-----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, N4amBwBpYxTRqJnO+LQ9881erjvd1AT+tMO1fRte+F4YknNsRdmRtdS5FaeVvhCW fegCxeqMr6/1oJ8tf9ZZGg== 0000898430-01-000471.txt : 20010209 0000898430-01-000471.hdr.sgml : 20010209 ACCESSION NUMBER: 0000898430-01-000471 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20010129 FILED AS OF DATE: 20010208 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ARIBA INC CENTRAL INDEX KEY: 0001084755 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 770439730 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: 3 SEC ACT: SEC FILE NUMBER: 000-26299 FILM NUMBER: 1529030 BUSINESS ADDRESS: STREET 1: 1565 CHARLESTON RD CITY: MOUNTAIN VIEW STATE: CA ZIP: 94043 BUSINESS PHONE: 6509306200 MAIL ADDRESS: STREET 1: 1565 CHARLESTON RD CITY: MOUNTAIN VIEW STATE: CA ZIP: 94043 COMPANY DATA: COMPANY CONFORMED NAME: AGILE SOFTWARE CORP CENTRAL INDEX KEY: 0001088653 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] OWNER IRS NUMBER: 770397905 STATE OF INCORPORATION: DE FISCAL YEAR END: 0430 FILING VALUES: FORM TYPE: 3 BUSINESS ADDRESS: STREET 1: ONE ALMADEN BOULEVARD CITY: SAN JOSE STATE: CA ZIP: 95113 BUSINESS PHONE: 4089753900 MAIL ADDRESS: STREET 1: ONE ALMADEN BOULEVARD CITY: SAN JOSE STATE: CA ZIP: 95113 3 1 0001.txt INITIAL STATEMENT OF BENEFICIAL OWNERSHIP U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 3 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 (Print or Type Responses) 1. Name and Address of Reporting Person* Agile Software Corporation - -------------------------------------------------------------------------------- (Last) (First) (Middle) One Almaden Blvd., 12th Floor - -------------------------------------------------------------------------------- (Street) San Jose, CA 91513 - -------------------------------------------------------------------------------- (City) (State) (Zip) - -------------------------------------------------------------------------------- 2. Date of Event Requiring Statement (Month/Day/Year) 1//29/01 - -------------------------------------------------------------------------------- 3. IRS or Social Security Number of Reporting Person (Voluntary) 77-0397905 - -------------------------------------------------------------------------------- 4. Issuer Name and Ticker or Trading Symbol Ariba, Inc. ARBA - -------------------------------------------------------------------------------- 5. Relationship of Reporting Persons to Issuer: (Check all applicable) Director X 10% Owner ----- ------ Officer (give Other (Specify ----- title below) ------ below) ---------------------------------- - -------------------------------------------------------------------------------- 6. If Amendment, Date of Original (Month/Day/Year) - -------------------------------------------------------------------------------- 7. Individual or Joint/Group Filing (Check Applicable Line) X Form filed by One Reporting Person --- Form filed by More than One Reporting Person --- - --------------------------------------------------------------------------------
Table 1 -- Non-Derivative Securities Beneficially Owned 1. Title of Security 2. Amount of Securities 3. Ownership Form: 4. Nature of Indirect Beneficial Ownership (Instr. 4) Beneficially Owned Direct (D) or (Instr. 5) (Instr. 4) Indirect (I) (Instr. 5) - -------------------------- --------------------------- ----------------- ------------------------------------------ Common Stock 29,366,384 I (1) - -------------------------- --------------------------- ----------------- ------------------------------------------ - -------------------------- --------------------------- ----------------- ------------------------------------------ - -------------------------- --------------------------- ----------------- ------------------------------------------ - -------------------------- --------------------------- ----------------- ------------------------------------------ - -------------------------- --------------------------- ----------------- ------------------------------------------
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. * If the form is filed by more than one reporting person, see Instruction 5(b)(v). (Over) SEC 1473 (7-96) Explanation of Responses: (1) Pursuant to a Voting Agreement and Irrevocable Proxy, dated as of January 29, 2001, between Agile Software Corporation ("Agile") and certain stockholders ("Stockholders") of Ariba, Inc. ("Ariba"), Agile has the limited right to vote each of the 29,366,384 shares beneficially owned by the Stockholders in matters related to a proposed merger between Agile and Ariba. FORM 3 (continued)
Table II -- Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) - ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of Derivative Security 2. Date Exer- 3. Title and Amount of Securities 4. Conversion 5. Ownership 6. Nature of (Instr. 4) cisable and Underlying Derivative Security or Exercise Form of Indirect Expiration (Instr. 4) Price of Derivative Beneficial Date Derivative Security: Ownership (Month/Day/ Security Direct (D) (Instr. 5) Year) or ------- ------- --------------------------------- Indirect (I) Date Expira- Amount (Instr. 5) Exer- tion or cisable Date Title Number of Shares - ------------------------------- ------- ------- ------------------------ ------ --------------- --------------- ------------- - ------------------------------- ------- ------- ------------------------ ------ --------------- --------------- ------------- - ------------------------------- ------- ------- ------------------------ ------ --------------- --------------- ------------- - ------------------------------- ------- ------- ------------------------ ------ --------------- --------------- ------------- - ------------------------------- ------- ------- ------------------------ ------ --------------- --------------- ------------- - ------------------------------- ------- ------- ------------------------ ------ --------------- --------------- ------------- - ------------------------------- ------- ------- ------------------------ ------ --------------- --------------- ------------- - ------------------------------- ------- ------- ------------------------ ------ --------------- --------------- ------------- - ------------------------------- ------- ------- ------------------------ ------ --------------- --------------- ------------- - ------------------------------- ------- ------- ------------------------ ------ --------------- --------------- ------------- - ------------------------------- ------- ------- ------------------------ ------ --------------- --------------- ------------- - ------------------------------- ------- ------- ------------------------ ------ --------------- --------------- ------------- **Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Agile Software Corporation /s/ Thomas P. Shanahan February 8, 2001 _______________________________ ______________ **Signature of Reporting Person Date Chief Financial Officer By: ---------------------------- Authorized Signatory
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, See Instruction 6 for procedure. Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. SEC 1473 (7-96) -----END PRIVACY-ENHANCED MESSAGE-----