-----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, PUeZMiroYsV5s9Ms/WbUC9DK1HTyx/7nP34m6SUC4CcA0w3tZLej6ic5iWyPerec Lxo4KzKZCV9Bqhc1Wiut4g== 0001047469-02-006052.txt : 20021206 0001047469-02-006052.hdr.sgml : 20021206 20021206163524 ACCESSION NUMBER: 0001047469-02-006052 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20021206 GROUP MEMBERS: ARAGON INVESTMENTS, LTD. GROUP MEMBERS: CITADEL EDISON FUND L.P. GROUP MEMBERS: CITADEL EDISON FUND LTD. GROUP MEMBERS: CITADEL EDISON INVESTMENTS LTD. GROUP MEMBERS: CITADEL EQUITY FUND LTD. GROUP MEMBERS: CITADEL INVESTMENT GROUP, L.L.C. GROUP MEMBERS: GLB PARTNERS,L.P. GROUP MEMBERS: KENNETH GRIFFIN GROUP MEMBERS: KENSINGTON GLOBAL STRATEGIES FUND, LTD. GROUP MEMBERS: WELLINGTON PARTNERS LIMITED PARTNERSHIP FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: CITADEL L P CENTRAL INDEX KEY: 0001027745 IRS NUMBER: 364111741 STATE OF INCORPORATION: IL FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 225 WEST WASHINGTON 9TH FLOOR STREET 2: 312-696-2121 CITY: CHICAGO STATE: IL ZIP: 60606 BUSINESS PHONE: 3126962100 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 SEC ACT: 1934 Act SEC FILE NUMBER: 005-47526 FILM NUMBER: 02851242 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 SC 13G 1 a2095573zsc13g.htm SC 13G
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

SCHEDULE 13G
(Rule 13d-102)

Information Statement Pursuant to Rules 13d-1 and 13d-2
Under the Securities Exchange Act of 1934
(Amendment No.    )*

Aspen Technology, Inc.

(Name of Issuer)

Common Stock

(Title of Class of Securities)

 

 

045327103

 

 
   
(CUSIP Number)
   

November 26, 2002

Date of Event Which Requires Filing of the Statement

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

        o      Rule 13d-1(b)

        ý      Rule 13d-1(c)

        o      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 disclosures provided in a prior cover page.

        The information required on 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).


Cusip No. 045327103

             

1.   NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON

 

 

Citadel Limited Partnership

 

 

 

 

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

 

 

 

 

 

 

 

3.   SEC USE ONLY

 

 

 

 

 

 

 

4.   CITIZENSHIP OR PLACE OF ORGANIZATION

 

 

Illinois limited partnership
U.S.A.

 

 

 

 

NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH   5.   SOLE VOTING POWER

 

 

 

 

 

 

0
       
        6.   SHARED VOTING POWER

 

 

 

 

 

 

2,012,138 shares of Common Stock

 

 

 

 

 

 

$2,300,000 in principal amount of the Company's 5.25% Convertible Subordinated Debentures (convertible into 43,422 shares of Common Stock)1

 

 

 

 

 

 

Warrants to purchase 45,000 shares of Common Stock1
       
        7.   SOLE DISPOSITIVE POWER

 

 

 

 

 

 

0
       
        8.   SHARED DISPOSITIVE POWER

 

 

 

 

 

 

See Row 6 above.

9.   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

 

See Row 6 above.

 

 

 

 

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

 

 

 

 

 

 

 

11.   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

 

Approximately 5.5% as of the date of this filing. (Based on 38,345,189 shares of Common Stock issued and outstanding as of November 8, 2002, plus the shares of Common Stock issuable upon the conversion of the Convertible Subordinated Debentures and the exercise of the Warrants referred to in Row 6 above.)

12.   TYPE OF REPORTING PERSON*

 

 

PN; HC

 

 

 

 

1.
See Footnote 1 in item 4.

Page 2 of 19


    Cusip No. 045327103

             

1.   NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON

 

 

GLB Partners, L.P.

 

 

 

 

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

 

 

 

 

 

 

 

3.   SEC USE ONLY

 

 

 

 

 

 

 

4.   CITIZENSHIP OR PLACE OF ORGANIZATION

 

 

Delaware limited partnership
U.S.A.

 

 

 

 

NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH   5.   SOLE VOTING POWER

 

 

 

 

 

 

0
       
        6.   SHARED VOTING POWER

 

 

 

 

 

 

2,012,138 shares of Common Stock

 

 

 

 

 

 

$2,300,000 in principal amount of the Company's 5.25% Convertible Subordinated Debentures (convertible into 43,422 shares of Common Stock)1

 

 

 

 

 

 

Warrants to purchase 45,000 shares of Common Stock1
       
        7.   SOLE DISPOSITIVE POWER

 

 

 

 

 

 

0
       
        8.   SHARED DISPOSITIVE POWER

 

 

 

 

 

 

See Row 6 above.

9.   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

 

See Row 6 above.

 

 

 

 

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

 

 

 

 

 

 

 

11.   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

 

Approximately 5.5% as of the date of this filing. (Based on 38,345,189 shares of Common Stock issued and outstanding as of November 8, 2002, plus the shares of Common Stock issuable upon the conversion of the Convertible Subordinated Debentures and the exercise of the Warrants referred to in Row 6 above.)

12.   TYPE OF REPORTING PERSON*

 

 

PN; HC

 

 

 

 

1.
See Footnote 1 in item 4.

Page 3 of 19


Cusip No. 045327103

             

1.   NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON

 

 

Citadel Investment Group, L.L.C.

 

 

 

 

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

 

 

 

 

 

 

 

3.   SEC USE ONLY

 

 

 

 

 

 

 

4.   CITIZENSHIP OR PLACE OF ORGANIZATION

 

 

Delaware limited liability company
U.S.A.

 

 

 

 

NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH   5.   SOLE VOTING POWER

 

 

 

 

 

 

0
       
        6.   SHARED VOTING POWER

 

 

 

 

 

 

2,012,138 shares of Common Stock

 

 

 

 

 

 

$2,300,000 in principal amount of the Company's 5.25% Convertible Subordinated Debentures (convertible into 43,422 shares of Common Stock)1

 

 

 

 

 

 

Warrants to purchase 45,000 shares of Common Stock1
       
        7.   SOLE DISPOSITIVE POWER

 

 

 

 

 

 

0
       
        8.   SHARED DISPOSITIVE POWER

 

 

 

 

 

 

See Row 6 above.

9.   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

 

See Row 6 above.

 

 

 

 

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

 

 

 

 

 

 

 

11.   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

 

Approximately 5.5% as of the date of this filing. (Based on 38,345,189 shares of Common Stock issued and outstanding as of November 8, 2002, plus the shares of Common Stock issuable upon the conversion of the Convertible Subordinated Debentures and the exercise of the Warrants referred to in Row 6 above.)

12.   TYPE OF REPORTING PERSON*

 

 

OO; HC

 

 

 

 

1.
See Footnote 1 in item 4.

Page 4 of 19


    Cusip No. 045327103

             

1.   NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON

 

 

Kenneth Griffin

 

 

 

 

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

 

 

 

 

 

 

 

3.   SEC USE ONLY

 

 

 

 

 

 

 

4.   CITIZENSHIP OR PLACE OF ORGANIZATION

 

 

U.S. Citizen
U.S.A.

 

 

 

 

NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH   5.   SOLE VOTING POWER

 

 

 

 

 

 

0
       
        6.   SHARED VOTING POWER

 

 

 

 

 

 

2,012,138 shares of Common Stock

 

 

 

 

 

 

$2,300,000 in principal amount of the Company's 5.25% Convertible Subordinated Debentures (convertible into 43,422 shares of Common Stock)1

 

 

 

 

 

 

Warrants to purchase 45,000 shares of Common Stock1
       
        7.   SOLE DISPOSITIVE POWER

 

 

 

 

 

 

0
       
        8.   SHARED DISPOSITIVE POWER

 

 

 

 

 

 

See Row 6 above.

9.   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

 

See Row 6 above.

 

 

 

 

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

 

 

 

 

 

 

 

11.   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

 

Approximately 5.5% as of the date of this filing. (Based on 38,345,189 shares of Common Stock issued and outstanding as of November 8, 2002, plus the shares of Common Stock issuable upon the conversion of the Convertible Subordinated Debentures and the exercise of the Warrants referred to in Row 6 above.)

12.   TYPE OF REPORTING PERSON*

 

 

IN

 

 

 

 

1.
See Footnote 1 in item 4.

Page 5 of 19


Cusip No. 045327103

             

1.   NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON

 

 

Wellington Partners Limited Partnership

 

 

 

 

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

 

 

 

 

 

 

 

3.   SEC USE ONLY

 

 

 

 

 

 

 

4.   CITIZENSHIP OR PLACE OF ORGANIZATION

 

 

Illinois limited partnership
U.S.A.

 

 

 

 

NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH   5.   SOLE VOTING POWER

 

 

 

 

 

 

0
       
        6.   SHARED VOTING POWER

 

 

 

 

 

 

2,012,138 shares of Common Stock

 

 

 

 

 

 

$2,300,000 in principal amount of the Company's 5.25% Convertible Subordinated Debentures (convertible into 43,422 shares of Common Stock)1

 

 

 

 

 

 

Warrants to purchase 45,000 shares of Common Stock1
       
        7.   SOLE DISPOSITIVE POWER

 

 

 

 

 

 

0
       
        8.   SHARED DISPOSITIVE POWER

 

 

 

 

 

 

See Row 6 above.

9.   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

 

See Row 6 above.

 

 

 

 

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

 

 

 

 

 

 

 

11.   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

 

Approximately 5.5% as of the date of this filing. (Based on 38,345,189 shares of Common Stock issued and outstanding as of November 8, 2002, plus the shares of Common Stock issuable upon the conversion of the Convertible Subordinated Debentures and the exercise of the Warrants referred to in Row 6 above.)

12.   TYPE OF REPORTING PERSON*

 

 

PN; HC

 

 

 

 

1.
See Footnote 1 in item 4.

Page 6 of 19


    Cusip No. 045327103

             

1.   NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON

 

 

Citadel Edison Fund L.P.

 

 

 

 

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

 

 

 

 

 

 

 

3.   SEC USE ONLY

 

 

 

 

 

 

 

4.   CITIZENSHIP OR PLACE OF ORGANIZATION

 

 

Delaware limited partnership

 

 

 

 

NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH   5.   SOLE VOTING POWER

 

 

 

 

 

 

0
       
        6.   SHARED VOTING POWER

 

 

 

 

 

 

2,012,138 shares of Common Stock

 

 

 

 

 

 

$2,300,000 in principal amount of the Company's 5.25% Convertible Subordinated Debentures (convertible into 43,422 shares of Common Stock)1

 

 

 

 

 

 

Warrants to purchase 45,000 shares of Common Stock1
       
        7.   SOLE DISPOSITIVE POWER

 

 

 

 

 

 

0
       
        8.   SHARED DISPOSITIVE POWER

 

 

 

 

 

 

See Row 6 above.

9.   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

 

See Row 6 above.

 

 

 

 

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

 

 

 

 

 

 

 

11.   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

 

Approximately 5.5% as of the date of this filing. (Based on 38,345,189 shares of Common Stock issued and outstanding as of November 8, 2002, plus the shares of Common Stock issuable upon the conversion of the Convertible Subordinated Debentures and the exercise of the Warrants referred to in Row 6 above.)

12.   TYPE OF REPORTING PERSON*

 

 

PN; HC

 

 

 

 

1.
See Footnote 1 in item 4.

Page 7 of 19


Cusip No. 045327103

             

1.   NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON

 

 

Kensington Global Strategies Fund, Ltd.

 

 

 

 

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

 

 

 

 

 

 

 

3.   SEC USE ONLY

 

 

 

 

 

 

 

4.   CITIZENSHIP OR PLACE OF ORGANIZATION

 

 

Bermuda company

 

 

 

 

NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH   5.   SOLE VOTING POWER

 

 

 

 

 

 

0
       
        6.   SHARED VOTING POWER

 

 

 

 

 

 

2,012,138 shares of Common Stock

 

 

 

 

 

 

$2,300,000 in principal amount of the Company's 5.25% Convertible Subordinated Debentures (convertible into 43,422 shares of Common Stock)1

 

 

 

 

 

 

Warrants to purchase 45,000 shares of Common Stock1
       
        7.   SOLE DISPOSITIVE POWER

 

 

 

 

 

 

0
       
        8.   SHARED DISPOSITIVE POWER

 

 

 

 

 

 

See Row 6 above.

9.   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

 

See Row 6 above.

 

 

 

 

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

 

 

 

 

 

 

 

11.   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

 

Approximately 5.5% as of the date of this filing. (Based on 38,345,189 shares of Common Stock issued and outstanding as of November 8, 2002, plus the shares of Common Stock issuable upon the conversion of the Convertible Subordinated Debentures and the exercise of the Warrants referred to in Row 6 above.)

12.   TYPE OF REPORTING PERSON*

 

 

CO; HC

 

 

 

 

1.
See Footnote 1 in item 4.

Page 8 of 19


    Cusip No. 045327103

             

1.   NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON

 

 

Citadel Edison Fund Ltd.

 

 

 

 

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

 

 

 

 

 

 

 

3.   SEC USE ONLY

 

 

 

 

 

 

 

4.   CITIZENSHIP OR PLACE OF ORGANIZATION

 

 

Cayman Islands company

 

 

 

 

NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH   5.   SOLE VOTING POWER

 

 

 

 

 

 

0
       
        6.   SHARED VOTING POWER

 

 

 

 

 

 

2,012,138 shares of Common Stock

 

 

 

 

 

 

$2,300,000 in principal amount of the Company's 5.25% Convertible Subordinated Debentures (convertible into 43,422 shares of Common Stock)1

 

 

 

 

 

 

Warrants to purchase 45,000 shares of Common Stock1
       
        7.   SOLE DISPOSITIVE POWER

 

 

 

 

 

 

0
       
        8.   SHARED DISPOSITIVE POWER

 

 

 

 

 

 

See Row 6 above.

9.   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

 

See Row 6 above.

 

 

 

 

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

 

 

 

 

 

 

 

11.   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

 

Approximately 5.5% as of the date of this filing. (Based on 38,345,189 shares of Common Stock issued and outstanding as of November 8, 2002, plus the shares of Common Stock issuable upon the conversion of the Convertible Subordinated Debentures and the exercise of the Warrants referred to in Row 6 above.)

12.   TYPE OF REPORTING PERSON*

 

 

CO; HC

 

 

 

 

1.
See Footnote 1 in item 4.

Page 9 of 19


Cusip No. 045327103

             

1.   NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON

 

 

Citadel Equity Fund Ltd.

 

 

 

 

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

 

 

 

 

 

 

 

3.   SEC USE ONLY

 

 

 

 

 

 

 

4.   CITIZENSHIP OR PLACE OF ORGANIZATION

 

 

Cayman Islands company

 

 

 

 

NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH   5.   SOLE VOTING POWER

 

 

 

 

 

 

0
       
        6.   SHARED VOTING POWER

 

 

 

 

 

 

2,012,138 shares of Common Stock

 

 

 

 

 

 

$2,300,000 in principal amount of the Company's 5.25% Convertible Subordinated Debentures (convertible into 43,422 shares of Common Stock)1

 

 

 

 

 

 

Warrants to purchase 45,000 shares of Common Stock1
       
        7.   SOLE DISPOSITIVE POWER

 

 

 

 

 

 

0
       
        8.   SHARED DISPOSITIVE POWER

 

 

 

 

 

 

See Row 6 above.

9.   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

 

See Row 6 above.

 

 

 

 

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

 

 

 

 

 

 

 

11.   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

 

Approximately 5.5% as of the date of this filing. (Based on 38,345,189 shares of Common Stock issued and outstanding as of November 8, 2002, plus the shares of Common Stock issuable upon the conversion of the Convertible Subordinated Debentures and the exercise of the Warrants referred to in Row 6 above.)

12.   TYPE OF REPORTING PERSON*

 

 

CO

 

 

 

 

1.
See Footnote 1 in item 4.

Page 10 of 19


    Cusip No. 045327103

             

1.   NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON

 

 

Citadel Edison Investments Ltd.

 

 

 

 

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

 

 

 

 

 

 

 

3.   SEC USE ONLY

 

 

 

 

 

 

 

4.   CITIZENSHIP OR PLACE OF ORGANIZATION

 

 

Cayman Islands company

 

 

 

 

NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH   5.   SOLE VOTING POWER

 

 

 

 

 

 

0
       
        6.   SHARED VOTING POWER

 

 

 

 

 

 

2,012,138 shares of Common Stock

 

 

 

 

 

 

$2,300,000 in principal amount of the Company's 5.25% Convertible Subordinated Debentures (convertible into 43,422 shares of Common Stock)1

 

 

 

 

 

 

Warrants to purchase 45,000 shares of Common Stock1
       
        7.   SOLE DISPOSITIVE POWER

 

 

 

 

 

 

0
       
        8.   SHARED DISPOSITIVE POWER

 

 

 

 

 

 

See Row 6 above.

9.   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

 

See Row 6 above.

 

 

 

 

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

 

 

 

 

 

 

 

11.   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

 

Approximately 5.5% as of the date of this filing. (Based on 38,345,189 shares of Common Stock issued and outstanding as of November 8, 2002, plus the shares of Common Stock issuable upon the conversion of the Convertible Subordinated Debentures and the exercise of the Warrants referred to in Row 6 above.)

12.   TYPE OF REPORTING PERSON*

 

 

CO

 

 

 

 

1.
See Footnote 1 in item 4.

Page 11 of 19


    Cusip No. 045327103

             

1.   NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON

 

 

Aragon Investments, Ltd.

 

 

 

 

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

 

 

 

 

 

 

 

3.   SEC USE ONLY

 

 

 

 

 

 

 

4.   CITIZENSHIP OR PLACE OF ORGANIZATION

 

 

Bermuda company

 

 

 

 

NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH   5.   SOLE VOTING POWER

 

 

 

 

 

 

0
       
        6.   SHARED VOTING POWER

 

 

 

 

 

 

2,012,138 shares of Common Stock

 

 

 

 

 

 

$2,300,000 in principal amount of the Company's 5.25% Convertible Subordinated Debentures (convertible into 43,422 shares of Common Stock)1

 

 

 

 

 

 

Warrants to purchase 45,000 shares of Common Stock1
       
        7.   SOLE DISPOSITIVE POWER

 

 

 

 

 

 

0
       
        8.   SHARED DISPOSITIVE POWER

 

 

 

 

 

 

See Row 6 above.

9.   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

 

See Row 6 above.

 

 

 

 

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

 

 

 

 

 

 

 

11.   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

 

Approximately 5.5% as of the date of this filing. (Based on 38,345,189 shares of Common Stock issued and outstanding as of November 8, 2002, plus the shares of Common Stock issuable upon the conversion of the Convertible Subordinated Debentures and the exercise of the Warrants referred to in Row 6 above.)

12.   TYPE OF REPORTING PERSON*

 

 

CO

 

 

 

 

1.
See Footnote 1 in item 4.

Page 12 of 19


Item
1(a)   Name of Issuer: ASPEN TECHNOLOGY, INC.

1(b)
Address of Issuer's Principal Executive Offices:

        Ten Canal Park
        Cambridge, MA 02141

Item
2(a)   Name of Person Filing

Item
2(b)   Address of Principal Business Office

Item
2(c)   Citizenship

        Citadel Limited Partnership
        225 W. Washington
        9th Floor
        Chicago, Illinois 60606
        Illinois limited partnership

        GLB Partners, L.P.
        225 W. Washington
        9th Floor
        Chicago, Illinois 60606
        Delaware limited partnership

        Citadel Investment Group, L.L.C.
        225 W. Washington
        9th Floor
        Chicago, Illinois 60606
        Delaware limited liability company

        Kenneth Griffin
        225 W. Washington
        9th Floor
        Chicago, Illinois 60606
        U.S. Citizen

        Wellington Partners Limited Partnership
        c/o Citadel Investment Group, L.L.C.
        225 W. Washington
        9th Floor
        Chicago, Illinois 60606
        Illinois limited partnership

        Citadel Edison Fund L.P.
        c/o Citadel Investment Group, L.L.C.
        225 W. Washington
        9th Floor
        Chicago, Illinois 60606
        Delaware limited partnership

        Kensington Global Strategies Fund, Ltd.
        c/o Citadel Investment Group, L.L.C.
        225 W. Washington
        9th Floor
        Chicago, Illinois 60606
        Bermuda company

Page 13 of 19



        Citadel Edison Fund Ltd.
        c/o Citadel Investment Group, L.L.C.
        225 W. Washington
        9th Floor
        Chicago, Illinois 60606
        Cayman Islands company

        Citadel Equity Fund Ltd.
        c/o Citadel Investment Group, L.L.C.
        225 W. Washington
        9th Floor
        Chicago, Illinois 60606
        Cayman Islands company

        Citadel Edison Investments Ltd.
        c/o Citadel Investment Group, L.L.C.
        225 W. Washington
        9th Floor
        Chicago, Illinois 60606
        Cayman Islands company

        Aragon Investments, Ltd.
        c/o Citadel Investment Group, L.L.C.
        225 W. Washington
        9th Floor
        Chicago, Illinois 60606
        Bermuda company

    2(d)
    Title of Class of Securities:

        Common Stock, par value $0.10 per share

    2(e)
    CUSIP Number: 045327103

Page 14 of 19


Item 3    If this statement is filed pursuant to Rules 13d-1(b), or 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;

 

 

(b)

 

o

 

Bank as defined in Section 3(a)(6) of the Exchange Act;

 

 

(c)

 

o

 

Insurance company as defined in Section 3(a)(19) of the Exchange Act;

 

 

(d)

 

o

 

Investment company registered under Section 8 of the Investment Company Act;

 

 

(e)

 

o

 

An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E);

 

 

(f)

 

o

 

An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F);

 

 

(g)

 

o

 

A parent holding company or control person in accordance with Rule 13d-1(b)(ii)(G);

 

 

(h)

 

o

 

A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act;

 

 

(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;

 

 

(j)

 

o

 

Group, in accordance with Rule 13d-1(b)(1)(ii)(J).

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

Item
4   Ownership:

CITADEL LIMITED PARTNERSHIP
GLB PARTNERS, L.P.
CITADEL INVESTMENT GROUP, L.L.C.
KENNETH GRIFFIN
WELLINGTON PARTNERS LIMITED PARTNERSHIP
CITADEL EDISON FUND L.P.
KENSINGTON GLOBAL STRATEGIES FUND, LTD.
CITADEL EDISON FUND LTD.
CITADEL EQUITY FUND LTD.
CITADEL EDISON INVESTMENTS LTD.
ARAGON INVESTMENTS, LTD.

    (a)
    Amount beneficially owned:

2,012,138 shares of Common Stock

$2,300,000 in principal amount of the Company's 5.25% Convertible Subordinated Debentures (convertible into 43,422 shares of Common Stock)1

Warrants to purchase 45,000 shares of Common Stock1

    (b)
    Percent of Class:

Approximately 5.5% as of the date of this filing. (Based on 38,345,189 shares of Common Stock issued and outstanding as of November 8, 2002, plus the shares of Common Stock issuable upon the conversion of the Convertible Subordinated Debentures and the exercise of the Warrants referred to in item (a) above.)1

Page 15 of 19



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

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

        0

      (ii)
      shared power to vote or to direct the vote:

        See item (a) above.

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

        0

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

        See item (a) above.

1    The securities reported herein include (i) 43,422 shares of the Company's common stock, par value $0.10 per share (the "Common Stock") that the Reporting Persons may acquire in the future through the conversion of $2.3 million aggregate principal amount of the Company's 51/4% Convertible Subordinated Debentures due June 15, 2005 (the "Debentures") which may be converted by the Reporting Persons, at any time prior to maturity, into shares of the Company's Common Stock and (ii) 45,000 shares of Common Stock that the Reporting Persons may acquire in the future through the exercise by the Reporting Persons of warrants (the "Warrants") at an exercise price equal to $15.00 and expiring May 9, 2007. The conversion rate for the Debentures is 18.8791 shares of Common Stock for each $1,000 in principal amount, subject to adjustment to prevent dilution.

Item
5   Ownership of Five Percent or Less of a Class:

        Not Applicable.

Page 16 of 19


Item
6   Ownership of More than Five Percent on Behalf of Another Person:

        Not Applicable.

Item 7    Identification and Classification of the Subsidiary which Acquired the Security Being Reported on by the
              Parent Holding Company:

        See Item 2 above.

Item
8   Identification and Classification of Members of the Group:

        Not Applicable.

Item
9   Notice of Dissolution of Group:

        Not Applicable.

Item
10   Certification:

        By signing below I certify that, to the best of my knowledge and belief, the securities referred to above 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 17 of 19



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

Dated this 6th day of December, 2002   KENNETH GRIFFIN

 

 

 

 

/s/ Adam C. Cooper

attorney-in-fact

CITADEL LIMITED PARTNERSHIP

 

CITADEL INVESTMENT GROUP, L.L.C.

By:

 

GLB Partners, L.P.,
its General Partner

 

By:

 

/s/ Adam C. Cooper

Adam C. Cooper, Senior Managing Director and General Counsel

By:

 

Citadel Investment Group, L.L.C.,
its General Partner

 

CITADEL EDISON FUND L.P.

By:

 

/s/ Adam C. Cooper

Adam C. Cooper, Senior Managing Director and General Counsel

 

By:

 

Citadel Limited Partnership,
its General Partner

GLB PARTNERS, L.P.

 

By:

 

GLB Partners, L.P.,
its General Partner

By:

 

Citadel Investment Group, L.L.C.,
its General Partner

 

By:

 

Citadel Investment Group, L.L.C.,
its General Partner

By:

 

/s/ Adam C. Cooper

Adam C. Cooper, Senior Managing Director and General Counsel

 

By:

 

/s/ Adam C. Cooper

Adam C. Cooper, Senior Managing Director and General Counsel

WELLINGTON PARTNERS LIMITED PARTNERSHIP

 

CITADEL EDISON FUND LTD.

By:

 

Citadel Limited Partnership,
its General Partner

 

By:

 

Citadel Limited Partnership,
its Trading Manager

By:

 

GLB Partners, L.P.,
its General Partner

 

By:

 

GLB Partners, L.P.,
its General Partner

By:

 

Citadel Investment Group, L.L.C.,
its General Partner

 

By:

 

Citadel Investment Group, L.L.C.,
its General Partner

By:

 

/s/ Adam C. Cooper

Adam C. Cooper, Senior Managing Director and General Counsel

 

By:

 

/s/ Adam C. Cooper

Adam C. Cooper, Senior Managing Director and General Counsel

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Page 18 of 19



KENSINGTON GLOBAL STRATEGIES FUND, LTD.

 

CITADEL EQUITY FUND LTD.

By:

 

Citadel Limited Partnership,
its Trading Manager

 

By:

 

Citadel Limited Partnership,
its TradingManager

By:

 

GLB Partners, L.P.,
its General Partner

 

By:

 

GLB Partners, L.P.,
itsGeneralPartner

By:

 

Citadel Investment Group, L.L.C.,
its General Partner

 

By:

 

Citadel Investment Group, L.L.C.,
its General Partner

By:

 

/s/ Adam C. Cooper

Adam C. Cooper, Senior Managing Director and General Counsel

 

By:

 

/s/ Adam C. Cooper

Adam C. Cooper, Senior Managing Director and General Counsel

CITADEL EDISON INVESTMENTS LTD.

 

ARAGON INVESTMENTS, LTD.

By:

 

Citadel Limited Partnership,
its Trading Manager

 

By:

 

Citadel Limited Partnership,
its Trading Manager

By:

 

GLB Partners, L.P.,
its General Partner

 

By:

 

GLB Partners, L.P.,
its General Partner

By:

 

Citadel Investment Group, L.L.C.,
its General Partner

 

By:

 

Citadel Investment Group, L.L.C.,
its General Partner

By:

 

/s/ Adam C. Cooper

Adam C. Cooper, Senior Managing Director and General Counsel

 

By:

 

/s/ Adam C. Cooper

Adam C. Cooper, Senior Managing Director and General Counsel

Page 19 of 19



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