-----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, Izp62xFs+z71IT2/EYsfIK8Bo25KmibgeKf3U+COHWR79n7HBPJ/OC0VHK8rwx19 733TrY+V8EKDtx9ob03o6A== 0001012870-02-001217.txt : 20020415 0001012870-02-001217.hdr.sgml : 20020415 ACCESSION NUMBER: 0001012870-02-001217 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20020315 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: NIERENBERG NICOLAS CENTRAL INDEX KEY: 0001078005 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: C/O ACTUATE SOFTWARE CORP. STREET 2: 999 BAKER WAY, STE. 270 CITY: SAN MATEO STATE: CA ZIP: 94404 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ACTUATE CORP CENTRAL INDEX KEY: 0001062478 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 943193197 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-54539 FILM NUMBER: 02575972 BUSINESS ADDRESS: STREET 1: 701 GATEWAY BLVD CITY: SOUTH SAN FRANCISCO STATE: CA ZIP: 94080 BUSINESS PHONE: 6504252300 MAIL ADDRESS: STREET 1: 999 BAKER WAY STREET 2: STE 270 CITY: SAN MATEO STATE: CA ZIP: 94404 FORMER COMPANY: FORMER CONFORMED NAME: ACTUATE SOFTWARE CORP DATE OF NAME CHANGE: 19980527 SC 13D/A 1 dsc13da.txt AMENDMENT NO. 1 TO SCHEDULE 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1) ACTUATE CORPORATION - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock - -------------------------------------------------------------------------------- (Title of Class of Securities) 00508B102 - -------------------------------------------------------------------------------- (CUSIP Number) Nicolas C. Nierenberg c/o Actuate Corporation 701 Gateway Boulevard South San Francisco, CA 94080 (888) 422-8828 - -------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) October 25, 2001 - -------------------------------------------------------------------------------- (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 which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(e), (f) or (g), check the following box. [ ] NOTE: Schedules filed in paper format shall include a signed original and five copies of the Schedule, including all exhibits. See Rule 13d-1(A) for other parties to whom copies are to be sent. 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). SCHEDULE 13D CUSIP NO. 00508B102 ------------ - ------------------------------------------------------------------------------ NAMES OF REPORTING PERSONS 1 I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only). Nicolas C. Nierenberg - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) 2 (a) (b) - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ SOURCE OF FUNDS (See Instructions) 4 PF - ------------------------------------------------------------------------------ CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) __ 5 N/A - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 6 United States - ------------------------------------------------------------------------------ NUMBER OF SOLE VOTING POWER SHARES 7 BENEFICIALLY 3,607,458 OWNED BT ----------------------------------------------------------- EACH SHARED VOTING POWER REPORTING 8 PERSON 0 WITH ----------------------------------------------------------- SOLE DISPOSITIVE POWER 9 3,607,458 ----------------------------------------------------------- SHARED DISPOSITIVE POWER 10 0 - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 11 3,607,458 - ------------------------------------------------------------------------------ CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES 12 - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 13 5.92 % - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON (See Instructions) 14 IN - ------------------------------------------------------------------------------ INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 SCHEDULE 13D Item 1. Security and Issuer. ------------------- This statement on Schedule 13D relates to the Common Stock of Actuate Corporation, a Delaware corporation (the "Issuer"). The principal executive offices of the Issuer are located at 701 Gateway Boulevard, South San Francisco, California 94080. Item 2. Identity and Background. ----------------------- (a) This statement is filed by Nicolas C. Nierenberg (the "Reporting Person"). (b) The address of the Reporting Person is c/o Actuate Corporation, 701 Gateway Boulevard, South San Francisco, California 94080. (c) Present Principal Business or Employment: 1. Chief Architect of Issuer 2. Chairman of the Board of Directors of Issuer 3. The address of the Issuer is c/o Actuate Corporation, 701 Gateway Boulevard, South San Francisco, California 94080. (d) and (e) During the last five years the Reporting Person has not been (i) convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors) nor (ii) been a party to any civil proceeding of a judicial or administrative body of competent jurisdiction, and is or was, as a result of such proceeding, subject to a judgement, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, federal or state securities laws, or finding any violation with respect to such laws. (f) The Reporting Person is a citizen of the United States. Item 3. Source and Amount of Funds or Other Consideration. ------------------------------------------------- N/A Item 4. Purpose of Transaction. ---------------------- N/A Item 5. Interest in Securities of the Issuer. ------------------------------------ (a) Mr. Nierenberg holds 2,966,852 shares of Common Stock and options to purchase 640,606 shares of Common Stock collectively representing approximately 5.92 % of the outstanding Common Stock. (b) Mr. Nierenberg has sole voting and dispositive power over 3,607,458 shares of Common Stock, representing approximately 5.92% of the outstanding Common Stock. (c) N/A (d) No person other than the Reporting Person is known to the Reporting Person to have the right to receive or the power to direct the receipt of dividends from, or the proceeds from, the sale of the shares of Common Stock of the Issuer owned by the respective Reporting Person. Item 6. Contracts, Arrangements, Understandings or Relationships with Respect --------------------------------------------------------------------- to Securities of the Issuer. - --------------------------- N/A Item 7. Materials to be Filed as Exhibits. --------------------------------- N/A 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: February 28, 2002 NICOLAS C. NIERENBERG /s/ Nicolas C. Nierenberg --------------------------------- Nicolas C. Nierenberg -----END PRIVACY-ENHANCED MESSAGE-----