-----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, UNu1mdW12MfUSdjkeM1898W42iqLNYJ9tho++ycjIeTqRqBf6A/s3/K6fHheG9ce cqxUGsklxGOduJzdWtOVYQ== 0001193125-07-020065.txt : 20070205 0001193125-07-020065.hdr.sgml : 20070205 20070205145553 ACCESSION NUMBER: 0001193125-07-020065 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20070205 DATE AS OF CHANGE: 20070205 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: TIBCO SOFTWARE INC CENTRAL INDEX KEY: 0001085280 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 770449727 STATE OF INCORPORATION: DE FISCAL YEAR END: 1130 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-58353 FILM NUMBER: 07579932 BUSINESS ADDRESS: STREET 1: 3303 HILLVIEW AVENUE CITY: PALO ALTO STATE: CA ZIP: 94304 BUSINESS PHONE: 6508461000 MAIL ADDRESS: STREET 1: 3303 HILLVIEW AVENUE CITY: PALO ALTO STATE: CA ZIP: 94304 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: RANADIVE VIVEK CENTRAL INDEX KEY: 0001106533 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 3165 PORTER DRIVE CITY: PALO ALTO STATE: CA ZIP: 94304 BUSINESS PHONE: 650-846-1000 MAIL ADDRESS: STREET 1: 3303 HILLVIEW AVE CITY: PALO ALTO STATE: CA ZIP: 94304 FORMER COMPANY: FORMER CONFORMED NAME: RANADIVE VIYEK DATE OF NAME CHANGE: 20000211 SC 13G/A 1 dsc13ga.htm SCHEDULE 13G AMENDMENT NO. 4 Schedule 13G Amendment No. 4

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

SCHEDULE 13G

 

Under the Securities Exchange Act of 1934

(Amendment No. 4)*

 

 

TIBCO Software Inc.


(Name of Issuer)

Common Stock


(Title of Class of Securities)

 

 

88632Q 10 3

                                (CUSIP Number)                                

December 31, 2006


(Date of Event Which Requires Filing of this Statement)

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

¨ Rule 13d-1(b)

¨ Rule 13d-1(c)

x Rule 13d-1(d)

 

*   The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.

The information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.

 

Page 1 of 5 Pages


CUSIP No.88632Q 10 3    

 

  1.  

Names of Reporting Persons.

I.R.S. Identification Nos. of above persons (entities only).

   
                Vivek Ranadivé    
  2.   Check the Appropriate Box if a Member of a Group (See Instructions)  
  (a)  ¨  
    (b)  x Not applicable.    
  3.   SEC Use Only  
         
  4.   Citizenship or Place of Organization  
                USA    

Number of

Shares

Beneficially by

Owned by

Each

Reporting

Person

With:

    5.    Sole Voting Power
 
                  10,841,486 *
    6.    Shared Voting Power
 
                  2,700,000 **
    7.    Sole Dispositive Power
 
                  10,841,486 *
    8.    Shared Dispositive Power
 
                  2,700,000 **
  9.   Aggregate Amount Beneficially Owned by Each Reporting Person    
                13,541,486 ***    
10.   Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions).  
         
11.   Percent of Class Represented by Amount in Row (9)  
                6.4%    
12.   Type of Reporting Person (See Instructions)  
                IN    
* Consists of 3,362,921 shares owned by Vivek Ranadivé as of 12/31/06 and 7,478,565 shares beneficially owned pursuant to stock options exercisable within 60 days of 12/31/06. Mr. Ranadivé beneficially owns, but does not have voting or dispositive power over an aggregate of 2,700,000 shares, which have been irrevocably transferred to the Anjali Dea Ranadivé Trust, the Aneel Ryan Ranadivé Trust, the Andre Vivek Ranadivé Trust, and the Ranadivé Family Generation-Skipping Trust.
** Consists of an aggregate of 2,700,000 shares, which have been irrevocably transferred to the following trusts, of which Mr. Ranadivé is a co-trustee: 150,000 shares owned by the Anjali Dea Ranadivé Trust; 150,000 shares owned by the Aneel Ryan Ranadivé Trust; 150,000 shares owned by the Andre Vivek Ranadivé Trust; and 2,250,000 shares owned by the Ranadivé Family Generation-Skipping Trust.
*** Consists of 3,362,921 shares owned by Vivek Ranadivé as of 12/31/06; 7,478,565 shares beneficially owned pursuant to stock options exercisable within 60 days of 12/31/06 and registered in the name of Vivek Ranadivé; and an aggregate of 2,700,000 shares which have been transferred to the Anjali Dea Ranadivé Trust, the Aneel Ryan Ranadivé Trust, the Andre Vivek Ranadivé Trust, and the Ranadivé Family Generation-Skipping Trust.

 

Page 2 of 5 pages


Item 1.  

(a)

   Name of Issuer:      
     TIBCO Software Inc.      
 

(b)

   Address of Issuer’s Principal Executive Offices:      
    

3303 Hillview Avenue

Palo Alto, CA 94304

     
Item 2.  

(a)

   Name of Person Filing:      
     Vivek Ranadivé      
 

(b)

   Address of Principal Business Office or, if none, Residence:      
    

c/o TIBCO Software Inc.

3303 Hillview Avenue

Palo Alto, CA 94304

     
 

(c)

   Citizenship:      
     USA      
 

(d)

   Title of Class of Securities:      
     Common Stock      
 

(e)

   CUSIP Number:      
     88632Q 10 3      
Item 3.   If this statement is filed pursuant to §§240.13d-l(b) or 240.13d-2(b) or (c), check whether the person filing is a:   
  (a)    ¨    Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o).
  (b)    ¨    Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c).
  (c)    ¨    Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c).
  (d)    ¨    Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8).
  (e)    ¨    An investment adviser in accordance with §240.13d-l(b)(l)(ii)(E);
  (f)    ¨    An employee benefit plan or endowment fund in accordance with §240.13d-l(b)(l)(ii)(F);
  (g)    ¨    A parent holding company or control person in accordance with § 240.13d-l(b)(l)(ii)(G);
  (h)    ¨    A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
  (i)    ¨    A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);
  (j)    ¨    Group, in accordance with §240.13d-l(b)(l)(ii)(J).
        Not applicable.

 

Page 3 of 5 Pages


Item 4.    Ownership.      
   Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.      
   (a)   

Amount beneficially owned:

 

13,541,486 ***.

     
   (b)   

Percent of class:

 

6.4%.

     
   (c)    Number of shares as to which the person has:      
      (i)   

Sole power to vote or to direct the vote

 

10,841,486 *.

     
      (ii)   

Shared power to vote or to direct the vote

 

2,700,000 **.

     
      (iii)   

Sole power to dispose or to direct the disposition of

 

10,841,486 *.

     
      (iv)   

Shared power to dispose or to direct the disposition of

 

2,700,000 **.

     

 

* Consists of 3,362,921 shares owned by Vivek Ranadivé as of 12/31/06 and 7,478,565 shares beneficially owned pursuant to stock options exercisable within 60 days of 12/31/06. Mr. Ranadivé beneficially owns, but does not have voting or dispositive power over an aggregate of 2,700,000 shares, which have been irrevocably transferred to the Anjali Dea Ranadivé Trust, the Aneel Ryan Ranadivé Trust, the Andre Vivek Ranadivé Trust, and the Ranadivé Family Generation-Skipping Trust.
** Consists of an aggregate of 2,700,000 shares, which have been irrevocably transferred to the following trusts, of which Mr. Ranadivé is a co-trustee: 150,000 shares owned by the Anjali Dea Ranadivé Trust; 150,000 shares owned by the Aneel Ryan Ranadivé Trust; 150,000 shares owned by the Andre Vivek Ranadivé Trust; and 2,250,000 shares owned by the Ranadivé Family Generation-Skipping Trust.
*** Consists of 3,362,921 shares owned by Vivek Ranadivé as of 12/31/06; 7,478,565 shares beneficially owned pursuant to stock options exercisable within 60 days of 12/31/06 and registered in the name of Vivek Ranadivé; and an aggregate of 2,700,000 shares which have been transferred to the Anjali Dea Ranadivé Trust, the Aneel Ryan Ranadivé Trust, the Andre Vivek Ranadivé Trust, and the Ranadivé Family Generation-Skipping Trust.

 

Item 5.    Ownership of Five Percent or Less of a Class   
   If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following  ¨.      
Item 6.    Ownership of More than Five Percent on Behalf of Another Person      
   Mr. Ranadivé is a co-trustee of the following trusts to which an aggregate of 2,700,000 shares have been irrevocably transferred: 150,000 shares owned by the Anjali Dea Ranadivé Trust; 150,000 shares owned by the Aneel Ryan Ranadivé Trust; 150,000 shares owned by the Andre Vivek Ranadivé Trust; and 2,250,000 shares owned by the Ranadivé Family Generation-Skipping Trust. Mr. Ranadivé beneficially owns, but does not have voting or dispositive power over the 2,700,000 shares that have been transferred to the trusts.      
Item 7.    Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company or Control Person
   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      
   Not applicable.      

 

Page 4 of 5 pages


SIGNATURE

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

 

February 5, 2007

Date

/s/ Vivek Ranadivé

Signature

Vivek Ranadivé, Chairman & Chief Executive Officer

Name/Title

 

Page 5 of 5 Pages

-----END PRIVACY-ENHANCED MESSAGE-----