-----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, V4p+ls5HaBzKUiXWxoOELI3lrTA45VDSzmKXU5BkOJNRc+QDqEYjQbcvGu1HHS3r Lx4e4v0tNavFQZkNbaJKDw== 0001193125-04-013911.txt : 20040204 0001193125-04-013911.hdr.sgml : 20040204 20040203194739 ACCESSION NUMBER: 0001193125-04-013911 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20040204 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: WONG DENNIS J CENTRAL INDEX KEY: 0001134612 FILING VALUES: FORM TYPE: SC 13G/A 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 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/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-60735 FILM NUMBER: 04564503 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 SC 13G/A 1 dsc13ga.htm SCHEDULE 13G AMENDMENT NO. 3 Schedule 13G Amendment no. 3

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

SCHEDULE 13G

 

Under the Securities Exchange Act of 1934

 

(Amendment No. 3 )*

 

EMBARCADERO TECHNOLOGIES, INC.

(Name of Issuer)

 

Common Stock

(Title of Class of Securities)

 

290787100

(CUSIP Number)

 

December 31, 2003

(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)

 

  þ 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 disclosure provided in a prior cover page.

 

The information required in the remainder of this coverage 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  

NAME OF REPORTING PERSON

S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON

 

            Dennis J. Wong

    
  2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a)  

(b)  

            N/A

    
  3  

SEC USE ONLY

 

    
  4  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

            USA

    

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

  

  5    SOLE VOTING POWER

 

                1,553,608

  6    SHARED VOTING POWER

 

                90,000

  7    SOLE DISPOSITIVE POWER

 

                1,553,608

  8    SHARED DISPOSITIVE POWER

 

                90,000

  9  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

            1,643,608

    
10  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*

 

            N/A

    
11  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9

 

            6.18%

    
12  

TYPE OF REPORTING PERSON*

 

            IN

    

 

      
CUSIP No. 290787100   13G   Page 3 of 5 Pages
      

 

Item 1(a): NAME OF ISSUER

 

Embarcadero Technologies, Inc.

 

Item 1(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

 

Item 2(b): ADDRESS OF PRINCIPAL BUSINESS OFFICE

 

c/o SPI Holdings LLC

550 California St., Suite 600

Sacramento Tower

San Francisco, CA 94104

 

Item 2(c): CITIZENSHIP

 

USA

 

Item 2(d): TITLE OF CLASS OF SECURITIES

 

Common Stock, $0.001 par value

 

Item 2(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:

 

1,643,608 shares

 

  (b) Percent of Class

 

6.18%

 

      
CUSIP No. 290787100   13G   Page 4 of 5 Pages
      

 

(c)

 

Number of Shares as to Which Such Person Has:

 

  (i) sole power to vote or direct the vote:

 

1,553,608 Shares

 

  (ii) shared power to vote or direct the vote

 

90,000 Shares

 

  (iii) Sole power to dispose or to direct the disposition of:

 

1,553,608 Shares

 

  (iv) Shared power to dispose or to direct the disposition of:

 

90,000 Shares

 

Item 5: OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS

 

If this statement is being to report the fact that as of 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 NOT 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 100,000 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 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.

 

January 22, 2003

Date

/s/    Dennis J. Wong

Signature
Dennis J. Wong
Name (Typed)

 

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