-----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, LoFReSLztXEqRonbgnT0IW9HCcM649UdtOH8QqYsI7p4vyKujeCGS4Hjv5dclQOo //2SUhpQru3D0CnE3kscaA== 0001002225-98-000003.txt : 19980219 0001002225-98-000003.hdr.sgml : 19980219 ACCESSION NUMBER: 0001002225-98-000003 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980218 SROS: NASD GROUP MEMBERS: DIMARCO HARLEEN REVOCABLE LIVING TRUST DATED 9/20/90 ET AL GROUP MEMBERS: JAMES HARLEEN GROUP MEMBERS: STEPHANIE DIMARCO 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: SEC FILE NUMBER: 005-46001 FILM NUMBER: 98544581 BUSINESS ADDRESS: STREET 1: 301 BRANNAN ST CITY: SAN FRANCISCO STATE: CA ZIP: 94107 BUSINESS PHONE: 4155437696 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: DIMARCO HARLEEN REVOCABLE LIVING TRUST DATED 9/20/90 ET AL CENTRAL INDEX KEY: 0001009280 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] IRS NUMBER: 550275088 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 224 MOUNTAIN AVE CITY: PIEDMONT STATE: CA ZIP: 94611 BUSINESS PHONE: 4155437696 MAIL ADDRESS: STREET 1: DIMARCO HARLEEN REVOCABLE LIVING TRUST STREET 2: 224 MOUNTAIN AVE CITY: PIEDMONT STATE: CA ZIP: 94611 SC 13G/A 1 SCHEDULE 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 - -------------------------------------------------------------------------------- (AMENDMENT NO.2) ADVENT SOFTWARE, INC. - -------------------------------------------------------------------------------- (NAME OF ISSUER) COMMON STOCK - -------------------------------------------------------------------------------- (TITLE OF CLASS OF SECURITIES) #007974108 - -------------------------------------------------------------------------------- (CUSIP NUMBER) 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. 007974108 13G PAGE 2 OF 7 PAGES - ------------------------ --------------------- - ------------------------------------------------------------------------------- NAME OF REPORTING PERSONS 1 S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS DiMarco/Harleen Revocable Living Trust, Dated 9/20/90, as amended - ------------------------------------------------------------------------------- CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [_] (b) [_] N/A - ------------------------------------------------------------------------------- SEC USE ONLY 3 - ------------------------------------------------------------------------------- CITIZENSHIP OR PLACE OF ORGANIZATION 4 California - ------------------------------------------------------------------------------- SOLE VOTING POWER 5 NUMBER OF 991,654 SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 6 991,654 OWNED BY ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7 REPORTING 991,654 PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 8 991,654 - ------------------------------------------------------------------------------- AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 991,654 - ------------------------------------------------------------------------------- CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* 10 - ------------------------------------------------------------------------------- PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 11 13.1% - ------------------------------------------------------------------------------- TYPE OF REPORTING PERSON* 12 OO - ------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! Page 2 of 7 pages - ------------------------ --------------------- CUSIP NO. 007974108 13G PAGE 3 OF 7 PAGES - ------------------------ --------------------- - ------------------------------------------------------------------------------- NAME OF REPORTING PERSONS 1 S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS James Harleen ###-##-#### - ------------------------------------------------------------------------------- CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [_] (b) [_] N/A - ------------------------------------------------------------------------------- SEC USE ONLY 3 - ------------------------------------------------------------------------------- CITIZENSHIP OR PLACE OF ORGANIZATION 4 U.S. Citizen - ------------------------------------------------------------------------------- SOLE VOTING POWER 5 NUMBER OF 1,151,654 SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 6 1,151,654 OWNED BY ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7 REPORTING 1,151,654 PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 8 1,151,654 - ------------------------------------------------------------------------------- AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 1,151,654 - ------------------------------------------------------------------------------- CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* 10 - ------------------------------------------------------------------------------- PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 11 15.2% - ------------------------------------------------------------------------------- TYPE OF REPORTING PERSON* 12 OO - ------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! Page 3 of 7 pages - ------------------------ --------------------- CUSIP NO. 007974108 13G PAGE 4 OF 7 PAGES - ------------------------ --------------------- - ------------------------------------------------------------------------------- NAME OF REPORTING PERSONS 1 S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS Stephanie DiMarco ###-##-#### - ------------------------------------------------------------------------------- CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [_] (b) [_] N/A - ------------------------------------------------------------------------------- SEC USE ONLY 3 - ------------------------------------------------------------------------------- CITIZENSHIP OR PLACE OF ORGANIZATION 4 U.S. Citizen - ------------------------------------------------------------------------------- SOLE VOTING POWER 5 NUMBER OF 1,151,654 SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 6 1,151,654 OWNED BY ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7 REPORTING 1,151,654 PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 8 1,151,654 - ------------------------------------------------------------------------------- AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 1,151,654 - ------------------------------------------------------------------------------- CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* 10 - ------------------------------------------------------------------------------- PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 11 15.2% - ------------------------------------------------------------------------------- TYPE OF REPORTING PERSON* 12 OO - ------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! Page 4 of 7 pages *SEE INSTRUCTION BEFORE FILLING OUT! ITEM 1(a). NAME OF ISSUER: Advent Software, Inc. ITEM 1(b). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: 301 Brannan Street, San Francisco, CA 94107 ITEM 2(a). NAME OF PERSON FILING: DiMarco/Harleen Revocable Living Trust, Dated 9/20/90, as amended, and James Harleen and Stephanie DiMarco, Trustees ITEM 2(b). ADDRESS OF PRINCIPAL RESIDENCE: 224 Mountain Avenue, Piedmont, CA 94611 ITEM 2(c). CITIZENSHIP: The DiMarco/Harleen Revocable Living Trust, Dated 9/20/90, as amended, is a living trust. The Trustees James Harleen and Stephanie DiMarco are U.S. citizens. ITEM 2(d). TITLE OF CLASS OF SECURITIES: Common Stock ITEM 2(e). CUSIP NUMBER: CUSIP #007974108 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. (a) The number of shares beneficially owned: 1,151,654 (b) The percent of the class: 15.2% (c)(i) Sole power to vote or to direct the vote: 1,151,654 (ii) Shared power to vote or to direct the vote: 1,151,654 (iii)Sole power to dispose or to direct the disposition of: 1,151,654 (iv) The shared power to dispose or to direct the disposition of: 1,151,654 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 WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY. Not applicable. 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 acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purposes or effect. 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. DiMARCO/HARLEEN REVOCABLE LIVING TRUST, DATED 9/20/90, AS AMENDED February 17, 1998 /s/ JAMES HARLEEN, TRUSTEE /s/ STEPHANIE DiMARCO, TRUSTEE - --------------------------------------------------------------------------- AGREEMENT RELATING TO JOINT FILING OF SCHEDULE 13G The undersigned hereby agree that a single Schedule 13G (or any amendment thereto) in relation to the Common Stock of Advent Software, Inc. shall be filed on behalf of each of the undersigned and that this Agreement shall be filed as an Exhibit to such Schedule 13G. This Agreement and the filing of the Schedule 13G shall not be construed to be an admission that any of the undersigned is a member of a "group" consisting of the Securities Exchange Act of 1934, as amended and the rules thereunder. February 17, 1998 /s/ JAMES HARLEEN, INDIVIDUALLY, AND ON BEHALF OF THE DiMARCO/HARLEEN REVOCABLE LIVING TRUST, DATED 9/20/90, AS AMENDED, IN HIS CAPACITY AS A TRUSTEE OF SAID TRUST /s/ STEPHANIE DiMARCO, INDIVIDUALLY, AND ON BEHALF OF THE DiMARCO/HARLEEN REVOCABLE LIVING TRUST, DATED 9/20/90, AS AMENDED, IN HER CAPACITY AS A TRUSTEE OF SAID TRUST -----END PRIVACY-ENHANCED MESSAGE-----