-----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, A/MjvC1Y1e6GbBhndiEsnbql15c8pZ4kTVZm6MjAfFE+nd4/l+m2nJJgytH1o0uf ee+rSpL65upazoaZS+TO4g== 0001193125-03-089484.txt : 20031204 0001193125-03-089484.hdr.sgml : 20031204 20031204172920 ACCESSION NUMBER: 0001193125-03-089484 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20031204 GROUP MEMBERS: ANGELA G. WEBER GROUP MEMBERS: LION INVESTMENT LIMITED GROUP MEMBERS: LMS CAPITAL LIMITED GROUP MEMBERS: LMS TIGER INVESTMENTS LIMITED GROUP MEMBERS: LONDON MERCHANT SECURITIES PLC GROUP MEMBERS: THE WEBER FAMILY TRUST GROUP MEMBERS: WESTPOOL INVESTMENT TRUST PLC SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: AXS ONE INC CENTRAL INDEX KEY: 0000947427 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 132966911 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-49026 FILM NUMBER: 031038604 BUSINESS ADDRESS: STREET 1: MEADOWS OFFICE COMPLEX STREET 2: 301 RT 17 NORTH CITY: RUTHERFORD STATE: NJ ZIP: 07070 BUSINESS PHONE: 2019353400 MAIL ADDRESS: STREET 1: MEADOWS OFFICE COMPLEX STREET 2: 301 ROUTE 17 NORTH CITY: RUTHERFORD STATE: NJ ZIP: 07070 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: WEBER EUGENE M CENTRAL INDEX KEY: 0001098765 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 50 CALIFORNIA STREET STREET 2: SUITE 3200 CITY: SAN FRANCISCO STATE: CA ZIP: 94114 BUSINESS PHONE: 4153625680 MAIL ADDRESS: STREET 1: 50 CALIFORNIA STREET STREET 2: SUITE 3200 CITY: SAN FRANCISCO STATE: CA ZIP: 94114 SC 13D/A 1 dsc13da.htm AMENDMEND NO. 3 TO SCHEDULE 13D Amendmend No. 3 to Schedule 13D

SEC 1746

(2-98)

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UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

SCHEDULE 13D

 

 

Under The Securities Exchange Act of 1934

(Amendment No. 3)*

 

 

 

 

AXS-One, Inc. (formerly known as Computron Software, Inc.)

(Name of Issuer)

 

 

Common Stock, $.01 par value

(Title of Class of Securities)

 

 

205631 10 4

(CUSIP Number)

 

 

Simon Mitchley, London Merchant Securities plc,

33 Robert Adam Street, London W1U 3HR

44 20 7935 3555

(Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications)

 

 

September 26, 2003

(Date of Event which Requires Filing of this Statement)

 

If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of §§240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box.  ¨

 

Note:  Schedules filed in paper format shall include a signed original and five copies of this schedule, including all exhibits. See §240.13d-7 for other parties to whom copies are to be sent.

 

*   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.

 

  1.  

Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only).

 

London Merchant Securities plc

    
  2.  

Check the Appropriate Box if a Member of a Group (See Instructions)

(a)  x

(b)  ¨

    
  3.  

SEC Use Only

 

    
  4.  

Source of Funds (See Instructions)

 

WC

    
  5.  

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)

 

   ¨
  6.  

Citizenship or Place of Organization

 

United Kingdom

    

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

  

  7.    Sole Voting Power

 

       0

  8.    Shared Voting Power

 

       1,001,100 (see Item 5)

  9.    Sole Dispositive Power

 

       0

10.    Shared Dispositive Power

 

       1,001,100 (see Item 5)

11.  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

1,001,100 (see Item 5)

    
12.  

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)

 

  

¨

 

13.  

Percent of Class Represented by Amount in Row (11)

 

4.0% (see Item 5)

    
14.  

Type of Reporting Person (See Instructions)

 

OO

    

 

2

CUSIP No.

 

  1.  

Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only).

 

Lion Investment Limited

    
  2.  

Check the Appropriate Box if a Member of a Group (See Instructions)

(a)  x

(b)  ¨

    
  3.  

SEC Use Only

 

    
  4.  

Source of Funds (See Instructions)

 

WC

    
  5.  

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)

 

   ¨
  6.  

Citizenship or Place of Organization

 

United Kingdom

    

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

  

  7.    Sole Voting Power

 

       0

  8.    Shared Voting Power

 

       0 (see Item 5)

  9.    Sole Dispositive Power

 

       0

10.    Shared Dispositive Power

 

       0 (see Item 5)

11.  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

0 (see Item 5)

    
12.  

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)

 

  

¨

 

13.  

Percent of Class Represented by Amount in Row (11)

 

0 (see Item 5)

    
14.  

Type of Reporting Person (See Instructions)

 

OO

    

 

3

CUSIP No.

 

  1.  

Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only).

 

Westpool Investment Trust plc

    
  2.  

Check the Appropriate Box if a Member of a Group (See Instructions)

(a)  x

(b)  ¨

    
  3.  

SEC Use Only

 

    
  4.  

Source of Funds (See Instructions)

 

WC

    
  5.  

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)

 

   ¨
  6.  

Citizenship or Place of Organization

 

United Kingdom

    

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

  

  7.    Sole Voting Power

 

        0

  8.    Shared Voting Power

 

        0 (see Item 5)

  9.    Sole Dispositive Power

 

        0

10.    Shared Dispositive Power

 

        0 (see Item 5)

11.  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

0 (see Item 5)

    
12.  

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)

 

  

¨

 

13.  

Percent of Class Represented by Amount in Row (11)

 

0 (see Item 5)

    
14.  

Type of Reporting Person (See Instructions)

 

OO

    

 

4

CUSIP No.

 

  1.  

Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only).

 

The Weber Family Trust

    
  2.  

Check the Appropriate Box if a Member of a Group (See Instructions)

(a)  x

(b)  ¨

    
  3.  

SEC Use Only

 

    
  4.  

Source of Funds (See Instructions)

 

PF

    
  5.  

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)

 

   ¨
  6.  

Citizenship or Place of Organization

 

United Kingdom

    

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

  

  7.    Sole Voting Power

 

        5,000

  8.    Shared Voting Power

 

        0

  9.    Sole Dispositive Power

 

        5,000

10.    Shared Dispositive Power

 

        0

11.  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

5,000

    
12.  

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)

 

  

¨

 

13.  

Percent of Class Represented by Amount in Row (11)

 

Less than 1%

    
14.  

Type of Reporting Person (See Instructions)

 

IN

    

 

5

CUSIP No.

 

  1.  

Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only).

 

Eugene M. Weber

    
  2.  

Check the Appropriate Box if a Member of a Group (See Instructions)

(a)  x

(b)  ¨

    
  3.  

SEC Use Only

 

    
  4.  

Source of Funds (See Instructions)

 

PF

    
  5.  

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)

 

   ¨
  6.  

Citizenship or Place of Organization

 

United States

    

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

  

  7.    Sole Voting Power

 

        5,000

  8.    Shared Voting Power

 

        0

  9.    Sole Dispositive Power

 

        5,000

10.    Shared Dispositive Power

 

        0

11.  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

5,000

    
12.  

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)

 

  

¨

 

13.  

Percent of Class Represented by Amount in Row (11)

 

Less than 1%

    
14.  

Type of Reporting Person (See Instructions)

 

IN

    

 

6

CUSIP No.

 

  1.  

Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only).

 

Angela G. Weber

    
  2.  

Check the Appropriate Box if a Member of a Group (See Instructions)

(a)  x

(b)  ¨

    
  3.  

SEC Use Only

 

    
  4.  

Source of Funds (See Instructions)

 

PF

    
  5.  

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)

 

   ¨
  6.  

Citizenship or Place of Organization

 

United States

    

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

  

  7.    Sole Voting Power

 

        5,000

  8.    Shared Voting Power

 

        0

  9.    Sole Dispositive Power

 

        5,000

10.    Shared Dispositive Power

 

        0

11.  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

5,000

    
12.  

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)

 

  

¨

 

13.  

Percent of Class Represented by Amount in Row (11)

 

Less than 1%

    
14.  

Type of Reporting Person (See Instructions)

 

IN

    

 

7

CUSIP No.

 

  1.  

Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only).

 

LMS Tiger Investments Limited

    
  2.  

Check the Appropriate Box if a Member of a Group (See Instructions)

(a)  x

(b)  ¨

    
  3.  

SEC Use Only

 

    
  4.  

Source of Funds (See Instructions)

 

WC

    
  5.  

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)

 

   ¨
  6.  

Citizenship or Place of Organization

 

United Kingdom

    

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

  

  7.    Sole Voting Power

 

        0

  8.    Shared Voting Power

 

        1,001,100 (see Item 5)

  9.    Sole Dispositive Power

 

        0

10.    Shared Dispositive Power

 

        1,001,100 (see Item 5)

11.  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

1,001,100 (see Item 5)

    
12.  

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)

 

  

¨

 

13.  

Percent of Class Represented by Amount in Row (11)

 

4.0% (see Item 5)

    
14.  

Type of Reporting Person (See Instructions)

 

OO

    

 

8

CUSIP No.

 

  1.  

Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only).

 

LMS Capital Limited

    
  2.  

Check the Appropriate Box if a Member of a Group (See Instructions)

(a)  x

(b)  ¨

    
  3.  

SEC Use Only

 

    
  4.  

Source of Funds (See Instructions)

 

OO

    
  5.  

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)

 

   ¨
  6.  

Citizenship or Place of Organization

 

United Kingdom

    

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

  

  7.    Sole Voting Power

 

        0

  8.    Shared Voting Power

 

        1,001,100 (see Item 5)

  9.    Sole Dispositive Power

 

        0

10.    Shared Dispositive Power

 

        0

11.  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

1,001,100 (see Item 5)

    
12.  

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)

 

  

¨

 

13.  

Percent of Class Represented by Amount in Row (11)

 

4.0% (see Item 5)

    
14.  

Type of Reporting Person (See Instructions)

 

OO

    

 

9

Item 1.   Security and Issuer

 

No material change has occurred in the facts set forth in response to this item.

 

Item 2.   Identity and Background

 

No material change has occurred in the facts set forth in response to this item.

 

Item 3.   Source and Amount of Funds or Other Consideration

 

No material change has occurred in the facts set forth in response to this item.

 

Item 4.   Purpose of Transaction

 

No material change has occurred in the facts set forth in response to this item.

 

Item 5.   Interest in Securities of the Issuer

 

No material change has occurred in the facts set forth in the response to this item except as discussed below:

 

The percentages of outstanding Issuer Common Stock reported in this Schedule 13D are based upon the assumption that there are 24,959,742 shares of Issuer Common Stock outstanding as of August 4, 2003.

 

Between May 21, 2003 and July 17, 2003 LMS Tiger Investments Limited sold 83,500 shares of Common Stock. On September 26, 2003, LMS Tiger Investments Limited sold 300,000 shares of Common Stock. As a result of these sales, the Filling Persons now beneficially own approximately 4.0% of the issued and outstanding Common Stock of the Issuer.

 

Item 6.   Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer

 

A. Joint Reporting Agreement.

 

No material change has occurred in the fact set forth in response to this item.

 

B. Purchase Agreement.

 

No material change has occurred in the facts set forth in response to this item.

 

C. Warrants.

 

No material change has occurred in the facts set forth in response to this item.

 

Item 7.   Material to Be Filed as Exhibits

 

No material change has occurred in the fact set forth in response to this item.

 

10

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:     December 3, 2003

      

LONDON MERCHANT SECURITIES PLC

            By:   /s/    Robert A. Rayne        
             
           

Name:

   Robert A. Rayne
           

Title:

   Director

 

       

LION INVESTMENTS LIMITED

            By:   /s/    Robert A. Rayne        
             
           

Name:

   Robert A. Rayne
           

Title:

   Director

 

       

WESTPOOL INVESTMENT TRUST PLC

            By:   /s/    Robert A. Rayne        
             
           

Name:

   Robert A. Rayne
           

Title:

   Director

 

       

THE WEBER FAMILY TRUST DATED 1/6/89

            By:   /s/    Eugene M. Weber         
             
           

Name:

   Eugene M. Weber
           

Title:

   Trustee

 

EUGENE M. WEBER

            /s/    Eugene M. Weber        
         

 

ANGELA G. WEBER

            /s/    Angela G.Weber        
         

 

       

LMS TIGER INVESTMENTS LIMITED

            By:   /s/    Robert A. Rayne        
             
           

Name:

   Robert A. Rayne
           

Title:

   Director

 

       

LMS CAPITAL LIMITED

            By:   /s/    Robert A. Rayne        
             
           

Name:

   Robert A. Rayne
           

Title:

   Director

 

11

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