Preferred Stock and Series C Convertible Preferred Stock also accrue dividends at a rate of 12.5% per annum, payable in cash or Class A Common Stock, at the discretion of the Issuer, on the first day of each calendar quarter. See Footnote 3 in Item 4. /2/ Pursuant to the terms of the Series B Convertible Preferred Stock, Series C Convertible Preferred Stock, and Series D Convertible Preferred Stock, the Reporting Person can not be the "beneficial owner" of more than 9.99% of the Class A Common Stock within the meaning of Rule 13d-1 of the Securities Exchange Act of 1934. Page 3 of 19 - --------------------- -------------------- CUSIP NO. 594972101 13G Page 4 of 19 Pages - --------------------- -------------------- - ------------------------------------------------------------------------------ NAME OF REPORTING PERSON 1 S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Name Citadel Investment Group, L.L.C. - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [X] (b) [_] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 Delaware limited liability company U.S.A. - ------------------------------------------------------------------------------ SOLE VOTING POWER 5 NUMBER OF 0 SHARES ----------------------------------------------------------- BENEFICIALLY SHARED VOTING POWER OWNED BY 6 EACH 1,192,260 shares of Class A Common Stock REPORTING 1,590 shares of Series B Convertible Preferred Stock PERSON (convertible into 567,001 shares of Class A Common WITH Stock)/1//2/ 1,590 shares of Series C Convertible Preferred Stock (convertible into 0 shares of Class A Common Stock)/1//2/ 1,451.1 shares of Series D Convertible Preferred Stock (convertible into 2,902,200 shares of Class A Common Stock)/1//2/ ----------------------------------------------------------- SOLE DISPOSITIVE POWER 7 0 ----------------------------------------------------------- SHARED DISPOSITIVE POWER 8 See Row 6 above. - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 See Row 6 above. - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*/2/ 10 [X] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 Approximately 9.99% as of December 31, 2001./2/ (Based on 43,192,074 shares of Class A Common Stock issued and outstanding as of November 1, 2001, plus the shares of Class A Common Stock issuable upon the conversion of the Series B, Series C and Series D Convertible Preferred Stock referred to in Row 6 above.) - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* 12 OO; HC - ------------------------------------------------------------------------------ /1/ The Series B Convertible Preferred Stock and Series C Convertible Preferred Stock also accrue dividends at a rate of 12.5% per annum, payable in cash or Class A Common Stock, at the discretion of the Issuer, on the first day of each calendar quarter. See Footnote 3 in Item 4. /2/ Pursuant to the terms of the Series B Convertible Preferred Stock, Series C Convertible Preferred Stock, and Series D Convertible Preferred Stock, the Reporting Person can not be the "beneficial owner" of more than 9.99% of the Class A Common Stock within the meaning of Rule 13d-1 of the Securities Exchange Act of 1934. Page 4 of 19 - --------------------- -------------------- CUSIP NO. 594972101 13G Page 5 of 19 Pages - --------------------- -------------------- - ------------------------------------------------------------------------------ NAME OF REPORTING PERSON 1 S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Name Kenneth Griffin - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [X] (b) [_] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 U.S. Citizen U.S.A. - ------------------------------------------------------------------------------ SOLE VOTING POWER 5 NUMBER OF 0 SHARES ----------------------------------------------------------- BENEFICIALLY SHARED VOTING POWER OWNED BY 6 EACH 1,192,260 shares of Class A Common Stock REPORTING 1,590 shares of Series B Convertible Preferred Stock PERSON (convertible into 567,001 shares of Class A Common WITH Stock)/1//2/ 1,590 shares of Series C Convertible Preferred Stock (convertible into 0 shares of Class A Common Stock)/1//2/ 1,451.1 shares of Series D Convertible Preferred Stock (convertible into 2,902,200 shares of Class A Common Stock)/1//2/ ----------------------------------------------------------- SOLE DISPOSITIVE POWER 7 0 ----------------------------------------------------------- SHARED DISPOSITIVE POWER 8 See Row 6 above. - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 See Row 6 above. - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*/2/ 10 [X] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 Approximately 9.99% as of December 31, 2001./2/ (Based on 43,192,074 shares of Class A Common Stock issued and outstanding as of November 1, 2001, plus the shares of Class A Common Stock issuable upon the conversion of the Series B, Series C and Series D Convertible Preferred Stock referred to in Row 6 above.) - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* 12 IN - ------------------------------------------------------------------------------ /1/ The Series B Convertible Preferred Stock and Series C Convertible Preferred Stock also accrue dividends at a rate of 12.5% per annum, payable in cash or Class A Common Stock, at the discretion of the Issuer, on the first day of each calendar quarter. See Footnote 3 in Item 4. /2/ Pursuant to the terms of the Series B Convertible Preferred Stock, Series C Convertible Preferred Stock, and Series D Convertible Preferred Stock, the Reporting Person can not be the "beneficial owner" of more than 9.99% of the Class A Common Stock within the meaning of Rule 13d-1 of the Securities Exchange Act of 1934. Page 5 of 19 - --------------------- -------------------- CUSIP NO. 594972101 13G Page 6 of 19 Pages - --------------------- -------------------- - -------------------------------------------------------------------------------- NAME OF REPORTING PERSON 1 S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Name Wellington Partners Limited Partnership - -------------------------------------------------------------------------------- CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [X] (b) [_] - -------------------------------------------------------------------------------- SEC USE ONLY 3 - -------------------------------------------------------------------------------- CITIZENSHIP OR PLACE OF ORGANIZATION 4 Illinois limited partnership U.S.A. - -------------------------------------------------------------------------------- SOLE VOTING POWER 5 NUMBER OF 0 SHARES ------------------------------------------------------------- BENEFICIALLY SHARED VOTING POWER OWNED BY 6 EACH 1,192,260 shares of Class A Common Stock REPORTING 1,590 shares of Series B Convertible Preferred Stock PERSON (convertible into 567,001 shares of Class A Common WITH Stock)/1//2/ 1,590 shares of Series C Convertible Preferred Stock (convertible into 0 shares of Class A Common Stock)/1//2/ 1,451.1 shares of Series D Convertible Preferred Stock (convertible into 2,902,200 shares of Class A Common Stock)/1//2/ ------------------------------------------------------------- SOLE DISPOSITIVE POWER 7 0 ------------------------------------------------------------- SHARED DISPOSITIVE POWER 8 See Row 6 above. - -------------------------------------------------------------------------------- AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 See Row 6 above. - -------------------------------------------------------------------------------- CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*/2/ 10 [X] - -------------------------------------------------------------------------------- PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 Approximately 9.99% as of December 31, 2001./2/ (Based on 43,192,074 shares of Class A Common Stock issued and outstanding as of November 1, 2001, plus the shares of Class A Common Stock issuable upon the conversion of the Series B, Series C and Series D Convertible Preferred Stock referred to in Row 6 above.) - -------------------------------------------------------------------------------- TYPE OF REPORTING PERSON* 12 PN; HC - -------------------------------------------------------------------------------- /1/ The Series B Convertible Preferred Stock and Series C Convertible Preferred Stock also accrue dividends at a rate of 12.5% per annum, payable in cash or Class A Common Stock, at the discretion of the Issuer, on the first day of each calendar quarter. See Footnote 3 in Item 4. /2/ Pursuant to the terms of the Series B Convertible Preferred Stock, Series C Convertible Preferred Stock, and Series D Convertible Preferred Stock, the Reporting Person can not be the "beneficial owner" of more than 9.99% of the Class A Common Stock within the meaning of Rule 13d-1 of the Securities Exchange Act of 1934. Page 6 of 19 - --------------------- -------------------- CUSIP NO. 594972101 13G Page 7 of 19 Pages - --------------------- -------------------- - -------------------------------------------------------------------------------- NAME OF REPORTING PERSON 1 S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Name Wingate Capital Ltd. - -------------------------------------------------------------------------------- CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [X] (b) [_] - -------------------------------------------------------------------------------- SEC USE ONLY 3 - -------------------------------------------------------------------------------- CITIZENSHIP OR PLACE OF ORGANIZATION 4 Cayman Islands company - -------------------------------------------------------------------------------- SOLE VOTING POWER 5 NUMBER OF 0 SHARES ------------------------------------------------------------- BENEFICIALLY SHARED VOTING POWER OWNED BY 6 EACH 1,192,260 shares of Class A Common Stock REPORTING 1,590 shares of Series B Convertible Preferred Stock PERSON (convertible into 567,001 shares of Class A Common WITH Stock)/1//2/ 1,590 shares of Series C Convertible Preferred Stock (convertible into 0 shares of Class A Common Stock)/1//2/ 1,451.1 shares of Series D Convertible Preferred Stock (convertible into 2,902,200 shares of Class A Common Stock)/1//2/ ------------------------------------------------------------- SOLE DISPOSITIVE POWER 7 0 ------------------------------------------------------------- SHARED DISPOSITIVE POWER 8 See Row 6 above. - -------------------------------------------------------------------------------- AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 See Row 6 above. - -------------------------------------------------------------------------------- CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*/2/ 10 [X] - -------------------------------------------------------------------------------- PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 Approximately 9.99% as of December 31, 2001./2/ (Based on 43,192,074 shares of Class A Common Stock issued and outstanding as of November 1, 2001, plus the shares of Class A Common Stock issuable upon the conversion of the Series B, Series C and Series D Convertible Preferred Stock referred to in Row 6 above.) - -------------------------------------------------------------------------------- TYPE OF REPORTING PERSON* 12 CO - -------------------------------------------------------------------------------- /1/ The Series B Convertible Preferred Stock and Series C Convertible Preferred Stock also accrue dividends at a rate of 12.5% per annum, payable in cash or Class A Common Stock, at the discretion of the Issuer, on the first day of each calendar quarter. See Footnote 3 in Item 4. /2/ Pursuant to the terms of the Series B Convertible Preferred Stock, Series C Convertible Preferred Stock, and Series D Convertible Preferred Stock, the Reporting Person can not be the "beneficial owner" of more than 9.99% of the Class A Common Stock within the meaning of Rule 13d-1 of the Securities Exchange Act of 1934. Page 7 of 19 - --------------------- -------------------- CUSIP NO. 594972101 13G Page 8 of 19 Pages - --------------------- -------------------- - -------------------------------------------------------------------------------- NAME OF REPORTING PERSON 1 S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Name Kensington Global Strategies Fund, Ltd. - -------------------------------------------------------------------------------- CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [X] (b) [_] - -------------------------------------------------------------------------------- SEC USE ONLY 3 - -------------------------------------------------------------------------------- CITIZENSHIP OR PLACE OF ORGANIZATION 4 Bermuda company - -------------------------------------------------------------------------------- SOLE VOTING POWER 5 NUMBER OF 0 SHARES ------------------------------------------------------------- BENEFICIALLY SHARED VOTING POWER OWNED BY 6 EACH 1,192,260 shares of Class A Common Stock REPORTING 1,590 shares of Series B Convertible Preferred Stock PERSON (convertible into 567,001 shares of Class A Common WITH Stock)/1//2/ 1,590 shares of Series C Convertible Preferred Stock (convertible into 0 shares of Class A Common Stock)/1//2/ 1,451.1 shares of Series D Convertible Preferred Stock (convertible into 2,902,200 shares of Class A Common Stock)/1//2/ ------------------------------------------------------------- SOLE DISPOSITIVE POWER 7 0 ------------------------------------------------------------- SHARED DISPOSITIVE POWER 8 See Row 6 above. - -------------------------------------------------------------------------------- AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 See Row 6 above. - -------------------------------------------------------------------------------- CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*/2/ 10 [X] - -------------------------------------------------------------------------------- PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 Approximately 9.99% as of December 31, 2001./2/ (Based on 43,192,074 shares of Class A Common Stock issued and outstanding as of November 1, 2001, plus the shares of Class A Common Stock issuable upon the conversion of the Series B, Series C and Series D Convertible Preferred Stock referred to in Row 6 above.) - -------------------------------------------------------------------------------- TYPE OF REPORTING PERSON* 12 CO; HC - -------------------------------------------------------------------------------- /1/ The Series B Convertible Preferred Stock and Series C Convertible Preferred Stock also accrue dividends at a rate of 12.5% per annum, payable in cash or Class A Common Stock, at the discretion of the Issuer, on the first day of each calendar quarter. See Footnote 3 in Item 4. /2/ Pursuant to the terms of the Series B Convertible Preferred Stock, Series C Convertible Preferred Stock, and Series D Convertible Preferred Stock, the Reporting Person can not be the "beneficial owner" of more than 9.99% of the Class A Common Stock within the meaning of Rule 13d-1 of the Securities Exchange Act of 1934. Page 8 of 19 - --------------------- -------------------- CUSIP NO. 594972101 13G Page 9 of 19 Pages - --------------------- -------------------- - -------------------------------------------------------------------------------- NAME OF REPORTING PERSON 1 S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Name Fisher Capital Ltd. - -------------------------------------------------------------------------------- CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [X] (b) [_] - -------------------------------------------------------------------------------- SEC USE ONLY 3 - -------------------------------------------------------------------------------- CITIZENSHIP OR PLACE OF ORGANIZATION 4 Cayman Islands company - -------------------------------------------------------------------------------- SOLE VOTING POWER 5 NUMBER OF 0 SHARES ------------------------------------------------------------- BENEFICIALLY SHARED VOTING POWER OWNED BY 6 EACH 1,192,260 shares of Class A Common Stock REPORTING 1,590 shares of Series B Convertible Preferred Stock PERSON (convertible into 567,001 shares of Class A Common WITH Stock)/1//2/ 1,590 shares of Series C Convertible Preferred Stock (convertible into 0 shares of Class A Common Stock)/1//2/ 1,451.1 shares of Series D Convertible Preferred Stock (convertible into 2,902,200 shares of Class A Common Stock)/1//2/ ------------------------------------------------------------- SOLE DISPOSITIVE POWER 7 0 ------------------------------------------------------------- SHARED DISPOSITIVE POWER 8 See Row 6 above. - -------------------------------------------------------------------------------- AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 See Row 6 above. - -------------------------------------------------------------------------------- CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*/2/ 10 [X] - -------------------------------------------------------------------------------- PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 Approximately 9.99% as of December 31, 2001./2/ (Based on 43,192,074 shares of Class A Common Stock issued and outstanding as of November 1, 2001, plus the shares of Class A Common Stock issuable upon the conversion of the Series B, Series C and Series D Convertible Preferred Stock referred to in Row 6 above.) - -------------------------------------------------------------------------------- TYPE OF REPORTING PERSON* 12 CO - -------------------------------------------------------------------------------- /1/ The Series B Convertible Preferred Stock and Series C Convertible Preferred Stock also accrue dividends at a rate of 12.5% per annum, payable in cash or Class A Common Stock, at the discretion of the Issuer, on the first day of each calendar quarter. See Footnote 3 in Item 4. /2/ Pursuant to the terms of the Series B Convertible Preferred Stock, Series C Convertible Preferred Stock, and Series D Convertible Preferred Stock, the Reporting Person can not be the "beneficial owner" of more than 9.99% of the Class A Common Stock within the meaning of Rule 13d-1 of the Securities Exchange Act of 1934. Page 9 of 19 - --------------------- -------------------- CUSIP NO. 594972101 13G Page 10 of 19 Pages - --------------------- -------------------- - ------------------------------------------------------------------------------ NAME OF REPORTING PERSON 1 S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Name Citadel Trading Group, L.L.C. - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [X] (b) [_] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 Delaware limited liability company U.S.A. - ------------------------------------------------------------------------------ SOLE VOTING POWER 5 NUMBER OF 0 SHARES ----------------------------------------------------------- BENEFICIALLY SHARED VOTING POWER OWNED BY 6 EACH 1,192,260 shares of Class A Common Stock REPORTING 1,590 shares of Series B Convertible Preferred Stock PERSON (convertible into 567,001 shares of Class A Common WITH Stock)/1//2/ 1,590 shares of Series C Convertible Preferred Stock (convertible into 0 shares of Class A Common Stock)/1//2/ 1,451.1 shares of Series D Convertible Preferred Stock (convertible into 2,902,200 shares of Class A Common Stock)/1//2/ ----------------------------------------------------------- SOLE DISPOSITIVE POWER 7 0 ----------------------------------------------------------- SHARED DISPOSITIVE POWER 8 See Row 6 above. - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 See Row 6 above. - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*/2/ 10 [X] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 Approximately 9.99% as of December 31, 2001./2/ (Based on 43,192,074 shares of Class A Common Stock issued and outstanding as of November 1, 2001, plus the shares of Class A Common Stock issuable upon the conversion of the Series B, Series C and Series D Convertible Preferred Stock referred to in Row 6 above.) - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* 12 OO - ------------------------------------------------------------------------------ /1/ The Series B Convertible Preferred Stock and Series C Convertible Preferred Stock also accrue dividends at a rate of 12.5% per annum, payable in cash or Class A Common Stock, at the discretion of the Issuer, on the first day of each calendar quarter. See Footnote 3 in Item 4. /2/ Pursuant to the terms of the Series B Convertible Preferred Stock, Series C Convertible Preferred Stock, and Series D Convertible Preferred Stock, the Reporting Person can not be the "beneficial owner" of more than 9.99% of the Class A Common Stock within the meaning of Rule 13d-1 of the Securities Exchange Act of 1934. Page 10 of 19 - --------------------- -------------------- CUSIP NO. 594972101 13G Page 11 of 19 Pages - --------------------- -------------------- - ------------------------------------------------------------------------------ NAME OF REPORTING PERSON 1 S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Name Aragon Investments, Ltd. - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [X] (b) [_] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 Bermuda company - ------------------------------------------------------------------------------ SOLE VOTING POWER 5 NUMBER OF 0 SHARES ----------------------------------------------------------- BENEFICIALLY SHARED VOTING POWER OWNED BY 6 EACH 1,192,260 shares of Class A Common Stock REPORTING 1,590 shares of Series B Convertible Preferred Stock PERSON (convertible into 567,001 shares of Class A Common WITH Stock)/1//2/ 1,590 shares of Series C Convertible Preferred Stock (convertible into 0 shares of Class A Common Stock)/1//2/ 1,451.1 shares of Series D Convertible Preferred Stock (convertible into 2,902,200 shares of Class A Common Stock)/1//2/ ----------------------------------------------------------- SOLE DISPOSITIVE POWER 7 0 ----------------------------------------------------------- SHARED DISPOSITIVE POWER 8 See Row 6 above. - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 See Row 6 above. - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*/2/ 10 [X] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 Approximately 9.99% as of December 31, 2001./2/ (Based on 43,192,074 shares of Class A Common Stock issued and outstanding as of November 1, 2001, plus the shares of Class A Common Stock issuable upon the conversion of the Series B, Series C and Series D Convertible Preferred Stock referred to in Row 6 above.) - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* 12 CO - ------------------------------------------------------------------------------ /1/ The Series B Convertible Preferred Stock and Series C Convertible Preferred Stock also accrue dividends at a rate of 12.5% per annum, payable in cash or Class A Common Stock, at the discretion of the Issuer, on the first day of each calendar quarter. See Footnote 3 in Item 4. /2/ Pursuant to the terms of the Series B Convertible Preferred Stock, Series C Convertible Preferred Stock, and Series D Convertible Preferred Stock, the Reporting Person can not be the "beneficial owner" of more than 9.99% of the Class A Common Stock within the meaning of Rule 13d-1 of the Securities Exchange Act of 1934. Page 11 of 19 - --------------------- -------------------- CUSIP NO. 594972101 13G Page 12 of 19 Pages - --------------------- -------------------- Item 1(a) Name of Issuer: MICROSTRATEGY INCORPORATED 1(b) Address of Issuer's Principal Executive Offices: 8000 Towers Crescent Drive Vienna, Virginia 22182 Item 2(a) Name of Person Filing Item 2(b) Address of Principal Business Office Item 2(c) Citizenship Citadel Limited Partnership 225 W. Washington 9th Floor Chicago, Illinois 60606 Illinois limited partnership GLB Partners, L.P. 225 W. Washington 9th Floor Chicago, Illinois 60606 Delaware limited partnership Citadel Investment Group, L.L.C. 225 W. Washington 9th Floor Chicago, Illinois 60606 Delaware limited liability company Kenneth Griffin 225 W. Washington 9th Floor Chicago, Illinois 60606 U.S. Citizen Wellington Partners Limited Partnership c/o Citadel Investment Group, L.L.C. 225 W. Washington 9th Floor Chicago, Illinois 60606 Illinois limited partnership Page 12 of 19 - --------------------- -------------------- CUSIP NO. 594972101 13G Page 13 of 19 Pages - --------------------- -------------------- Wingate Capital Ltd. c/o Citadel Investment Group, L.L.C. 225 W. Washington 9th Floor Chicago, Illinois 60606 Cayman Islands company Kensington Global Strategies Fund, Ltd. c/o Citadel Investment Group, L.L.C. 225 W. Washington 9th Floor Chicago, Illinois 60606 Bermuda company Fisher Capital Ltd. c/o Citadel Investment Group, L.L.C. 225 W. Washington 9th Floor Chicago, Illinois 60606 Cayman Islands company Citadel Trading Group, L.L.C. c/o Citadel Investment Group, L.L.C. 225 W. Washington 9th Floor Chicago, Illinois 60606 Delaware limited liability company Aragon Investments, Ltd. c/o Citadel Investment Group, L.L.C. 225 W. Washington 9th Floor Chicago, Illinois 60606 Bermuda company 2(d) Title of Class of Securities: Class A Common Stock, par value $0.001 per share 2(e) CUSIP Number: 594972101. Item 3 If this statement is filed pursuant to Rules 13d-1(b), or 13d-2(b) or (c), check whether the person filing is a: (a) [__] Broker or dealer registered under Section 15 of the Exchange Act; (b) [__] Bank as defined in Section 3(a)(6) of the Exchange Act; Page 13 of 19 - --------------------- -------------------- CUSIP NO. 594972101 13G Page 14 of 19 Pages - --------------------- -------------------- (c) [__] Insurance company as defined in Section 3(a)(19) of the Exchange Act; (d) [__] Investment company registered under Section 8 of the Investment Company Act; (e) [__] An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E); (f) [__] An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F); (g) [__] A parent holding company or control person in accordance with Rule 13d-1(b)(ii)(G); (h) [__] A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act; (i) [__] A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act; (j) [__] Group, in accordance with Rule 13d-1(b)(1)(ii)(J). If this statement is filed pursuant to Rule 13d-1(c), check this box. [X] Item 4 Ownership: CITADEL LIMITED PARTNERSHIP GLB PARTNERS, L.P. CITADEL INVESTMENT GROUP, L.L.C. KENNETH GRIFFIN WELLINGTON PARTNERS LIMITED PARTNERSHIP WINGATE CAPITAL LTD. KENSINGTON GLOBAL STRATEGIES FUND, LTD. FISHER CAPITAL LTD. CITADEL TRADING GROUP, L.L.C. ARAGON INVESTMENTS, LTD. (a) Amount beneficially owned: 1,192,260 shares of Class A Common Stock 1,590 shares of Series B Convertible Preferred Stock (convertible into 567,000 shares of Class A Common Stock)/1//2/ 1,590 shares of Series C Convertible Preferred Stock (convertible into 0 shares of Class A Common Stock)/1//2/ Page 14 of 19 - --------------------- -------------------- CUSIP NO. 594972101 13G Page 15 of 19 Pages - --------------------- -------------------- 1,451.1 shares of Series D Convertible Preferred Stock (convertible into 2,902,200 shares of Class A Common Stock)/1/2/ (b) Percent of Class: Approximately 9.99% as of December 31, 2001./2/ (Based on 43,192,074 shares of Class A Common Stock issued and outstanding as of November 1, 2001, plus the shares of Class A Common Stock issuable upon the conversion of the Series B, Series C and Series D Convertible Preferred Stock referred to above.) /1/The Series B Convertible Preferred Stock and Series C Convertible Preferred Stock also accrue dividends at a rate of 12.5% per annum, payable in cash or Class A Common Stock, at the discretion of the Issuer, on the first day of each calendar quarter. See Footnote 3 in Item 4. /2/Pursuant to the terms of the Series B Convertible Preferred Stock, Series C Convertible Preferred Stock, and Series D Convertible Preferred Stock, the Reporting Persons can not be the "beneficial owners" of more than 9.99% of the Class A Common Stock within the meaning of Rule 13d-1 of the Securities Exchange Act of 1934. (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: 0 (ii) shared power to vote or to direct the vote: See item (a) above. (iii) sole power to dispose or to direct the disposition of: 0 (iv) shared power to dispose or to direct the disposition of: See item (a) above. /3/The securities reported herein include securities that the Reporting Persons may acquire in the future through the conversion of (i) 1,590 shares of the Series B Convertible Preferred Stock (the "Series B Preferred Shares"), which may be converted by the Reporting Persons at any time prior to June 14, 2004 (the "Series B Maturity Date"), into shares of the Company's Class A Common Stock (the "Common Stock") at the conversion price of $12.50 (subject to adjustment to prevent dilution), (ii) 1,590 shares of the Series C Convertible Preferred Stock (the "Series C Preferred Shares"), which may be converted by the Reporting Persons at any time prior to June 14, 2004 (the "Series C Maturity Date"), into shares of Common Stock at the conversion price of $17.50 (subject to adjustment to prevent dilution) and (iii) 1,451.1 shares of the Series D Convertible Preferred Stock (the "Series D Preferred Shares" and together with the Series B Preferred Shares and Series C Preferred Shares, the "Preferred Shares") which may Page 15 of 19 - --------------------- -------------------- CUSIP NO. 594972101 13G Page 16 of 19 Pages - --------------------- -------------------- be converted by the Reporting Persons at any time prior to and including June 14, 2004, into shares of Common Stock at the conversion price of $5.00. On the Series B Maturity Date and Series C Maturity Date, the Company shall either redeem the outstanding Series B Preferred Shares and Series C Preferred Shares, or convert the Series B Preferred Shares and Series C Preferred Shares into shares of Common Stock at a conversion price equal to 95% of the Common Stock's average "weighted average price" (as reported by Bloomberg) for the 30 trading days immediately preceding the Series B Maturity Date and Series C Maturity Date, respectively. As a result, as the weighted average price of the Common Stock fluctuates, the number of shares of Common Stock which holders of the Series B Preferred Shares and Series C Preferred Shares may be deemed to beneficially own at the Series B Maturity Date and Series C Maturity Date may change without any action taken by the holders of the Preferred Shares. The Series B Preferred Shares and Series C Preferred Shares accrue dividends at the rate of 12.5% per annum from June 14, 2001, payable in cash or Common Stock at the option of the Company (with certain exceptions) on the first day of each calendar quarter. If the Company meets the necessary requirements and elects to pay dividends in shares of Common Stock, the conversion price for such dividends would be equal to 95% of the arithmetic average of the weighted average prices of the Common Stock on its principal market during the five (5) consecutive trading days immediately preceding the dividend date. As of December 31, 2001, the Series B Preferred Shares and Series C Preferred Shares had combined accrued dividends of approximately $1,001,918. Pursuant to the terms of the Preferred Shares, the Reporting Persons cannot be "beneficial owners" of more than 9.99% of the Common Stock within the meaning of Rule 13d-1 of the Securities Exchange Act of 1934. 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: See Item 2 above. Item 8 Identification and Classification of Members of the Group: Not Applicable. Item 9 Notice of Dissolution of Group: Not Applicable. Page 16 of 19 - --------------------- -------------------- CUSIP NO. 594972101 13G Page 17 of 19 Pages - --------------------- -------------------- Item 10 Certification: By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. Page 17 of 19 - --------------------- -------------------- CUSIP NO. 594972101 13G Page 18 of 19 Pages - --------------------- -------------------- After reasonable inquiry and to the best of its knowledge and belief, the undersigned certify that the information set forth in this statement is true, complete and correct. Dated this 13th day of February, 2002 /s/ Kenneth Griffin ---------------------------------- Kenneth Griffin
CITADEL LIMITED PARTNERSHIP CITADEL INVESTMENT GROUP, L.L.C. By: GLB Partners, L.P., By: /s/ Kenneth Griffin its General Partner --------------------------------- Kenneth Griffin, President By: Citadel Investment Group, L.L.C., its General Partner WINGATE CAPITAL LTD. By: /s/ Kenneth Griffin By: Citadel Limited Partnership, --------------------------------- its Trading Manager Kenneth Griffin, President GLB PARTNERS, L.P. By: GLB Partners, L.P., its General Partner By: Citadel Investment Group, L.L.C., its General Partner By: Citadel Investment Group, L.L.C., its General Partner By: /s/ Kenneth Griffin --------------------------------- By: /s/ Kenneth Griffin Kenneth Griffin, President --------------------------------- Kenneth Griffin, President WELLINGTON PARTNERS LIMITED FISHER CAPITAL LTD. PARTNERSHIP By: Citadel Limited Partnership, By: Citadel Limited Partnership, its General Partner its Trading Manager By: GLB Partners, L.P., By: GLB Partners, L.P., its General Partner its General Partner By: Citadel Investment Group, L.L.C., By: Citadel Investment Group, L.L.C., its General Partner its General Partner By: /s/ Kenneth Griffin By: /s/ Kenneth Griffin --------------------------------- --------------------------------- Kenneth Griffin, President Kenneth Griffin, President
Page 18 of 19 - --------------------- -------------------- CUSIP NO. 594972101 13G Page 19 of 19 Pages - --------------------- --------------------
CITADEL TRADING GROUP, L.L.C. ARAGON INVESTMENTS, LTD. By: Citadel Limited Partnership, By: Citadel Limited Partnership, its Managing Member its Trading Manager By: GLB Partners, L.P., By: GLB Partners, L.P., its General Partner its General Partner By: Citadel Investment Group, L.L.C., By: Citadel Investment Group, L.L.C., its General Partner its General Partner By: /s/ Kenneth Griffin By: /s/ Kenneth Griffin --------------------------------- --------------------------------- Kenneth Griffin, President Kenneth Griffin, President KENSINGTON GLOBAL STRATEGIES FUND, LTD. By: Citadel Limited Partnership, its Trading Manager By: GLB Partners, L.P., its General Partner By: Citadel Investment Group, L.L.C., its General Partner By: /s/ Kenneth Griffin --------------------------------- Kenneth Griffin, President
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