-----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, IEDfD6RlG5fBychsiHupdxAH+y+rGc55IlNH866KcdhVvvDoK/YX8LIM9T8QZ7FN fCOYRbPQlbbqlT2DJTaYRg== 0001193125-04-126280.txt : 20040728 0001193125-04-126280.hdr.sgml : 20040728 20040728161420 ACCESSION NUMBER: 0001193125-04-126280 CONFORMED SUBMISSION TYPE: 8-K/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20040727 ITEM INFORMATION: Other events FILED AS OF DATE: 20040728 FILER: COMPANY DATA: COMPANY CONFORMED NAME: QUEST SOFTWARE INC CENTRAL INDEX KEY: 0001088033 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 330231678 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K/A SEC ACT: 1934 Act SEC FILE NUMBER: 000-26937 FILM NUMBER: 04936170 BUSINESS ADDRESS: STREET 1: 8001 IRVINE CENTER DRIVE CITY: IRVINE STATE: CA ZIP: 92618 BUSINESS PHONE: 9497548000 MAIL ADDRESS: STREET 1: 8001 IRVINE CENTER DRIVE CITY: IRVINE STATE: CA ZIP: 92618 8-K/A 1 d8ka.htm AMENDMENT NO.1 TO FORM 8-K Amendment No.1 to Form 8-K

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 


 

FORM 8-K/A

 

Amendment No.1

 


 

Current Report Pursuant to Section 13 or 15(d) of

The Securities Exchange Act of 1934

 

Date of Report (Date of earliest event reported) July 27, 2004

 


 

QUEST SOFTWARE, INC.

(Exact name of registrant as specified in its charter)

 


 

California   000-26937   33-0231678

(State or other jurisdiction

of incorporation)

  (Commission File Number)  

(IRS Employer

Identification No.)

 

8001 Irvine Center Drive, Irvine, California   92618
(Address of principal executive offices)   (Zip Code)

 

Registrant’s telephone number, including area code: (949) 754-8000

 

Not Applicable

(Former name or former address, if changed since last report.)

 



Explanatory Note

 

Item 5 of this Report is amended to correct information concerning beneficial ownership of Quest Software securities held by Vincent C. Smith. The previously reported information did not reflect the delivery of 2,606,000 shares of Quest Common Stock by Techdollars, LLC, an entity controlled by Mr. Smith, pursuant to a pre-paid variable share forward contract entered into in May 2001.

 

Item 5. Other Events

 

On July 27, 2004, Vincent C. Smith, the chairman of the board and chief executive officer of Quest Software, Inc., executed an Advanced Instruction with Deutsche Bank Securities, Inc. (“DBSI”) for the sale of Quest Software equity securities. The instructions are intended to satisfy the affirmative defense conditions of Rule 10b5-1 under of the Securities Exchange Act of 1934 and are made as part of Mr. Smith’s long-term plans for liquidity and asset diversification. The instructions specifically provide that Mr. Smith will not attempt to exercise any influence over how, when or whether transactions are executed pursuant to these instructions.

 

Mr. Smith has instructed DBSI to sell up to a maximum of 3,000,000 shares of Quest Software common stock during the period from August 1, 2004 through September 3, 2005, through cash market transactions or, in certain circumstances, using one or more variable delivery forward contracts. The number of shares to be sold on any given day will depend on the market price of Quest’s Common Stock, and no shares will be sold under these instructions if the market price of Quest Common Stock is below a target price of $13.00 per share.

 

Mr. Smith beneficially owns 33.0 million shares of Quest Software Common Stock. If he sells all of the shares covered by these Instructions, he would beneficially own 30.0 million shares of Quest Software Common Stock, or approximately 31.4% of Quest Software’s outstanding shares.

 

Transactions executed pursuant to these instructions will be disclosed publicly through Mr. Smith’s filings with the Securities and Exchange Commission. His Form 4 filings will also be posted on the investor relations area of Quest Software’s web site.

 

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SIGNATURE

 

Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

   

QUEST SOFTWARE, INC.

Date: July 28, 2004

 

By:

 

/s/ J. Michael Vaughn


       

J. Michael Vaughn,

       

General Counsel and Secretary

 

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