-----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, TkfyrNNNHaRoDYlEDeHrU67nPqhX+JCXKW3K/umt0VfpSEqud26BDb2H0++H9etI vwt4zML3et6aSG063AWAJw== 0000950149-04-000285.txt : 20040205 0000950149-04-000285.hdr.sgml : 20040205 20040205152937 ACCESSION NUMBER: 0000950149-04-000285 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20040205 GROUP MEMBERS: RUDD FAMILY TRUST GROUP MEMBERS: VIRGINIA RUDD 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: 1934 Act SEC FILE NUMBER: 005-42152 FILM NUMBER: 04570012 BUSINESS ADDRESS: STREET 1: 2100 MILVIA ST 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 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 f96204sc13gza.htm SCHEDULE 13 G/A sc13gza
 

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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

SCHEDULE 13G

Under the Securities Exchange Act of 1934
(Amendment No. 12)*

Barra, Inc.


(Name of Issuer)

Common Stock


(Title of Class of Securities)

068313-10-5


(Cusip Number)

July 9, 2003


(Date of Event Which Requires Filing of this Statement)

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

        o Rule 13d-1 (b)

        o Rule 13d-1 (c)

        þ 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).

 


 

             
CUSIP No. 068313-10-5 13GPage 2 of 10 pages

  1. Name of Reporting Person:
Andrew Rudd
I.R.S. Identification Nos. of above persons (entities only):

  2. Check the Appropriate Box if a Member of a Group:
    (a) o  
    (b) o  

  3. SEC Use Only:

  4. Citizenship or Place of Organization:
England

Number of
Shares
Beneficially
Owned by
Each Reporting
Person With
5. Sole Voting Power:
545,000*
* Includes 45,000 shares of the Issuer’s Common Stock that are subject to options exercisable or that become exercisable within 60 days after December 31, 2003, as determined in accordance with Rule 13d-3(d)(1). (See also Item 6 on page 6 of this Statement).

6. Shared Voting Power:
2,690,968
(See also Item 6 on page 6 of this statement)

7. Sole Dispositive Power:
545,000*
*Includes 45,000 shares of the Issuer’s Common Stock that are subject to options exercisable or that become exercisable within 60 days after December 31, 2003, as determined in accordance with Rule 13d-3(d)(1). (See also Item 6 on page 6 of this Statement)

8.Shared Dispositive Power:
2,690,968
(See Item 6 on page 6 of this statement)

  9.Aggregate Amount Beneficially Owned by Each Reporting Person:
3,235,968
(See Item 6 on page 6 of this statement)

  10.Check if the Aggregate Amount in Row (9) Excludes Certain Shares:
(See Item 6 on page 6 of this statement)     þ

  11.Percent of Class Represented by Amount in Row (9):
16.6%

  12.Type of Reporting Person:
IN


 

             
CUSIP No. 068313-10-5 13GPage 3 of 10 pages

  1. Name of Reporting Person:
Virginia Rudd
I.R.S. Identification Nos. of above persons (entities only):

  2. Check the Appropriate Box if a Member of a Group:
    (a) o  
    (b) o  

  3. SEC Use Only:

  4. Citizenship or Place of Organization:
England

Number of
Shares
Beneficially
Owned by
Each Reporting
Person With
5. Sole Voting Power:
0

6. Shared Voting Power:
2,690,968
(See Item 6 on page 6 of this statement)

7. Sole Dispositive Power:
0

8.Shared Dispositive Power:
2,690,968
(See Item 6 on page 6 of this statement)

  9.Aggregate Amount Beneficially Owned by Each Reporting Person:
2,690,968
(See Item 6 on page 6 of this statement)

  10.Check if the Aggregate Amount in Row (9) Excludes Certain Shares:
(See Item 6 on page 6 of this statement)     þ

  11.Percent of Class Represented by Amount in Row (9):
13.8%

  12.Type of Reporting Person:
IN


 

             
CUSIP No. 068313-10-5 13GPage 4 of 10 pages

  1. Name of Reporting Person:
Rudd Family Trust
I.R.S. Identification Nos. of above persons (entities only):

  2. Check the Appropriate Box if a Member of a Group:
    (a) o  
    (b) o  

  3. SEC Use Only:

  4. Citizenship or Place of Organization:
California

Number of
Shares
Beneficially
Owned by
Each Reporting
Person With
5. Sole Voting Power:
0

6. Shared Voting Power:
2,020,968
(See Item 6 on page 6 of this statement)

7. Sole Dispositive Power:
0

8.Shared Dispositive Power:
2,020,968
(See Item 6 on page 6 of this statement)

  9.Aggregate Amount Beneficially Owned by Each Reporting Person:
2,020,968
(See Item 6 on page 6 of this statement)

  10.Check if the Aggregate Amount in Row (9) Excludes Certain Shares:
(See Item 6 on page 6 of this statement)     þ

  11.Percent of Class Represented by Amount in Row (9):
10.4 %

  12.Type of Reporting Person:
OO (Trust)


 

CUSIP No. 068313-10-5   13G   Page 5 of 10 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 6 of this Schedule 13G.
     
ITEM 2(b).   ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE
     
    A.     35 Valley View Road, Orinda CA 94563
    B.     35 Valley View Road, Orinda CA 94563
    C.     35 Valley View Road, Orinda CA 94563
     
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 6 of 10 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, 2003, the Rudd Family Trust (the “Trust”) held title to 2,020,968 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. The 2,020,968 shares held in the Trust represented approximately 10.4% of the Issuer’s total issued and outstanding Stock as of December 31, 2003.
     
    As of December 31, 2003, the Rudd Family Foundation (the “Foundation”) held title to 170,000 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. The 170,000 shares held by the Foundation represented less than five percent of the Issuer’s total issued and outstanding Stock as of December 31, 2003.
     
    On July 9, 2003, the Trust transferred 500,000 shares of Stock to the Andrew T. Rudd Grantor Retained Annuity Trust U/A/D 6/13/2003 (“Andrew GRAT”) and 500,000 shares of Stock to the Virginia A. Rudd Grantor Retained Annuity Trust U/A/D 6/13/2003 (“Virginia GRAT”). Dr. Rudd serves as the trustee for both of these Grantor Retained Annuity Trusts. Dr. Rudd and Virginia Rudd both share voting and dispositive power over stock held in Virginia GRAT, whereas, Dr. Rudd has sole voting and dispositive power over stock held in Andrew GRAT.
     
    In addition, the shares of Stock beneficially owned by Dr. Rudd and Virginia Rudd may be subject to community property laws where applicable.
     
    The share amounts and percentages reported as beneficially owned by the Reporting Persons in this Schedule 13G are based upon 19,437,258 shares of the Issuer’s Common Stock outstanding as of November 3, 2003, as reported on the Issuer’s 10-Q for the period ended September 30, 2003, plus, if applicable, the

 


 

CUSIP No. 068313-10-5   13G   Page 7 of 10 pages
     
    number of shares issuable upon exercise of options held by the Reporting Person that are exercisable or that will become exercisable within 60 days after the date hereof.
     
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 8 of 10 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 1, 2004
   
    Date
     
    /s/ Andrew Rudd
   
    Signature
     
    Andrew Rudd
   
    Name/Title
     
    February 1, 2004
   
    Date
     
    /s/ Virginia Rudd
   
    Signature
     
    Virginia Rudd
   
    Name/Title
     
    February 1, 2004
   
    Date
     
    /s/ Andrew Rudd
   
    Signature
     
    Andrew Rudd, Trustee of the Rudd Family Trust
   
    Name/Title
     
    February 1, 2004
   
    Date
     
    /s/ Virginia Rudd
   
    Signature
     
    Virginia Rudd, Trustee of the Rudd Family Trust
   
    Name/Title

 


 

CUSIP No. 068313-10-5   13G   Page 9 of 10 pages

EXHIBIT INDEX

         
Exhibit No.   Description    

 
   
1   Joint Filing Agreement    

 


 

CUSIP No. 068313-10-5   13G   Page 10 of 10 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 1, 2004

     
/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
   

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