0001104659-15-008323.txt : 20150211 0001104659-15-008323.hdr.sgml : 20150211 20150210175717 ACCESSION NUMBER: 0001104659-15-008323 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20150211 DATE AS OF CHANGE: 20150210 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: 15595356 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 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: DIMARCO HARLEEN REVOCABLE LIVING TRUST DATED 9/20/90 ET AL CENTRAL INDEX KEY: 0001009280 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] IRS NUMBER: 550275088 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 600 TOWNSEND STREET CITY: SAN FRANCISCO STATE: CA ZIP: 94103 BUSINESS PHONE: 415.543.7696 MAIL ADDRESS: STREET 1: DIMARCO HARLEEN REVOCABLE LIVING TRUST STREET 2: 600 TOWNSEND STREET CITY: SAN FRANCISCO STATE: CA ZIP: 9103 SC 13G/A 1 a15-4147_1sc13ga.htm SC 13G/A

 

 

UNITED STATES

 

 

SECURITIES AND EXCHANGE COMMISSION

 

 

Washington, D.C. 20549

 

 

 

 

SCHEDULE 13G

 

Under the Securities Exchange Act of 1934
(Amendment No. 19)*

 

Advent Software, Inc.

(Name of Issuer)

Common Stock

(Title of Class of Securities)

007974108

(CUSIP Number)

December 31, 2014

(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)

x

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).

 

Persons who 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.

 


 

CUSIP No. 007974108

 

 

1.

Names of Reporting Persons.
DiMarco/Harleen Revocable Living Trust,

Dated 9/20/90, organized in California, as

amended, and Stephanie DiMarco and

James Harleen, Trustees

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

o

 

 

(b)

x Wife and Husband

 

 

3.

SEC Use Only

 

 

4.

Citizenship or Place of Organization
For the Trust-California; The Trustees, Stephanie DiMarco and James Harleen are U.S. citizens

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power
388,104(1)

 

6.

Shared Voting Power
2,652,845(2)

 

7.

Sole Dispositive Power
388,104(1)

 

8.

Shared Dispositive Power
2,652,845(2)

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
3,040,949

 

 

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)  o

 

 

11.

Percent of Class Represented by Amount in Row (9)
5.9 %

 

 

12.

Type of Reporting Person (See Instructions)
OO

 

(1)  Includes 215,042 shares of Common Stock issuable upon exercise of options granted to Stephanie DiMarco pursuant to the issuer’s stock plan, as to which Stephanie DiMarco has sole voting and dispositive power.  Based on the issuer’s closing stock price of $30.64 at December 31, 2014, also includes 171,756 shares of Common Stock issuable upon exercise of stock appreciation rights granted to Stephanie DiMarco pursuant to the issuer’s stock, as to which Stephanie DiMarco has sole voting and dispositive power.

 

(2) Includes 2,253,191 shares of Common Stock held in the name of DiMarco/Harleen 1990 Revocable Living Trust, Dated 9/20/90 organized in California, as amended and 399,654 shares of Common Stock held in the name of DiMarco/Harleen Charitable Trust Dated 02/06/97.

 

2


 

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)

Name of Person Filing
DiMarco/Harleen Revocable Living Trust, dated 9/20/90, as amended, and Stephanie DiMarco and James Harleen, Trustees

 

(b)

Address of Principal Business Office or, if none, Residence
600 Townsend Street, San Francisco, CA 94103

 

(c)

Citizenship
The DiMarco/Harleen Revocable Living Trust, dated 9/20/90, as amended, is a living trust organized in California.  The Trustees, James Harleen and Stephanie DiMarco, are U.S. citizens

 

(d)

Title of Class of Securities
Common Stock

 

(e)

CUSIP Number
007974108

 

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)

o

Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o).

 

(b)

o

Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c).

 

(c)

o

Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c).

 

(d)

o

Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8).

 

(e)

o

An investment advisor in accordance with §240.13d-1(b)(1)(ii)(E);

 

(f)

o

An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);

 

(g)

o

A parent holding company or control person in accordance with §240.13d-1(b)(1)(ii)(G);

 

(h)

o

A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);

 

(i)

o

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)

o

A non-U.S. institution in accordance with Rule 240.13d 1(b)(1)(ii)(J)

 

(k)

o

Group, in accordance with §240.13d-1(b)(1)(ii)(J).

 

3


 

Item 4.

Ownership

Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.

 

(a)

Amount beneficially owned:   

3,040,949

 

(b)

Percent of class:   

5.9%

 

(c)

Number of shares as to which the person has:

 

 

 

(i)

Sole power to vote or to direct the vote   

388,104(1)

 

 

(ii)

Shared power to vote or to direct the vote    

2,652,845(2)

 

 

(iii)

Sole power to dispose or to direct the disposition of   

388,104(1)

 

 

(iv)

Shared power to dispose or to direct the disposition of   

2,652,845(2)

 

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   o.

 

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 or Control Person

Not applicable

 

Item 8.

Identification and Classification of Members of the Group

Not applicable

 

Item 9.

Notice of Dissolution of Group

Not applicable

 

4


 

Item 10.

Certification

Not applicable

 

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, 2015

 

Date

 

 

 

 

 

Signature:

/s/ James Harleen

 

 

James Harleen on behalf of the DiMarco/Harleen Revocable Living Trust, dated 9/20/90, as amended, DiMarco/Harleen Charitable Trust, DiMarco/Harleen 1997 Charitable Trust in his capacity as a Trustee of said Trusts

 

 

 

Signature:

/s/ Stephanie DiMarco

 

 

Stephanie DiMarco, individually, and on behalf of the DiMarco/Harleen Revocable Living Trust, dated 9/20/90, as amended, DiMarco/Harleen Charitable Trust, DiMarco/Harleen 1997 Charitable Trust in her capacity as a Trustee of said Trusts

 

5