-----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, VbHzK2tYA0x+lT4FDq4eQ3o6lrICUZhN0xgFpCQpLTyVX2JwiY0UI1oVWnMzNFCE gwgA1l6Afp16QBsqdy639Q== 0000912057-00-006208.txt : 20000215 0000912057-00-006208.hdr.sgml : 20000215 ACCESSION NUMBER: 0000912057-00-006208 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20000214 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: RED HAT INC CENTRAL INDEX KEY: 0001087423 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMPUTER PROGRAMMING, DATA PROCESSING, ETC. [7370] IRS NUMBER: 061364380 STATE OF INCORPORATION: DE FISCAL YEAR END: 0228 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-58185 FILM NUMBER: 538983 BUSINESS ADDRESS: STREET 1: 2600 MERIDIAN PARKWAY CITY: DURHAM STATE: NC ZIP: 27713 BUSINESS PHONE: 9195470012 MAIL ADDRESS: STREET 1: 2600 MERIDIAN PARKWAY CITY: DURHAM STATE: NC ZIP: 27713 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: BATTEN FRANK JR CENTRAL INDEX KEY: 0001105770 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: LANDMARK COMMUNICATIONS STREET 2: 150 W BRAMBLETON AVE CITY: NORFOLK STATE: VA ZIP: 23510 BUSINESS PHONE: 7574462010 MAIL ADDRESS: STREET 1: LANDMARK COMMUNICATIONS STREET 2: 150 W BRAMBLETON AVE CITY: NORFOLK STATE: VA ZIP: 23510 SC 13G 1 EXHIBIT 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 * RED HAT, INC. - -------------------------------------------------------------------------------- (Name of Issuer) COMMON STOCK, $.0001 PAR VALUE - -------------------------------------------------------------------------------- (Title of Class of Securities) 756577 10 2 - -------------------------------------------------------------------------------- (CUSIP Number) December 31, 1999 - -------------------------------------------------------------------------------- (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: / / Rule 13d-1(b) / / Rule 13d-1(c) /X/ Rule 13d-1(d) *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). Page 1 of 5 Pages - ------------------------- --------------------------- CUSIP NO. 756577 10 2 13G PAGE 2 OF 5 PAGES ----------- --- --- - ------------------------- --------------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Frank Batten, Jr. - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) / / (b) / / - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION U.S.A. - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF 0 shares SHARES ---------------------------------------------------- BENEFICIALLY 6 SHARED VOTING POWER OWNED BY 30,011,776 shares EACH ---------------------------------------------------- REPORTING 7 SOLE DISPOSITIVE POWER PERSON 0 shares WITH ---------------------------------------------------- 8 SHARED DISPOSITIVE POWER 30,011,776 shares - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 30,011,776 shares - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 20.2% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON * IN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! Page 2 of 5 Pages SCHEDULE 13G Item 1(a). NAME OF ISSUER: Red Hat, Inc. Item 1(b). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: 2600 Meridian Parkway, Durham, NC 27713. Item 2(a). NAME OF PERSON FILING: Frank Batten, Jr. Item 2(b). ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE: The address of the principal business office of Frank Batten, Jr. is c/o Landmark Communications, 150 W. Brambleton Avenue, Norfolk, VA 23510-2075. Item 2(c). CITIZENSHIP: United States. Item 2(d). TITLE OF CLASS OF SECURITIES: Common Stock, $.0001 Par Value. Item 2(e). CUSIP NUMBER: 756577 10 2 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) Amount Beneficially Owned: 30,011,776 shares Shares beneficially owned includes 3,038,492 shares held of record by the Frank Batten, Jr. Trust and 26,973,284 shares held of record by the 1998 Frank Batten, Jr. Grantor Annuity Trust. Mr. Batten disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein, and this statement shall not be deemed an admission that Mr. Batten is the beneficial owner of these shares for any purpose. (b) Percent of Class: 20.2% The foregoing percentage is calculated based on the 148,933,572 shares of Common Stock reported to be outstanding as of December 31, 1999 in a Form S-1 filed January 14, 2000. (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: 0 (ii) shared power to vote or to direct the vote: 30,011,776 Page 3 of 5 Pages (iii) sole power to dispose or direct the disposition of: 0 (iv) shared power to dispose or direct the disposition of: 30,011,776 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. Not Applicable. This statement on Schedule 13G is not filed pursuant to Rule 13d-1(b). Page 4 of 5 Pages SIGNATURES 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 11, 2000 /S/ Frank Batten, Jr. ---------------------------------- Frank Batten, Jr. Page 5 of 5 Pages -----END PRIVACY-ENHANCED MESSAGE-----