-----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, Ry6aCCKPO5RD9t8Ox4FI/qFJgzl6tB9yMHzt0fHOnmzjWC/GQHZjyre9AkJfN4uJ KyVDOidI610X+J9pQiiW8Q== 0000912057-02-030460.txt : 20020808 0000912057-02-030460.hdr.sgml : 20020808 20020808130601 ACCESSION NUMBER: 0000912057-02-030460 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20020808 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ASPEN TECHNOLOGY INC /DE/ CENTRAL INDEX KEY: 0000929940 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMPUTER PROGRAMMING SERVICES [7371] IRS NUMBER: 042739697 STATE OF INCORPORATION: DE FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-47526 FILM NUMBER: 02722646 BUSINESS ADDRESS: STREET 1: TEN CANAL PARK CITY: CAMBRIDGE STATE: MA ZIP: 02141 BUSINESS PHONE: 6179491000 MAIL ADDRESS: STREET 1: TEN CANAL PARK CITY: CAMBRIDGE STATE: MA ZIP: 02141 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: TCW GROUP INC CENTRAL INDEX KEY: 0000850401 STANDARD INDUSTRIAL CLASSIFICATION: REAL ESTATE INVESTMENT TRUSTS [6798] FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 865 SOUTH FIGUEROA ST CITY: LOS ANGELES STATE: CA ZIP: 90017 MAIL ADDRESS: STREET 1: 865 SOUTH FIGUEROA STREET STREET 2: 865 SOUTH FIGUEROA STREET CITY: LOS ANGELES STATE: CA ZIP: 90017 SC 13G/A 1 a2086420zsc13ga.htm SC 13G/A
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SECURITIES AND EXCHANGE COMMISSION
Washington, DC 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 RULE 13d-2(b)
(Amendment No. 1)1


 

 

Aspen Technology, Inc.
(Name of Issuer)

 

 

 

 

 

 

 
    Common Stock
(Title of Class of Securities)
   

 

 

 

 

 
    045327103
(CUSIP Number)
   

 

 

 

 

 
    07/31/2002
(Date of Event Which Requires Filing of this Statement)
   

 

 

 

 

 

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

    ý
    Rule 13d-1(b)

    o
    Rule 13d-1(c)

    o
    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. 045327103   13G   Page 2 of 7 Pages

     

(1)   NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
   

 

 

The TCW Group, Inc., on behalf of the TCW Business Unit

 

 

(2)   CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*    
        (a)  o
        (b)  ý

(3)   SEC USE ONLY    

 

 

 

 

 

(4)   CITIZENSHIP OR PLACE OF ORGANIZATION    

 

 

Nevada Corporation

 

 

    (5)   SOLE VOTING POWER
NUMBER OF       -0-
SHARES  
BENEFICIALLY   (6)   SHARED VOTING POWER
OWNED       5,590,852
BY  
EACH   (7)   SOLE DISPOSITIVE POWER
REPORTING       -0-
PERSON  
WITH   (8)   SHARED DISPOSITIVE POWER
        5,590,852

(9)   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON    

 

 

5,590,852

 

 

(10)   CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*    

 

 

 

 

o

(11)   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)    

 

 

15.8% (see response to Item 4)

 

 

(12)   TYPE OF REPORTING PERSON*    

 

 

HC/CO

 

 


*SEE INSTRUCTIONS BEFORE FILLING OUT

 

 

 

 

 

        Page 3 of 7 Pages

 

 

 

 

 
Item 1(a). Name of Issuer:

 

Aspen Technology

Item 1(b).

Address of Issuer's Principal Executive Offices:

 

Ten Canal Park
Cambridge, MA 02141

Item 2(a).

Name of Persons Filing:
Item 2(b). Address of Principal Business Office, or if None, Residence:
Item 2(c). Citizenship:

 

The TCW Group, Inc., on behalf of the TCW Business Unit
865 South Figueroa Street
Los Angeles, CA 90017
(Nevada Corporation)

Item 2(d).

Title of Class of Securities:

 

Common Stock

Item 2(e).

CUSIP Number:

 

045327103

 

 

        Page 4 of 7 Pages

 

 

 

 

 
Item 3. If This Statement Is Filed Pursuant to §§240.13d-1(b), or 240.13d-2(b) or (c), Check Whether the Person Filing is a:

 

(a)

o

Broker or dealer registered under Section 15 of the Exchange Act (15 U.S.C. 78o).
  (b) o Bank as defined in Section 3(a)(6) of the Act (15 U.S.C. 78c).
  (c) o Insurance company as defined in Section 3(a)(19) of the Exchange Act (15 U.S.C. 78c).
  (d) o Investment company registered under Section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8).
  (e) o An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E).
  (f) o An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F).
  (g) ý A parent holding company or control person in accordance with §240.13d-1(b)(1)(ii)(G).

 

 

 

(
see Item 7)
The TCW Group, Inc., on behalf of the TCW Business Unit

 

(h)

o

A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
  (i) o 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) o Group, in accordance with §240.13d-1(b)(1)(ii)(J).

 

If this statement is filed pursuant to Rule 13d-1(c), check this box. o

 

 

 

 

        Page 5 of 7 Pages

Item 4.Ownership**

    The TCW Group, Inc., on behalf of the Business Unit ***

    (a)
    Amount beneficially owned: 5,590,852****

    (b)
    Percent of class: 15.8%

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

    (i)
    Sole power to vote or to direct the vote: none.

    (ii)
    Shared power to vote or to direct the vote: 5,590,852

    (iii)
    Sole power to dispose or to direct the disposition of: none.

    (iv)
    Shared power to dispose or to direct the disposition of: 5,590,852

**
The filing of this Schedule 13G shall not be construed as an admission that the reporting person or any of its affiliates is, for the purposes of Section 13(d) or 13(g) of the Securities Exchange Act of 1934, the beneficial owner of any securities covered by this Schedule 13G. In addition, the filing of this Schedule 13G shall not be construed as an admission that the reporting person or any of its affiliates is the beneficial owner of any securities covered by this Schedule 13G for any other purposes than Section 13(d) of the Securities Exchange Act of 1934.

***
See Exhibit A

****
Includes 944 shares that would be derived from the conversion of $50,000 face amount of 5.25% Convertible Bonds maturing June 15, 2005, held indirectly by the reporting persons.

        Page 6 of 7 Pages

 

 

 

 

 
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 o.

Item 6.

Ownership of More than Five Percent on Behalf of Another Person.

 

Various persons other than as described in Item 4 have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, the Common Stock of Aspen Technology, Inc.

Item 7.

Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company.

 

See Exhibit A.

Item 8.

Identification and Classification of Members of the Group.

 

Not applicable.
See Exhibit A.

Item 9.

Notice of Dissolution of Group.

 

Not applicable.

Item 10.

Certification.

 

Because this statement is filed pursuant to Rule 13d-1(b), the following certification is included:

 

By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired 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.

 

 

        Page 7 of 7 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.

Dated this 7th day of August, 2002.   THE TCW GROUP, INC., on behalf of the
TCW BUSINESS UNIT

 

 

 

 
    By: /s/  LINDA D. BARKER      
Linda D. Barker
Authorized Signatory

 

 

 

 



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SCHEDULE 13G
SIGNATURE
EX-99.(A) 3 a2086420zex-99_a.htm EXHIBIT 99(A)
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EXHIBIT 99(A)

EXHIBIT A

RELEVANT SUBSIDIARIES OF PARENT HOLDING COMPANY

PART A: TCW Entities

Parent Holding Company:

        The TCW Group, Inc.

Relevant Subsidiaries that are persons described in Rule 13d-1(b):

    (i)
    Trust Company of the West, a California corporation and a bank as defined in Section 3(a)(6) of the Securities Exchange Act of 1934.

    (ii)
    TCW Asset Management Company, a California corporation and an Investment Adviser registered under Section 203 of the Investment Advisers Act of 1940.

    (iii)
    TCW Investment Management Company, a California corporation and an Investment Adviser registered under Section 203 of the Investment Advisers Act of 1940.

This Schedule 13G is being filed by the TCW Group, Inc., a Nevada corporation ("TCW"), on behalf of itself and its direct and indirect subsidiaries, which collectively constitute The TCW Group, Inc. business unit (the "TCW Business Unit" or the "Reporting Person"). The TCW Business Unit is primarily engaged in the provision of investment management services.

As of July 6, 2001, the ultimate parent company of TCW is Société Générale, S.A., a corporation formed under the laws of France ("SG"). The principal business of SG is acting as a holding company for a global financial services group, which includes certain distinct specialized business units that are independently operated, including the TCW Business Unit.

SG, for purpose of the federal securities laws, may be deemed ultimately to control TCW and the TCW Business Unit. SG, its executive officers and directors, and its direct and indirect subsidiaries (including all business units except the TCW Business Unit), may beneficially own shares of the securities of the issuer to which this schedule relates (the "Shares") and such shares are not reported in this statement. In accordance with Securities and Exchange Commission ("SEC") Release No. 34-39538 (January 12, 1998), and due to the separate management and independent operation of its business units, SG disclaims beneficial ownership of Shares beneficially owned by the Reporting Person. The Reporting Person disclaims beneficial ownership of Shares beneficially owned by SG and any of SG's other business units.




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EXHIBIT A RELEVANT SUBSIDIARIES OF PARENT HOLDING COMPANY
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