-----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, PFQ/gRgOau7T4/vtvhMrxCFt9q75rQdMkWt5Lt/VMUABq7QH0Uw5JaybD0w0uFgs Ky4DIJDnj/HVV1hvt4gPdw== 0000009749-98-000016.txt : 19980217 0000009749-98-000016.hdr.sgml : 19980217 ACCESSION NUMBER: 0000009749-98-000016 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980212 SROS: AMEX SROS: NYSE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ROGUE WAVE SOFTWARE INC /OR/ CENTRAL INDEX KEY: 0001023184 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 931064214 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-49409 FILM NUMBER: 98534491 BUSINESS ADDRESS: STREET 1: 850 SW 35TH ST CITY: CORVALLIS STATE: OR ZIP: 97333 BUSINESS PHONE: 5417543010 MAIL ADDRESS: STREET 1: ROGUE WAVE SOFTWARE INC STREET 2: 850 SW 35TH ST CITY: CORVALLIS STATE: OR ZIP: 97333 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: BANKERS TRUST NEW YORK CORP CENTRAL INDEX KEY: 0000009749 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 136180473 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 130 LIBERTY STREET CITY: NEW YORK STATE: NY ZIP: 10006 BUSINESS PHONE: 2122502500 MAIL ADDRESS: STREET 1: 130 LIBERTY STREET CITY: NEW YORK STATE: NY ZIP: 10006 FORMER COMPANY: FORMER CONFORMED NAME: BT NEW YORK CORP DATE OF NAME CHANGE: 19671107 SC 13G/A 1 ROGUE WAVE SOFTWARE COMPANY 13G BANKERS TRUST NEW YORK CORPORATION One Bankers Trust Plaza New York, New York 10006 Damian P. Reitemeyer Vice President Telephone: (212) 250-4599 February 13, 1998 Securities and Exchange Commission SEC Document Control 450 Fifth Street, N W Washington, DC 20549 Attn. : Filing Desk Dear Sirs : Re : Filing of Schedule 13G on ROGUE WAVE SOFTWARE Pursuant to Rule 13d-1 of the General Rules and Regulations copy under the Securities Exchange Act of 1934, the following is one of the Schedule 13G with respect to the common stock of the above referenced corporation. Please acknowledge your receipt of the Schedule 13G filing submission through the EDGAR-Link System software, by E-Mail confirmation. Sincerely, Damian P. Reitemeyer Enclosures Page 1 of 6 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1 ) * -------- ROGUE WAVE SOFTWARE NAME OF ISSUER : Common Stock: $.001 Par Value TITLE OF CLASS OF SECURITIES 775369101 CUSIP NUMBER Check the following box if a fee is being paid with this statement [ ]. (A fee is not required only if the filing person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent there to reporting beneficial ownership of five percent or less of such class. ) ( See Rule 13d-7.) * 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 reminder 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). Continued on following page(s) Page 2 of 6 CUSIP No. 775369101 1. NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Bankers Trust New York Corporation and its wholly- owned subsidiary, Bankers Trust Company. 13-6180473 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP * (A) [ ] (B) [ ] 3. SEC USE ONLY 4. CITIZENSHIP OR PLACE OF ORGANIZATION Both Bankers Trust New York Corporation and Bankers Trust Company are New York Corporation. NUMBER OF 5. SOLE VOTING POWER SHARES BENEFICIALLY 6. SHARED VOTING POWER OWNED BY EACH 7. SOLE DISPOSITION POWER REPORTING PERSON 8. SHARED DISPOSITION POWER WITH 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW(9) EXCLUDES CERTAIN SHARES * [ ] 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 12. TYPE OF REPORTING PERSON * Bankers Trust New York Corporation - HC Bankers Trust Company - BK Page 3 of 6 CUSIP No. 775369101 Item 1 (a) NAME OF ISSUER: ROGUE WAVE SOFTWARE Item 1 (b) ADDRESSES OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: 850 SW 35th Street Corvallis, OR 97333 Item 2 (a) NAME OF PERSON FILING: Bankers Trust New York Corporation, and its wholly-owned subsidiary, Bankers Trust Company. Item 2(b) ADDRESS OF PRINCIPAL BUSINESS OFFICE: 130 Liberty Street New York, New York 10006 Item 2(c) CITIZENSHIP: Bankers Trust New York Corporation, and its wholly - owned subsidary, Bankers Trust Company are incorporated in the State of New York with its principal business office located in New York. Item 2(d) TITLE OF CLASS OF SECURITIES: Common Stock: Par Value $.001 Item 2 (e) CUSIP NUMBER: 775369101 CUSIP No. 775369101 Page 4 of 6 Item 3 THE PERSON FILING IS A: For Bankers Trust New York Corporation, (g) [X] Parent Holding Company, in accordance with Section 240.13d-1(b) (ii) (G) For Bankers Trust company, (b) [X] Bank as defined in Section 3(a)(6) of the Act Item 4 OWNERSHIP: As of December 31, 1997 (a) Amount Beneficially Owned: (b) Percent of Class: (c) Number of shares as to which the Bank has: (i) Sole power to vote or to direct the vote - (ii) Shared power to vote or to direct the vote - (iii) Sole power to dispose or to direct the disposition of - (iv) Shared power to dispose or to direct the disposition of - CUSIP No. 775369101 Page 5 of 6 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 [X]. 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 3 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 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 purpose or effect. Page 6 of 6 CUSIP No. 775369101 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: as of December 31, 1997 Signature: Bankers Trust New York Corporation By : /s/James T. Byrne, Jr. Name : James T. Byrne, Jr. Title: Secretary EXHIBIT TO ITEM 7 The chain of ownership from Bankers Trust New York Corporation to Bankers Trust Company is shown below: Bankers Trust New York Corporation | 100% | Bankers Trust Company -----END PRIVACY-ENHANCED MESSAGE-----