-----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, CsXGlI4RsmzdVcLn7+FEUHj8yXzOQp1WeSL8THPB1Nq7SjQbGQqAI/kzgiG0ALPk 5HtX7qpn3wuh42N3GIfi3w== 0000912057-97-004740.txt : 19970222 0000912057-97-004740.hdr.sgml : 19970222 ACCESSION NUMBER: 0000912057-97-004740 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970213 SROS: NASD 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: CA FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-42152 FILM NUMBER: 97528665 BUSINESS ADDRESS: STREET 1: 1995 UNIVERSITY AVE STE 400 CITY: BERKELEY STATE: CA ZIP: 94704 BUSINESS PHONE: 5105485442 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 SCHEDULE 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 4 )* ------ BARRA, Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock - -------------------------------------------------------------------------------- (Title of Class of Securities) 068313-10-5 ---------------------------------- (CUSIP Number) Check the following box if a fee is being paid with this statement / /. (A fee is not required only if the filing person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of five percent or less of such class.) (See Rule 13d-7.) *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 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 4 PAGES CUSIP No. 068313-10-5 13G Page 2 of 4 Pages ----------- --- --- - ------------------------------------------------------------------------------- (1) Names of Reporting Persons. S.S. or I.R.S. Identification Nos. of Above Persons Andrew Rudd ###-##-#### - ------------------------------------------------------------------------------- (2) Check the Appropriate Box if a Member (a) / / of a Group* (b) / / - ------------------------------------------------------------------------------- (3) SEC Use Only - ------------------------------------------------------------------------------- (4) Citizenship or Place of Organization England - ------------------------------------------------------------------------------- Number of Shares (5) Sole Voting Beneficially Power 1,839,000 Owned by -------------------------------------------------- Each Reporting (6) Shared Voting Person With Power 8,500 -------------------------------------------------- (7) Sole Dispositive Power 1,839,000 -------------------------------------------------- (8) Shared Dispositive Power 8,500 - ------------------------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned by Each Reporting Person 1,847,500 - ------------------------------------------------------------------------------- (10) Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares* See Item 6 on page 4 of this Statement. - ------------------------------------------------------------------------------- (11) Percent of Class Represented by Amount in Row (9) 22.06% - ------------------------------------------------------------------------------- (12) Type of Reporting Person* IN - ------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! PAGE 2 OF 4 PAGES Item 1(a). Name of Issuer BARRA, Inc. ITEM 1(b). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES 1995 University Avenue, Suite 400 Berkeley, CA 94704 ITEM 2(a). NAME OF PERSONS FILING Andrew Rudd ITEM 2(b). ADDRESS OF PRINCIPAL BUSINESS OFFICE, OR, IF NONE, RESIDENCE 35 Valley View Road, Orinda, CA 94536 ITEM 2(c). CITIZENSHIP England ITEM 2(d). TITLE OF CLASS OF SECURITIES Common Stock ITEM 2(e). CUSIP NUMBER 068313-10-5 ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO RULES 13-d1(b) OR 13-d-2(b), CHECK WHETHER OR NOT THE PERSON FILING IS A: N/A ITEM 4. OWNERSHIP The information required by this Item 4 is set forth on the cover page of this Schedule 13G in Items 5-11 and is incorporated herein by this reference. See Item 6 below. 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 ceased to be the beneficial owner of more than five percent of the class of securities, check the following []. PAGE 3 OF 4 PAGES ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON The reporting person holds title to the 8,500 shares of Common Stock of BARRA, Inc. with his wife as "Joint Tenants with the right of survivorship and not as Tenants in Common." Accordingly, the reporting person shares the voting and dispositive powers for such stock with his wife. Their shared interest in such stock represents less than five percent of the issued and outstanding Common Stock of BARRA, Inc. The reporting person does not have sole or shared voting or dispositive power over the 32,300 shares of Common Stock of BARRA, Inc. held in equal parts by "Peter Rudd as custodian for [each of the reporting person's four children] under the California Transfers to Minors Act." Accordingly, the reporting person disclaims beneficial ownership of such shares pursuant to Rule 13d-4 under the Securities Exchange Act of 1934, as amended. The remaining 1,839,000 shares of Common Stock of BARRA, Inc. owned by the reporting person may be subject to 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: N/A ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP N/A ITEM 9. NOTICE OF DISSOLUTION OF GROUP N/A ITEM 10. CERTIFICATION 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. 2/3/97 ------------------------------ Date /s/ Andrew Rudd ------------------------------ Signature Andrew Rudd ------------------------------ Name/Title PAGE 4 OF 4 PAGES -----END PRIVACY-ENHANCED MESSAGE-----