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0000935836-07-000187.txt : 20070502
0000935836-07-000187.hdr.sgml : 20070502
20070502143046
ACCESSION NUMBER: 0000935836-07-000187
CONFORMED SUBMISSION TYPE: SC 13G/A
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20070502
DATE AS OF CHANGE: 20070502
FILED BY:
COMPANY DATA:
COMPANY CONFORMED NAME: CRITERION CAPITAL MANAGEMENT LLC
CENTRAL INDEX KEY: 0001282550
IRS NUMBER: 270008048
STATE OF INCORPORATION: CA
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: SC 13G/A
MAIL ADDRESS:
STREET 1: ONE MARITIME PLAZA
STREET 2: SUITE 1460
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
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: 07809977
BUSINESS ADDRESS:
STREET 1: 600 TOWNSEND ST
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94103
BUSINESS PHONE: 4155437696
MAIL ADDRESS:
STREET 1: 600 TOWNSEND ST
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94103
SC 13G/A
1
adventfiling.htm
ADVENTFILING
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549 |
OMB APPROVAL
OMB Number: 3235-0145
Expires: February 28, 2009
Estimated average burden
hours per response 10.4 |
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)
April 3, 2007
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
[ X ] Rule 13d-1(b)
[ X ] Rule 13d-1(c)
[ ] 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).
Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
1. Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only).
Criterion Capital Management, LLC
2. Check the Appropriate Box if a Member of a Group (See Instructions)
(a) ______
(b) X
3. SEC Use Only
4. Citizenship or Place of Organization CA
Number of
Shares
Beneficially
Owned by
Each Reporting
Person With: |
5. Sole Voting Power 0
|
6. Shared Voting Power 2,430,807
|
7. Sole Dispositive Power 0 |
8. Shared Dispositive Power 2,430,807 |
9. Aggregate Amount Beneficially Owned by Each Reporting Person 2,430,807
10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See
Instructions) ______
11. Percent of Class Represented by Amount in Row (9) 9.0%
12. Type of Reporting Person (See Instructions)
IA, OO
1. Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only).
Criterion Capital Partners, Ltd.
2. Check the Appropriate Box if a Member of a Group (See Instructions)
(a) ______
(b) X
3. SEC Use Only
4. Citizenship or Place of Organization Cayman Islands
Number of
Shares
Beneficially
Owned by
Each Reporting
Person With: |
5. Sole Voting Power 0
|
6. Shared Voting Power 1,515,000
|
7. Sole Dispositive Power 0 |
8. Shared Dispositive Power 1,515,000 |
9. Aggregate Amount Beneficially Owned by Each Reporting Person 1,515,000
10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See
Instructions) ______
11. Percent of Class Represented by Amount in Row (9) 5.6%
12. Type of Reporting Person (See Instructions)
CO
1. Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only).
Christopher H. Lord
2. Check the Appropriate Box if a Member of a Group (See Instructions)
(a) ______
(b) X
3. SEC Use Only
4. Citizenship or Place of Organization USA
Number of
Shares
Beneficially
Owned by
Each Reporting
Person With: |
5. Sole Voting Power 0
|
6. Shared Voting Power 2,430,807
|
7. Sole Dispositive Power 0 |
8. Shared Dispositive Power 2,430,807 |
9. Aggregate Amount Beneficially Owned by Each Reporting Person 2,430,807
10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See
Instructions) ______
11. Percent of Class Represented by Amount in Row (9) 9.0%
12. Type of Reporting Person (See Instructions)
HC, IN
1. Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only).
David K. Riley
2. Check the Appropriate Box if a Member of a Group (See Instructions)
(a) ______
(b) X
3. SEC Use Only
4. Citizenship or Place of Organization USA
Number of
Shares
Beneficially
Owned by
Each Reporting
Person With: |
5. Sole Voting Power 0
|
6. Shared Voting Power 2,430,807
|
7. Sole Dispositive Power 0 |
8. Shared Dispositive Power 2,430,807 |
9. Aggregate Amount Beneficially Owned by Each Reporting Person 2,430,807
10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See
Instructions) ______
11. Percent of Class Represented by Amount in Row (9) 9.0%
12. Type of Reporting Person (See Instructions)
HC, IN
1. Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only).
R. Daniel Beckham
2. Check the Appropriate Box if a Member of a Group (See Instructions)
(a) ______
(b) X
3. SEC Use Only
4. Citizenship or Place of Organization USA
Number of
Shares
Beneficially
Owned by
Each Reporting
Person With: |
5. Sole Voting Power 0
|
6. Shared Voting Power 2,430,807
|
7. Sole Dispositive Power 0 |
8. Shared Dispositive Power 2,430,807 |
9. Aggregate Amount Beneficially Owned by Each Reporting Person 2,430,807
10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See
Instructions) ______
11. Percent of Class Represented by Amount in Row (9) 9.0%
12. Type of Reporting Person (See Instructions)
HC, IN
1. Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only).
Evan C. Marwell
2. Check the Appropriate Box if a Member of a Group (See Instructions)
(a) ______
(b) X
3. SEC Use Only
4. Citizenship or Place of Organization USA
Number of
Shares
Beneficially
Owned by
Each Reporting
Person With: |
5. Sole Voting Power 0
|
6. Shared Voting Power 2,430,807
|
7. Sole Dispositive Power 0 |
8. Shared Dispositive Power 2,430,807 |
9. Aggregate Amount Beneficially Owned by Each Reporting Person 2,430,807
10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See
Instructions) ______
11. Percent of Class Represented by Amount in Row (9) 9.0%
12. Type of Reporting Person (See Instructions)
HC, IN
Item 1.
(a) Name of Issuer
Advent Software, Inc.
(b) Address of Issuer's Principal Executive Offices
600 Townsend Street
San Francisco, CA 94103
Item 2.
(a) The names of the persons filing this statement are:
Criterion Capital Management, LLC
Criterion Capital Partners, Ltd.
Christopher H. Lord
David K. Riley
R. Daniel Beckham
Evan C. Marwell
(collectively, the "Filers").
(b) The principal business office of the Filers except Criterion Capital Partners, Ltd. is located at:
435 Pacific Avenue, 4th Floor
San Francisco, CA 94133
The principal business office of Criterion Capital Partners Ltd. is located at:
c/o Hedgeworks Fund Services Limited
P.O. Box 1343 GT
Strathvale House - Ground Floor
North Church Street
George Town, Grand Cayman
Cayman Islands, BWI
(c) For citizenship of Filers, see Item 4 of the cover sheet for each Filer.
(d) This statement relates to shares of common stock of the Issuer (the "Stock").
(e) The CUSIP number of the Issuer is: 007974 10 8
Item 3. If this statement is filed pursuant to rule 240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:
(a) [ ] Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o).
(b) [ ] Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c).
(c) [ ] Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c).
(d) [ ] Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8).
(e) [ X ] An investment adviser in accordance with section 240.13d-1(b)(1)(ii)(E). (As to Criterion Capital Management, LLC).
(f) [ ] An employee benefit plan or endowment fund in accordance with section 240.13d-1(b)(1)(ii)(F).
(g) [ X ] A parent holding company or control person in accordance with 240.13d-1(b)(1)(ii)(G). (As to Mr. Lord, Mr. Riley, Mr. Beckham and Mr. Marwell).
(h) [ ] A savings association as defined in section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813).
(i) [ ] A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3).
(j) [ ] Group, in accordance with section 240.13d-1(b)(1)(ii)(J).
Item 4. Ownership.
See Items 5-9 and 11 of the cover page for each Filer.
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 [ ].
Item 6. Ownership of More than Five Percent on Behalf of Another Person.
Criterion Capital Management, LLC is the investment adviser to Criterion Capital Partners, Ltd. and other clients. Criterion Capital Management, LLC's clients have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, the Stock. No individual client, other than Criterion Capital Partners, Ltd., holds more than five percent of the outstanding Stock.
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.
Criterion Capital Management, LLC is a registered investment adviser. Messrs. Lord, Riley, Beckham and Marwell are the officers and the controlling beneficial owners of Criterion Capital Management, LLC. The Filers are filing this Schedule 13G jointly, but not as members of a group and each of them expressly disclaims membership in a group. In addition, each Filer disclaims beneficial ownership of the Stock except to the extent of that Filer's pecuniary interest therein.
Item 9. Notice of Dissolution of Group
Not applicable.
Item 10. Certification of Criterion Capital Management, LLC, Christopher H. Lord, David K. Riley, R. Daniel Beckham and Evan C. Marwell:
By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.
Certification of Criterion Capital Partners, Ltd.:
By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.
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: May 2, 2007
Criterion Capital Management, LLC
/R. Daniel Beckham
By: R. Daniel Beckham
Chief Operating Officer
|
|
Christopher H. Lord, by Criterion Capital Management, LLC, as attorney in fact
/R. Daniel Beckham
By: R. Daniel Beckham
Chief Operating Officer |
David K. Riley, by Criterion Capital Management, LLC, as attorney in fact
/R. Daniel Beckham
By: R. Daniel Beckham
Chief Operating Officer
|
R. Daniel Beckham |
Evan C. Marwell, by Criterion Capital Management, LLC, as attorney in fact
/R. Daniel Beckham
By: R. Daniel Beckham
Chief Operating Officer
|
Criterion Capital Partners, Ltd.
By: Criterion Capital Management, LLC
By: R. Daniel Beckham
Chief Operating Officer
|
|
EXHIBIT A
AGREEMENT REGARDING JOINT FILING
OF STATEMENT ON SCHEDULE 13D OR 13G
The undersigned agree to file jointly with the Securities and Exchange Commission (the "SEC") any and all statements on Schedule 13D or Schedule 13G (and any amendments or supplements thereto) required under section 13(d) of the Securities Exchange Act of 1934, as amended, in connection with purchases by the undersigned of the common stock of any issuer. For that purpose, the undersigned hereby constitute and appoint Criterion Capital Management, LLC, a California limited liability company, as their true and lawful agent and attorney-in-fact, with full power and authority for and on behalf of the undersigned to prepare or cause to be prepared, sign, file with the SEC and furnish to any other person all certificates, instruments, agreements and documents necessary to comply with section 13(d) and section 16(a) of the Securities Exchange Act of 1934, as amended, in connection with said purchases, and to do and perform every act necessary and proper to be done incident to the exercise of the
foregoing power, as fully as the undersigned might or could do if personally present.
Dated: May 2, 2007
|
CRITERION CAPITAL MANAGEMENT, LLC
By: R. Daniel Beckham, Chief Operating Officer
|
|
Christopher H. Lord |
|
David K. Riley |
|
R. Daniel Beckham
|
|
Evan C. Marwell
|
|
CRITERION CAPITAL PARTNERS, LTD.
By: Criterion Capital Management, LLC
By: R. Daniel Beckham, Chief Operating Officer
|
6222\007\CREISER\1432336.1
5/2/07
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