-----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, RDNGxa/B2+1OG8/KzroMYPdQbND1mXjW9/SkB1zl9Akl68gICK62j/OAov7V+cIo 3gESvYpl99yD6xQnsVIUuQ== 0001012870-01-000609.txt : 20010223 0001012870-01-000609.hdr.sgml : 20010223 ACCESSION NUMBER: 0001012870-01-000609 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20010214 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: PORTAL SOFTWARE INC CENTRAL INDEX KEY: 0001080306 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMPUTER PROGRAMMING SERVICES [7371] IRS NUMBER: 77036737 STATE OF INCORPORATION: DE FISCAL YEAR END: 0131 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-58301 FILM NUMBER: 1539256 BUSINESS ADDRESS: STREET 1: 10200 SOUTH DEANZA BLVD CITY: CUPERTINO STATE: CA ZIP: 95014 BUSINESS PHONE: 4083434400 MAIL ADDRESS: STREET 1: 10200 SOUTH DEANZA BLVD CITY: CUPERTINO STATE: CA ZIP: 95014 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: LITTLE JOHN E CENTRAL INDEX KEY: 0001080307 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 77036937 STATE OF INCORPORATION: CA FISCAL YEAR END: 0131 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 20883 STEVENS CREEK BLVD CITY: CUPERTINO STATE: CA ZIP: 95014 BUSINESS PHONE: 4083434400 MAIL ADDRESS: STREET 1: 20883 STEVENS CREEK BLVD CITY: CUPERTINO STATE: CA ZIP: 95014 SC 13G 1 0001.txt SCHEDULE 13G SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ____________________ Schedule 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b) (c), AND (d) and AMENDMENTS THERETO FILED PURSUANT TO 13d-2(b) (Amendment No. _____)/1/ PORTAL SOFTWARE, INC. - -------------------------------------------------------------------------------- (Name of Issuer) COMMON STOCK - -------------------------------------------------------------------------------- (Title of Class of Securities) 736126 10 3 - -------------------------------------------------------------------------------- (CUSIP Number) Initial Public Offering - May 6, 1999 - -------------------------------------------------------------------------------- (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule to which this Schedule is filed: [_] Rule 13d-1(b) [_] Rule 13d-1(c) [X] Rule 13d-1(d) __________________ /1/ 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 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). CUSIP No. 736126 10 3 13G Page 2 of 6 Pages - ------------------------------------------------------------------------------ NAME OF REPORTING PERSONS 1. I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) John E. Little - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2. (a) [_] (b) [X] - ------------------------------------------------------------------------------ SEC USE ONLY 3. - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4. United States - ------------------------------------------------------------------------------ SOLE VOTING POWER 5. NUMBER OF 34,308,864 shares SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 6. -0- OWNED BY ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7. REPORTING 34,308,864 shares PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 8. -0- - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9. 34,308,864 - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* 10. [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 11. 20% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* 12. IN - ------------------------------------------------------------------------------ *SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 736126 10 3 13G Page 3 of 6 Pages Item 1(a) Name of Issuer: Portal Software, Inc. Item 1(b) Address of Issuer's Principal Executive Offices: 10200 South De Anza Boulevard Cupertino, CA 95014 Item 2(a) Name of Person Filing: This statement is filed by John E. Little/2/ (the "Reporting Person."). Item 2(b) Address of Principal Business Office or, if none, Residence: 10200 South De Anza Boulevard Cupertino, CA 95014 Item 2(c) Citizenship: United States. Item 2(d) Title of Class of Securities: Common Stock. Item 2(e) CUSIP Number: 736126 10 3 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. _________________ /2/ Mr. Little is the Chairman of the Board, Chief Executive Officer and President of the Issuer. CUSIP No. 736126 10 3 13G Page 4 of 6 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 advisor 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)(1)(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 13d1(b)(1)(ii)(J). If this statement is filed pursuant to Rule 13d-1(c), check this box. [_] Not Applicable. Item 4. Ownership. (a) Amount Beneficially Owned: See Row 9 of cover page. (b) Percent of Class: See Row 11 of cover page. (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: See Row 5 of cover page. (ii) shared power to vote or to direct the vote: See row 6 of cover page. (iii) sole power to dispose or to direct the disposition of: See Row 7 of cover page. CUSIP No. 736126 10 3 13G Page 5 of 6 Pages (iv) shared power to dispose or to direct the disposition of: See row 8 of cover page. 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. 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 and are held in the ordinary course of business and 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. CUSIP No. 736126 10 3 13G Page 6 of 6 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, 2001 /s/ John E. Little ------------------------------ John E. Little -----END PRIVACY-ENHANCED MESSAGE-----