-----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, AoIBgQ/nssljwVFj/zynbeSg6ESrByKf91vhYNJyn+WHA4F3wGPWWnUA8kb2ny4c 18NEMb988jpPdk9OJPfSBg== 0000912057-01-005335.txt : 20010223 0000912057-01-005335.hdr.sgml : 20010223 ACCESSION NUMBER: 0000912057-01-005335 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20010214 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: EMBARCADERO TECHNOLOGIES INC CENTRAL INDEX KEY: 0001107112 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMPUTER INTEGRATED SYSTEMS DESIGN [7373] IRS NUMBER: 680310015 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-60735 FILM NUMBER: 1539286 BUSINESS ADDRESS: STREET 1: 425 MARKET ST. STREET 2: SUITE 425 CITY: SAN FRANCISCO STATE: CA ZIP: 94105 BUSINESS PHONE: 4158343131 MAIL ADDRESS: STREET 1: 425 MARKET ST. STREET 2: SUITE 425 CITY: SAN FRANCISCO STATE: CA ZIP: 94105 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: WONG DENNIS J CENTRAL INDEX KEY: 0001134612 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: C/O EMBARCADERO TECHNOLOGIES INC STREET 2: 425 MARKET STREET SUITE 425 CITY: SAN FRANCISCO STATE: CA ZIP: 94105 MAIL ADDRESS: STREET 1: C/O EMBARCADERO TECHNOLOGIES INC STREET 2: 425 MARKET STREET SUITE 425 CITY: SAN FRANCISCO STATE: CA ZIP: 94105 SC 13G 1 a2038538zsc13g.txt SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* ------ EMBARCADERO TECHNOLOGIES, INC. - -------------------------------------------------------------------------------- (Name of Issuer) COMMON STOCK - -------------------------------------------------------------------------------- (Title of Class of Securities) 290787100 ---------------------------------- (CUSIP Number) FEBRUARY 14, 2001 ----------------- (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). Page 1 of 5 pages CUSIP No. 290787100 13G Page 2 of 5 Pages --------- - ------------------------------------------------------------------------------- (1) NAMES OF REPORTING PERSONS. I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY). DENNIS J. WONG - ------------------------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER (a) / / OF A GROUP (SEE INSTRUCTIONS) N/A (b) / / - ------------------------------------------------------------------------------- (3) SEC USE ONLY - ------------------------------------------------------------------------------- (4) CITIZENSHIP OR PLACE OF ORGANIZATION USA - ------------------------------------------------------------------------------- Number of Shares (5) Sole Voting Power Beneficially 4,114,668 Owned by -------------------------------------------------- Each Reporting (6) Shared Voting Power Person With: 300,000 -------------------------------------------------- (7) Sole Dispositive Power 4,114,668 -------------------------------------------------- (8) Shared Dispositive Power 300,000 - ------------------------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned by Each Reporting Person 4,414,668 - ------------------------------------------------------------------------------- (10) Check if the Aggregate Amount in Row (9) Excludes Certain Shares* (See Instructions) N/A / / - ------------------------------------------------------------------------------- (11) Percent of Class Represented by Amount in Row (9) 16.4% - ------------------------------------------------------------------------------- (12) Type of Reporting Person (See Instructions) IN - ------------------------------------------------------------------------------- CUSIP No. 290787100 13G Page 3 of 5 Pages --------- ITEM 1. (a) Name of Issuer EMBARCADERO TECHNOLOGIES, INC. --------------------------------------------------------------------- (b) Address of Issuer's Principal Executive Offices 425 MARKET STREET, SUITE 425 SAN FRANCISCO, CA 94105 --------------------------------------------------------------------- ITEM 2. (a) Name of Person Filing DENNIS J. WONG --------------------------------------------------------------------- (b) Address of Principal Business Office or, if none, Residence 425 MARKET STREET, SUITE 425 SAN FRANCISCO, CA 94105 --------------------------------------------------------------------- (c) Citizenship USA --------------------------------------------------------------------- (d) Title of Class of Securities Common Stock, $0.001 PAR VALUE --------------------------------------------------------------------- (e) CUSIP Number 290787100 --------------------------------------------------------------------- ITEM 3. This statement is not filed pursuant to Rules 13d-1(b) or 13d-2, and therefore this item is not applicable. ITEM 4. OWNERSHIP (a) Amount beneficially owned: 4,414,668 --------------------------------------------------------------------------- (b) Percent of class: 16.4% --------------------------------------------------------------------------- CUSIP No. 290787100 13G Page 4 of 5 Pages --------- (c) Number of shares as to which the person has: (i) Sole power to vote or to direct the vote 4,414,668 ----------------------------------------------------------------- (ii) Shared power to vote or to direct the vote 300,000 ----------------------------------------------------------------- (iii) Sole power to dispose or to direct the disposition of 4,414,668 ----------------------------------------------------------------- (iv) Shared power to dispose or to direct the disposition of 300,000 ----------------------------------------------------------------- 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 BENEFICIARIES OF EACH OF THE AUDREY RACHEL WONG 1999 INVESTMENT TRUST AND ETHAN HENRY WONG 1999 INVESTMENT TRUST HAVE THE RIGHT TO RECEIVE THE PROCEEDS FROM THE SALE OF 300,000 SHARES HELD BY SUCH TRUST, IN ACCORDANCE WITH THE TRUST DOCUMENTS. ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY N/A ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP N/A ITEM 9. NOTICE OF DISSOLUTION OF GROUP N/A ITEM 10. CERTIFICATION N/A CUSIP No. 290787100 13G Page 5 of 5 Pages --------- SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in the statement is true, complete and correct. FEBRUARY 13, 2001 - ------------------------------ Date /s/ DENNIS J. WONG - ------------------------------ Signature DENNIS J. WONG - ------------------------------ Name (Typed) -----END PRIVACY-ENHANCED MESSAGE-----