-----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, PIopTHGO0pNMmcNF1sKO2vhWq3ShoPwh3F3qqWw0gbwnV+dUKb/affQVTgUEdmf+ 3L7nmoS+yfbKZlIZz9yj2w== 0000912057-00-004683.txt : 20000210 0000912057-00-004683.hdr.sgml : 20000210 ACCESSION NUMBER: 0000912057-00-004683 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20000209 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: BARRA INC /CA CENTRAL INDEX KEY: 0000878483 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMPUTER PROGRAMMING, DATA PROCESSING, ETC. [7370] IRS NUMBER: 942993326 STATE OF INCORPORATION: DE FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-42152 FILM NUMBER: 528428 BUSINESS ADDRESS: STREET 1: 2100 MILVIA STREET CITY: BERKELEY STATE: CA ZIP: 94704-1113 BUSINESS PHONE: 5105485442 MAIL ADDRESS: STREET 1: 2100 MILVIA STREET CITY: BERKELEY STATE: CA ZIP: 94704 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: RUDD ANDREW CENTRAL INDEX KEY: 0000901169 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 35 VALLEY VIEW ROAD CITY: ORINDA STATE: CA ZIP: 94536 BUSINESS PHONE: 5106494564 MAIL ADDRESS: STREET 1: 35 VALLEY VIEW ROAD CITY: ORINDA STATE: CA ZIP: 94536 SC 13G/A 1 SCHEDUEL 13G/A SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. 8 )(1) BARRA, Inc. - ------------------------------------------------------------------------------- (Name of Issuer) Common Stock - ------------------------------------------------------------------------------- (Title of Class of Securities) 068313-10-5 - ------------------------------------------------------------------------------- (CUSIP Number) March 5, 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) [X] Rule 13d-1(c) [X] Rule 13d-1(d) - -------- (1) 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). CUSIP No. 068313-10-5 13G Page 2 of 13 pages - ------------------------------------------------------------------------------------------------------------------- (1) NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) Andrew Rudd - ------------------------------------------------------------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) / / (b) / / - ------------------------------------------------------------------------------------------------------------------- (3) SEC USE ONLY - ------------------------------------------------------------------------------------------------------------------- (4) CITIZENSHIP OR PLACE OF ORGANIZATION England - ------------------------------------------------------------------------------------------------------------------- (5) SOLE VOTING POWER 29,028 (represents options to purchase the Issuer's Common NUMBER OF Stock that are currently exercisable or that become SHARES exercisable within 60 days after December 31, 1999) BENEFICIALLY OWNED BY ------------------------------------------------------------------------------ EACH (6) SHARED VOTING POWER REPORTING PERSON 2,676,700 WITH (See Item 6 on page 9 of this statement) ------------------------------------------------------------------------------ (7) SOLE DISPOSITIVE POWER 29,028 (represents options to purchase the Issuer's Common Stock that are currently exercisable or that become exercisable within 60 days after December 31, 1999) ------------------------------------------------------------------------------ (8) SHARED DISPOSITIVE POWER 2,676,700 (See Item 6 on page 9 of this statement) CUSIP No. 068313-10-5 13G Page 3 of 13 pages - ------------------------------------------------------------------------------------------------------------------- (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON 2,705,728 (See Item 6 on page 9 of this statement) - ------------------------------------------------------------------------------------------------------------------- (10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES /X/ (See Item 6 on page 9 of this statement) - ------------------------------------------------------------------------------------------------------------------- (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 19.3 % - ------------------------------------------------------------------------------ (12) TYPE OF REPORTING PERSON IN
CUSIP No. 068313-10-5 13G Page 4 of 13 pages - ------------------------------------------------------------------------------------------------------------------- (1) NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) Virginia Rudd - ------------------------------------------------------------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) / / (b) / / - ------------------------------------------------------------------------------------------------------------------- (3) SEC USE ONLY - ------------------------------------------------------------------------------------------------------------------- (4) CITIZENSHIP OR PLACE OF ORGANIZATION England - ------------------------------------------------------------------------------------------------------------------- (5) SOLE VOTING POWER 0 ------------------------------------------------------------------------------ NUMBER OF (6) SHARED VOTING POWER SHARES BENEFICIALLY OWNED BY 2,676,700 EACH (See Item 6 on page 9 of this statement) REPORTING ------------------------------------------------------------------------------ PERSON (7) SOLE DISPOSITIVE POWER WITH 0 ------------------------------------------------------------------------------ (8) SHARED DISPOSITIVE POWER 2,676,700 (See Item 6 on page 9 of this statement) - ------------------------------------------------------------------------------------------------------------------- (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON 2,676,700 (See Item 6 on page 9 of this statement) CUSIP No. 068313-10-5 13G Page 5 of 13 pages - ------------------------------------------------------------------------------------------------------------------- (10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES /X/ (See Item 6 on page 9 of this statement) - ------------------------------------------------------------------------------------------------------------------- (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 19.1 % - ------------------------------------------------------------------------------ (12) TYPE OF REPORTING PERSON IN
CUSIP No. 068313-10-5 13G Page 6 of 13 pages - ------------------------------------------------------------------------------------------------------------------- (1) NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) Rudd Family Trust - ------------------------------------------------------------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) / / (b) / / - ------------------------------------------------------------------------------------------------------------------- (3) SEC USE ONLY - ------------------------------------------------------------------------------------------------------------------- (4) CITIZENSHIP OR PLACE OF ORGANIZATION California - ------------------------------------------------------------------------------------------------------------------- (5) SOLE VOTING POWER 0 ------------------------------------------------------------------------------ NUMBER OF (6) SHARED VOTING POWER SHARES BENEFICIALLY OWNED BY 2,643,200 EACH (See Item 6 on page 9 of this statement) REPORTING ------------------------------------------------------------------------------ PERSON (7) SOLE DISPOSITIVE POWER WITH 0 ------------------------------------------------------------------------------ (8) SHARED DISPOSITIVE POWER 2,643,200 (See Item 6 on page 9 of this statement) - ------------------------------------------------------------------------------------------------------------------- (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON 2,643,200 (See Item 6 on page 9 of this statement) CUSIP No. 068313-10-5 13G Page 7 of 13 pages - ------------------------------------------------------------------------------------------------------------------- (10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES /X/ (See Item 6 on page 9 of this statement) - ------------------------------------------------------------------------------------------------------------------- (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 18.8 % - ------------------------------------------------------------------------------ (12) TYPE OF REPORTING PERSON 00 (Trust)
CUSIP No. 068313-10-5 13G Page 8 of 13 pages - --------------------- ---------------------------------------------------------- ITEM 1(a). NAME OF ISSUER BARRA, Inc. ITEM 1(b). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES 2100 Milvia Street Berkeley, California 94704 ITEM 2(a). NAME OF PERSONS FILING A. Andrew Rudd B. Virginia Rudd C. Rudd Family Trust This Schedule 13G is filed on behalf of Andrew Rudd, Virginia Rudd and the Rudd Family Trust ("Reporting Persons") pursuant to Rule 13d-1(k)(1). A joint filing agreement of the Reporting Persons is attached hereto as Exhibit 1. See also Item 6 on page 9 of this Schedule 13G. ITEM 2(b). ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE A. 35 Valley View Road, Orinda CA 94536 B. 35 Valley View Road, Orinda CA 94536 C. 35 Valley View Road, Orinda CA 94536 ITEM 2(c). CITIZENSHIP OR PLACE OF ORGANIZATION A. England B. England C. California ITEM 2(d). TITLE OF CLASS OF SECURITIES Common Stock ITEM 2(e). CUSIP NUMBER 068313-10-5 CUSIP No. 068313-10-5 13G Page 9 of 13 pages ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO RULE 13d-1(b), OR 13d-2(b) OR (c), CHECK WHETHER THE PERSON FILING IS A: Not Applicable ITEM 4. OWNERSHIP The information required by this Item 4 for each Reporting Person is set forth on the respective cover page of this Schedule 13G applicable to such Reporting Person in Items 5-11 thereof and such Items are incorporated herein by reference. See also Item 6 below. 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 As of December 31, 1999, the Rudd Family Trust (the "Trust") held title to 2,643,200 shares of Common Stock of BARRA, Inc. (the "Stock"). Andrew Rudd ("Dr. Rudd") and his wife, Virginia Rudd, are the trustees of the Trust and, as such, share the voting and dispositive powers for such Stock. Such 2,643,200 shares held in the Trust represented approximately 18.8 % of the Issuer's total issued and outstanding Stock. As of December 31, 1999, the Rudd Family Foundation (the "Foundation") held title to 33,500 shares of Stock. Dr. Rudd, Virginia Rudd and one of their sons are the trustees of the Foundation and, as such, share the voting and dispositive powers for such Stock. Such 33,500 shares held by the Foundation represented less than five percent of the Issuer's total issued and outstanding Stock. As of December 31, 1999, 50,448 shares of the Stock were held in equal parts by "Peter Rudd as custodian for [each of Dr. Rudd's four children] under the California Uniform Transfers to Minors Act" ("CUTMA") and 72,300 shares of the Stock were held by the CANN 1997 Trust ("CANN"). None of the Reporting Persons has sole or shared voting or dispositive power over the Stock held by the CUTMA or the CANN. Accordingly, each of the Reporting Persons disclaims beneficial ownership of such shares pursuant to Rule 13d-4 under the Securities Exchange Act of 1934, as amended. The share amounts and percentages set forth in this Item 6 are based upon 14,038,715 shares of Stock outstanding as reported in the Issuer's Form 10-Q for the quarter ended September 30, 1999. In addition, the shares of Stock beneficially owned by Dr. Rudd and Virginia Rudd may be subject to CUSIP No. 068313-10-5 13G Page 10 of 13 pages community property laws where 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 By signing below we certify that, to the best of our 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. CUSIP No. 068313-10-5 13G Page 11 of 13 pages 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. February 9, 2000 --------------------------------------------------- Date /s/ Andrew Rudd --------------------------------------------------- Signature Andrew Rudd --------------------------------------------------- Name/Title February 9, 2000 --------------------------------------------------- Date /s/ Virginia Rudd --------------------------------------------------- Signature Virginia Rudd --------------------------------------------------- Name/Title February 9, 2000 --------------------------------------------------- Date /s/ Andrew Rudd --------------------------------------------------- Signature Andrew Rudd, Trustee of the Rudd Family Trust --------------------------------------------------- Name/Title February 9, 2000 --------------------------------------------------- Date /s/ Virginia Rudd --------------------------------------------------- Signature Virginia Rudd, Trustee of the Rudd Family Trust --------------------------------------------------- Name/Title CUSIP No. 068313-10-5 13G Page 12 of 13 pages EXHIBIT INDEX Exhibit No. Description - ---------------- ---------------------------- 1 Joint Filing Agreement CUSIP No. 068313-10-5 13G Page 13 of 13 pages JOINT FILING AGREEMENT Each of the undersigned agrees that the Schedule 13G to be jointly filed with the Securities and Exchange Commission pursuant to Rule 13(d)-1(k)(1) of the Securities Exchange Act of 1934 on or about this date, with respect to the reporting of the beneficial ownership of shares of Common Stock of BARRA, Inc. is being, and any and all amendments to such Schedule 13G may be, filed on behalf of each of the undersigned. This agreement may be executed in two or more counterparts, each of which will be deemed an original, but all of which together shall constitute one and the same instrument. Dated: February 9, 2000 /s/ Andrew Rudd /s/ Virginia Rudd - ---------------------------------------- -------------------------------------- Andrew Rudd Virginia Rudd RUDD FAMILY TRUST /s/ Andrew Rudd - ----------------------------------------------------------- Andrew Rudd, Trustee /s/ Virginia Rudd - ----------------------------------------------------------- Virginia Rudd, Trustee -----END PRIVACY-ENHANCED MESSAGE-----