-----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, AbMDFOkPaiSmOZ/txZ8rOuWFcteIq213hWn9FvMQsDop+z33ne5mWC7JVH9jjSJz KElGmLywfT+69Dmn2lr88g== 0000950135-03-001250.txt : 20030214 0000950135-03-001250.hdr.sgml : 20030214 20030214135140 ACCESSION NUMBER: 0000950135-03-001250 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20030214 GROUP MEMBERS: ADVENT ATLANTIC & PACIFIC III L.P. GROUP MEMBERS: TA EXECUTIVE FUND LLC GROUP MEMBERS: TA INVESTORS LLC GROUP MEMBERS: TA IX L.P. GROUP MEMBERS: TA/ATLANTIC & PACIFIC IV L.P. FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: TA ADVENT VIII PL CENTRAL INDEX KEY: 0001106837 IRS NUMBER: 043334380 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 125 HIGH ST CITY: BOSTON STATE: MA ZIP: 02110 MAIL ADDRESS: STREET 1: 125 HIGH ST CITY: BOSTON STATE: MA ZIP: 02110 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: AMERITRADE HOLDING CORP CENTRAL INDEX KEY: 0001173431 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 820543156 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-78863 FILM NUMBER: 03565826 BUSINESS ADDRESS: STREET 1: 4211 SOUTH 102ND STREET CITY: OMAHA STATE: NE ZIP: 68127 BUSINESS PHONE: 4023317856 MAIL ADDRESS: STREET 1: 4211 SOUTH 102ND STREET CITY: OMAHA STATE: NE ZIP: 68127 FORMER COMPANY: FORMER CONFORMED NAME: ARROW STOCK HOLDING CORP DATE OF NAME CHANGE: 20020514 SC 13G 1 b45251amsc13g.txt AMERITRADE HOLDING COMPANY, INC. OMB APPROVAL OMB Number: 3235-0145 Expires: 30-Sep-03 Estimated Average burden hours per response UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. _________)* Ameritrade Holding Company, Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock Par Value $.01 - -------------------------------------------------------------------------------- (Title of Class of Securities) 03074K 10 0 - -------------------------------------------------------------------------------- (CUSIP Number) 12/31/02 - -------------------------------------------------------------------------------- (Date of Event Which Requires Filing of this Statement) THIS SCHEDULE IS BEING FILED PURSUANT TO 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 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 CUSIP NO. 03074K 10 0 13G PAGE 2 - ------------------------------------------------------------------------------------------------------------------------------------ 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON TA IX L.P. 04-3520503 TA/Advent VIII L.P. 04-3334380 Advent Atlantic and Pacific III L.P. 04-3299318 TA/Atlantic and Pacific IV L.P. 04-3465628 TA Executives Fund LLC 04-3398534 TA Investors LLC 04-3395404 - ------------------------------------------------------------------------------------------------------------------------------------ 2 CHECK THE BOX IF A MEMBER OF A GROUP* (A) X (B) - ------------------------------------------------------------------------------------------------------------------------------------ 3 SEC USE ONLY - ------------------------------------------------------------------------------------------------------------------------------------ 4 CITIZENSHIP OR PLACE OF ORGANIZATION TA IX L.P. Delaware TA/Advent VIII L.P. Delaware Advent Atlantic and Pacific III L.P. Delaware TA/Atlantic and Pacific IV L.P. Delaware TA Executives Fund LLC Delaware TA Investors LLC Delaware - ------------------------------------------------------------------------------------------------------------------------------------ 5 SOLE VOTING POWER NUMBER OF TA IX L.P. 24,766,979 TA/Advent VIII L.P. 8,887,320 Advent Atlantic and Pacific III L.P. 1,530,927 TA/Atlantic and Pacific IV L.P. 6,023,607 TA Executives Fund LLC 278,967 SHARES TA Investors LLC 673,084 ------------------------------------------------------------------------------------------------------------------- 6 SHARED VOTING POWER BENEFICIALLY N/A OWNED BY ------------------------------------------------------------------------------------------------------------------- 7 SOLE DISPOSITIVE POWER EACH TA IX L.P. 24,766,979 TA/Advent VIII L.P. 8,887,320 Advent Atlantic and Pacific III L.P. 1,530,927 REPORTING TA/Atlantic and Pacific IV L.P. 6,023,607 TA Executives Fund LLC 278,967 TA Investors LLC 673,084 ------------------------------------------------------------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER WITH N/A - ------------------------------------------------------------------------------------------------------------------------------------ 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON TA IX L.P. 24,766,979 TA/Advent VIII L.P. 8,887,320 Advent Atlantic and Pacific III L.P. 1,530,927 TA/Atlantic and Pacific IV L.P. 6,023,607 TA Executives Fund LLC 278,967 TA Investors LLC 673,084 - ------------------------------------------------------------------------------------------------------------------------------------ 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - ------------------------------------------------------------------------------------------------------------------------------------ 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 TA IX L.P. 5.76% TA/Advent VIII L.P. 2.07% Advent Atlantic and Pacific III L.P. 0.36% TA/Atlantic and Pacific IV L.P. 1.40% TA Executives Fund LLC 0.29% TA Investors LLC 0.31% - ------------------------------------------------------------------------------------------------------------------------------------ 12 TYPE OF REPORTING PERSON Four Limited Partnerships Two Limited Liability Companies - ------------------------------------------------------------------------------------------------------------------------------------
Page 3 ITEM 1 (A) NAME OF ISSUER: Ameritrade Holding Company, Inc. . ITEM 1 (B) ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: 4211 South 102nd Street Omaha, NE 68127 ITEM 2 (A) NAME OF PERSON FILING: TA IX L.P. TA/Advent VIII L.P Advent Atlantic and Pacific III L.P. TA/Atlantic and Pacific IV L.P. TA Executives Fund LLC TA Investors LLC ITEM 2 (B) ADDRESS OF PRINCIPAL BUSINESS OFFICE: c/o TA Associates 125 High Street, Suite 2500 Boston, MA 02110 ITEM 2 (C) CITIZENSHIP: Not Applicable ITEM 2 (D) TITLE AND CLASS OF SECURITIES: Common ITEM 2 (E) CUSIP NUMBER: 03074K 10 0 ITEM 3 IF THIS STATEMENT IS FILED PURSUANT TO RULES 13D-1 (B) OR 13D-2 (B), CHECK WHETHER THE PERSON FILING IS A: Not Applicable ITEM 4 OWNERSHIP
ITEM 4 (A) AMOUNT BENEFICIALLY OWNED: COMMON STOCK ------------ TA IX L.P. 24,766,979 TA/Advent VIII L.P 8,887,320 Advent Atlantic and Pacific III L.P. 1,530,927 TA/Atlantic and Pacific IV L.P. 6,023,607 TA Executives Fund LLC 278,967 TA Investors LLC 673,084
ITEM 4 (B) PERCENT OF CLASS PERCENTAGE ---------- TA IX L.P. 5.76% TA/Advent VIII L.P 2.07% Advent Atlantic and Pacific III L.P. 0.36% TA/Atlantic and Pacific IV L.P. 1.40% TA Executives Fund LLC 0.29% TA Investors LLC 0.31%
ITEM 4 (C) NUMBER OF SHARES AS TO WHICH SUCH PERSON HAS:
(I) SOLE POWER TO VOTE OR DIRECT THE VOTE: COMMON STOCK ------------ TA IX L.P. 24,766,979 TA/Advent VIII L.P 8,887,320 Advent Atlantic and Pacific III L.P. 1,530,927 TA/Atlantic and Pacific IV L.P. 6,023,607 TA Executives Fund LLC 278,967 TA Investors LLC 673,084
(II) SHARED POWER TO VOTE OR DIRECT THE VOTE: N/A
(III) SOLE POWER TO DISPOSE OR DIRECT THE DISPOSITION: COMMON STOCK ------------ TA IX L.P. 24,766,979 TA/Advent VIII L.P 8,887,320 Advent Atlantic and Pacific III L.P. 1,530,927 TA/Atlantic and Pacific IV L.P. 6,023,607 TA Executives Fund LLC 278,967 TA Investors LLC 673,084
(IV) SHARED POWER TO DISPOSE OR DIRECT THE DISPOSITION N/A PAGE 4 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 THAT ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY: Not Applicable ITEM 8 IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP: This schedule 13G is filed pursuant to Rule 13d-1 (d). For the agreement of the TA group members to a joint filing, see below. The TA Associates group of funds is party to a Stockholders Agreement, dated as of April 6, 2002, between the Issuer, entities affiliated with J. Joe Ricketts, entities affiliated with Bain Capital, and entities affiliated with Silver Lake Partners, L.P. An exhibit listing each party to the Stockholders Agreement is attached hereto. The Stockholders Agreement requires the parties to vote their Common Stock for directors that are designated in accordance with the provisions of the Stockholders Agreement. The Stockholders Agreement restricts the parties from selling Common Stock in some negotiated transactions unless the seller offers each other party an opportunity to participate in the sale. In addition, the Stockholders Agreement restricts the parties from voting their shares of Common Stock in favor of or against certain sale of the company transactions that are not approved by the requisite directors. The aggregate number of shares of Common Stock owned by the parties to the Stockholders Agreement, based on information provided to TA Associates by the other parties to the Stockholders Agreement, is 235,810,178 shares. The share ownership for TA Associates does not include any shares owned by the other parties to the Stockholders Agreement. TA Associates disclaims beneficial ownership of any shares of Common Stock owned by the other parties to the Stockholders Agreement. ITEM 9 NOTICE OF DISSOLUTION OF GROUP: Not Applicable ITEM 10 CERTIFICATION: Not Applicable 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. AGREEMENT FOR JOINT FILING TA IX L.P., TA/Advent VIII L.P., Advent Atlantic and Pacific III L.P., TA/Atlantic and Pacific IV L.P., TA Executives Fund LLC and TA Investors LLC, hereby agree that TA Associates shall file with the Securities and Exchange Commission a joint schedule 13G on behalf of the above-named parties concerning their beneficial ownership of Ameritrade Holding Company, Inc. Dated: TA IX L.P. By: TA Associates IX LLC., its General Partner By: TA Associates, Inc. its Manager By: /s/Thomas P. Alber --------------------------------------------------------- Thomas P. Alber, Chief Financial Officer TA/ADVENT VIII L.P. By: TA Associates VIII LLC, its General Partner By: TA Associates, Inc. its Manager By: /s/Thomas P. Alber --------------------------------------------------------- Thomas P. Alber, Chief Financial Officer ADVENT ATLANTIC AND PACIFIC III L.P. By: TA Associates AAP III Partners L.P., its General Partner By: TA Associates, Inc. its General Partner By: /s/Thomas P. Alber --------------------------------------------------------- Thomas P. Alber, Chief Financial Officer TA/ATLANTIC AND PACIFIC IV L.P. By: TA Associates AP IV L.P., its General Partner By: TA Associates, Inc. its General Partner By: /s/Thomas P. Alber --------------------------------------------------------- Thomas P. Alber, Chief Financial Officer TA EXECUTIVES FUND LLC By : TA Associates, Inc., its Manager By: /s/Thomas P. Alber --------------------------------------------------------- Thomas P. Alber, Chief Financial Officer TA INVESTORS LLC By : TA Associates, Inc., its Manager By: /s/Thomas P. Alber --------------------------------------------------------- Thomas P. Alber, Chief Financial Officer Parties to the Stockholders Agreement 1. Ameritrade Holding Corporation 2. Bain Capital Fund VII, L.P. 3. Bain Capital VII Coinvestment Fund, L.P. 4. BCI Datek Investors, LLC 5. BCIP Associates II 6. BCIP Associates II-B 7. BCIP Trust Associates II 8. BCIP Trust Associates II-B 9. Silver Lake Partners, L.P. 10. Silver Lake Investors, L.P. 11. Silver Lake Technology Investors, L.L.C. 12. TA/Advent VIII, L.P. 13. TA Executives Fund, LLC 14. TA Investors, LLC 15. TA Atlantic & Pacific IV, L.P. 16. TA IX, L.P. 17. Advent Atlantic & Pacific III, L.P. 18. J. Joe Ricketts 19. Marlene M. Ricketts 20. Marlene M. Ricketts 1994 Dynasty Trust 21. J. Joe Ricketts 1994 Dynasty Trust 22. Ricketts Grandchildren Trust -----END PRIVACY-ENHANCED MESSAGE-----