-----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, SA0+VgpipbfqCsIR1j7Np7VZ0lQoSiIPD16xVy8VnT6Khypdv+NGs7pRw71FgNRl Nu5SQzWoZf4IDkr2koobug== 0001019687-03-000230.txt : 20030213 0001019687-03-000230.hdr.sgml : 20030213 20030212183027 ACCESSION NUMBER: 0001019687-03-000230 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20030213 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: PERSISTENCE SOFTWARE INC CENTRAL INDEX KEY: 0001084400 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 943138935 STATE OF INCORPORATION: CA FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-56467 FILM NUMBER: 03555965 BUSINESS ADDRESS: STREET 1: 1720 SOUTH AMPHLETT BLVD., 3RD FLOOR CITY: SAN MATEO STATE: CA ZIP: 94402 BUSINESS PHONE: 6503417733 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: KEENE CHRISTOPHER T CENTRAL INDEX KEY: 0001105045 IRS NUMBER: 542669182 STATE OF INCORPORATION: CA FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 6001 SHELLMOUND ST. STREET 2: SUITE 800 CITY: EMERYVILLE STATE: CA ZIP: 94608 BUSINESS PHONE: 5102502500 MAIL ADDRESS: STREET 1: 1720 S. AMPHLETT BLVD. THIRD FL CITY: SAN MATEO STATE: CA ZIP: 94402 SC 13G/A 1 keene_13ga3-123102.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. 3)* Persistence Software, Inc - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock - -------------------------------------------------------------------------------- (Title of Class of Securities) 715329 10 8 - -------------------------------------------------------------------------------- (CUSIP Number) December 31, 2002 - -------------------------------------------------------------------------------- (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) [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). CUSIP No. 715329 10 8 - -------------------------------------------------------------------------------- 1. Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only). Christopher T. Keene - -------------------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (See Instructions) (a) ................................................................ (b) ................................................................ - -------------------------------------------------------------------------------- SEC Use Only 3. ...................................................................... - -------------------------------------------------------------------------------- 4. Citizenship or Place of Organization USA - -------------------------------------------------------------------------------- Sole Voting Power Number of 5. 2,582,150 Shares ------------------------------------------------------------ Beneficially Shared Voting Power Owned by 6. -0- Each Reporting ------------------------------------------------------------ Person With Sole Dispositive Power 7. 2,582,150 ------------------------------------------------------------ Shared Dispositive Power 8. -0- - -------------------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 2,582,150 - -------------------------------------------------------------------------------- X 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)Excludes 92,000 shares held by The Alexander Allan Keene Trust and 92,000 shares held by The Austen Foster Keene Trust. Mr. Keene disclaims beneficial ownership of all shares held by these trusts. - -------------------------------------------------------------------------------- 11. Percent of Class Represented by Amount in Row (9) 10.8% (based upon 23,989,958 total shares outstanding as of December 31, 2002) - -------------------------------------------------------------------------------- 12. Type of Reporting Person (See Instructions) IN - -------------------------------------------------------------------------------- Item 1. Name of Issuer (a) Persistence Software. Inc Address of Issuer's Principal Executive Offices (b) 1720 S. Amphlett Blvd., Ste 300, San Mateo, CA 94402 Item 2. Name of Person Filing (a) Christopher T. Keene Address of Principal Business Office or, if none, Residence (b) c/o Persistence Software, Inc., 1720 S. Amphlett Blvd., Ste 300, San Mateo, CA 94402 Citizenship (c) USA Title of Class of Securities (d) Common Stock CUSIP Number (e) 715329 10 8 ITEM 3. If this statement is filed pursuant to ss.ss.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) [ ] An investment adviser in accordance with ss.240.13d-1(b)(1)(ii)(E); (f) [ ] An employee benefit plan or endowment fund in accordance with ss.240.13d-1(b)(1)(ii)(F); (g) [ ] A parent holding company or control person in accordance with ss.240.13d-1(b)(1)(ii)(G); (h) [ ] A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); (i) [ ] 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) [ ] Group, in accordance withss.240.13d-1(b)(1)(ii)(J). 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: 2,582,150 as of December 31, 2002 (b) Percent of class: 10.8% (based upon 23,989,958 total shares outstanding as of December 31, 2002). (c) Number of shares as to which the person has: (i) Sole power to vote or to direct the vote 2,582,150 (ii) Shared power to vote or to direct the vote -0- (iii) Sole power to dispose or to direct the disposition of 2,582,150 (iv) Shared power to dispose or to direct the disposition of -0- INSTRUCTION. For computations regarding securities which represent a right to acquire an underlying security SEE ss.240.13d3(d)(1). 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 ITEM 9. Notice of Dissolution of Group Not Applicable 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, 14, 2003 -------------------------------- Date /s/ CHRISTOPHER T. KEENE --------------------------------- Signature Christopher T. Keene -------------------------------- Name -----END PRIVACY-ENHANCED MESSAGE-----