-----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, GrfuAE+ikOHXSWBS+anEEEPVZpw2vW1+tdFal8XZYsLsd+HUBW8aj+P8o7+n6ErD /78nM3O2efVMtBQNCp2aKw== 0000892569-97-000364.txt : 19970222 0000892569-97-000364.hdr.sgml : 19970222 ACCESSION NUMBER: 0000892569-97-000364 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970213 SROS: NONE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ADVENT SOFTWARE INC /DE/ CENTRAL INDEX KEY: 0001002225 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMPUTER PROGRAMMING SERVICES [7371] IRS NUMBER: 942901952 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-46001 FILM NUMBER: 97528673 BUSINESS ADDRESS: STREET 1: 301 BRANNAN ST CITY: SAN FRANCISCO STATE: CA ZIP: 94107 BUSINESS PHONE: 4155437696 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: DUCA MAURICE J CENTRAL INDEX KEY: 0000938333 STANDARD INDUSTRIAL CLASSIFICATION: [] FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 1485 E VALLEY ROAD, SUITEL CITY: SANTA BARBARA STATE: CA ZIP: 93108 MAIL ADDRESS: STREET 1: 1485 E VALLEY ROAD, SUITEL CITY: SANTA BARBARA STATE: CA ZIP: 93150 SC 13G/A 1 AMENDMENT #1 TO SCHEDULE 13G 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. 1)* ADVENT SOFTWARE, INC. (Name of Issuer) COMMON STOCK (Title of Class of Securities) 007974 10 8 (CUSIP Number) *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 ("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). 2 CUSIP NO. 007974 10 8 SCHEDULE 13G PAGE 2 OF 4 PAGES --------------------- ----- ----- (1) NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Maurice J. Duca Social Security ####-##-#### --------------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [ ] --------------------------------------------------------------------- (3) SEC USE ONLY --------------------------------------------------------------------- (4) CITIZENSHIP OR PLACE OF ORGANIZATION United States --------------------------------------------------------------------- (5) SOLE VOTING POWER NUMBER OF 795,010 SHARES -------------------------------------------------------- BENEFICIALLY (6) SHARED VOTING POWER OWNED BY -0- EACH -------------------------------------------------------- REPORTING (7) SOLE DISPOSITIVE POWER PERSON WITH 795,010 -------------------------------------------------------- (8) SHARED DISPOSITIVE POWER -0- -------------------------------------------------------- (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 795,010 --------------------------------------------------------------------- (10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES CERTAIN SHARES [ ] --------------------------------------------------------------------- (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 10.791% --------------------------------------------------------------------- (12) TYPE OF REPORTING PERSON IN --------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! 2 3 ITEM 1. (a) Name of Issuer: Advent Software, Inc. (b) Address of Issuer's Principal Executive Offices: 301 Brannan Street, San Francisco, California 94107 ITEM 2. (a) Name of Person Filing: Maurice J. Duca (b) Address of Principal Business Office: 1485 East Valley Rd., Santa Barbara, California 93108 (c) Citizenship: United States of America (d) Title of Class of Securities: Common Stock (e) CUSIP Number: 007974 10 8 ITEM 3. Not applicable. ITEM 4. (a) Amount Beneficially Owned:795,010 (b) Percent of Class 10.791% (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: 795,010 (ii) shared power to vote or to direct the vote: -0- (iii) sole power to dispose or to direct the disposition of: 795,010 (iv) shared power to dispose or to direct the disposition of: -0- 3 4 ITEM 5. Not applicable. ITEM 6. Not applicable. ITEM 7. Not applicable. ITEM 8. Not applicable. ITEM 9. Not applicable. ITEM 10. 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. Date: February 11, 1997 By: /s/ Maurice J. Duca ------------------------------ Maurice J. Duca 4 -----END PRIVACY-ENHANCED MESSAGE-----