-----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, KUyQ0R2JqWWByBpLnCvFYUxdpS9mxRYdXUoJ+fr/AJnEoQ6zJlOHlIl4v+VZ5ZGS 97DKJXa4pbMtmf87dRI7Ag== 0000922423-09-000208.txt : 20090218 0000922423-09-000208.hdr.sgml : 20090218 20090218153144 ACCESSION NUMBER: 0000922423-09-000208 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20090218 DATE AS OF CHANGE: 20090218 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Berman Marc Ethan CENTRAL INDEX KEY: 0001425045 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: BUSINESS PHONE: 212-981-7416 MAIL ADDRESS: STREET 1: C/O RISKMETRICS GROUP, INC. STREET 2: ONE CHASE MANHATTAN PLAZA, 44TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10005 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: RiskMetrics Group Inc CENTRAL INDEX KEY: 0001295172 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-BUSINESS SERVICES, NEC [7389] IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-83615 FILM NUMBER: 09618508 BUSINESS ADDRESS: STREET 1: ONE CHASE MANHATTAN PLAZA STREET 2: 44TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10005 BUSINESS PHONE: 212-981-7475 MAIL ADDRESS: STREET 1: ONE CHASE MANHATTAN PLAZA STREET 2: 44TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10005 SC 13G 1 kl02061.htm SCHEDULE 13G kl02061.htm



SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C.  20549
 
                   
 
Under the Securities Exchange Act of 1934
 
SCHEDULE 13G


INFORMATION STATEMENT PURSUANT TO RULES 13d-1 AND 13d-2
UNDER THE SECURITIES EXCHANGE ACT OF 1934
 
        RiskMetrics Group, Inc.       
(Name of Issuer)
 
         Common Stock, par value $0.01 per share         
(Title of Class of Securities)
 
         767735103         
(CUSIP Number)
 
December 31, 2008
(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)
ý Rule 13d-1(d)
 
                   
 

 
 

 

SCHEDULE 13G
 
CUSIP No. 767735103                                                                                                                                          
 
1)
NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
 
Marc Ethan Berman, ###-##-####
2)
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a)       ¨
(b)       ¨
3)
SEC USE ONLY
 
4)
CITIZENSHIP OR PLACE OF ORGANIZATION
 
United States
 
NUMBER
OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
5)
SOLE VOTING POWER
 
6,516,075
6)
SHARED VOTING POWER
 
0
7)
SOLE DISPOSITIVE POWER
 
6,516,075
8)
SHARED DISPOSITIVE POWER
 
0
9)
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
 
6,516,075
10)
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
¨
11)
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
 
10.62 %
12)
TYPE OF REPORTING PERSON
 
IN


 

 
 

 


Schedule 13G
 
Item 1(a).
Name of Issuer:
 
RiskMetrics Group, Inc.
 
Item 1(b).
Address of Issuer’s Principal Executive Offices:
 
One Chase Manhattan Plaza, 44th Floor
New York, New York  10005

Item 2(a).               Name of Person Filing:

Marc Ethan Berman
 
Item 2(b).
Address of Principal Business Office or, if None, Residence:
 
c/o RiskMetrics Group, Inc.
One Chase Manhattan Plaza, 44th Floor
New York, New York  10005

Item 2(c).
Citizenship:
 
United States
 
Item 2(d).
Title of Class of Securities:
 
Common Stock, par value $.01 per share
 
Item 2(e).
CUSIP Number:
 
 
__________________
 
Item 3.
If this statement is filed pursuant to §§ 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)
¨
Investment Adviser in accordance with § 240.13d-1(b)(1)(ii)(E)
 
 
(f)
¨
Employee benefit plan or endowment fund in accordance with § 240.13d-1(b)(1)(ii)(F)
 
 
 

 
 
 
(g)
¨
Parent Holding Company or control person in accordance with §240.13d-1(b)(ii)(G)
 
 
(h)
¨
Savings Association as defined in §3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813)
 
 
(i)
¨
Church plan that is excluded from the definition of an investment company under §3(c)(15) of the Investment Company Act of 1940 (15 U.S.C. 80a-3)
 
 
(j)
¨
Group, in accordance with §240.13d-1(b)(ii)(J)
 
Item 4.
Ownership.
 
 
(a)
Amount beneficially owned: 6,516,075 1
 
 
(b)
Percent of class 2: 10.62 %
 
 
(c)
Number of shares as to which such person has:
 
(i)   
Sole power to vote or to direct the vote: 6,516,075
 
(ii)   
Shared power to vote or to direct the vote: 0
 
(iii)  
Sole power to dispose or to direct the disposition of: 6,516,075
 
(iv)  
Shared power to dispose or to direct the disposition of: 0
 
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.
 
 
 
 
 
 
__________________________
 
1 Consists of 4,968,700 shares of common stock directly owned by Mr. Berman and 1,547,375 shares of common stock underlying currently exercisable options. 
2 Percentages are based on 61,382,497 shares of Common Stock outstanding (as set forth in the Issuer’s Form 10-K for the quarter ended September 30, 2008.
 
 

 
 
 
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 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 knowledge and belief of the undersigned, the undersigned certifies that the information set forth in this statement is true, complete and correct.
 
Date: February 18, 2009
                                                           
                                                                        /s/ Marc Ethan Berman            
                                                                        Marc Ethan Berman


 
 

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