-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: keymaster@town.hall.org Originator-Key-Asymmetric: MFkwCgYEVQgBAQICAgADSwAwSAJBALeWW4xDV4i7+b6+UyPn5RtObb1cJ7VkACDq pKb9/DClgTKIm08lCfoilvi9Wl4SODbR1+1waHhiGmeZO8OdgLUCAwEAAQ== MIC-Info: RSA-MD5,RSA, JG2QkQ4NUuGUpAo7zJPyAPAycn3y7/pB7VTngksGAdZLetS3Mj6GuRFv3oHdR3x7 5zXbVb44Wuj0y8rF+wvCdQ== 0000950109-95-001934.txt : 19950517 0000950109-95-001934.hdr.sgml : 19950517 ACCESSION NUMBER: 0000950109-95-001934 CONFORMED SUBMISSION TYPE: 424B3 PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19950516 SROS: NYSE FILER: COMPANY DATA: COMPANY CONFORMED NAME: STERLING SOFTWARE INC CENTRAL INDEX KEY: 0000716714 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 751873956 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: 424B3 SEC ACT: 1933 Act SEC FILE NUMBER: 033-71706 FILM NUMBER: 95540040 BUSINESS ADDRESS: STREET 1: 8080 N CENTRAL EXPWY STE 1100 CITY: DALLAS STATE: TX ZIP: 75206 BUSINESS PHONE: 2148918600 424B3 1 PROSPECTUS SUPPLEMENT Registration Statement No. 33-71706, Filed Pursuant to Rules 424(b)(3) and 424(c) STERLING SOFTWARE, INC. SUPPLEMENT TO PROSPECTUS DATED December 7, 1993 With respect to the Prospectus covering 2,529,542 shares of Common Stock of Sterling Software, Inc. (the "Company") filed with the Form S-3 Registration Statement No. 33-71706: The section entitled "Selling Stockholders" is hereby amended to add the following disclosure: The following Selling Stockholders (collectively, the "TA Affiliates") have entered into negotiations with Alex. Brown & Sons Incorporated ("Alex. Brown") with respect to the sale of their Warrants (the "TA Warrants") to Alex. Brown (the "Sale"), and the Company is supplementing the Prospectus to add Alex. Brown as a Selling Stockholder thereunder in the event the Sale is consummated: Advent VI L.P., Advent Atlantic and Pacific Limited Partnership, Advent Atlantic and Pacific II L.P., Advent New York L.P., Advent Industrial II L.P., TA Venture Investors Limited Partnership, Chestnut III Limited Partnership, Chestnut Capital International III Limited Partnership, Desifta Limited and Sofilec S.A. Set forth below are the number of shares of Common Stock owned by each of the TA Affiliates and Alex. Brown (or that could be acquired upon exercise of Warrants), the number of shares of Common Stock that may be offered by each of the TA Affiliates and Alex. Brown pursuant to this Prospectus, and the number of shares of Common Stock to be owned by each of the TA Affiliates and Alex. Brown upon completion of the offering if all such shares are sold. Any or all of the shares of Common Stock listed below may be offered for sale from time to time by the respective TA Affiliates (and/or Alex. Brown if the Sale is consummated).
Shares Owned Shares which Shares Owned Before the May be After the Name Offering Offered Offering - -------------------------------- ------------ ------------ ------------ Advent VI L.P.(1)(2) 108,340 108,340 - Advent Atlantic and Pacific 14,874 14,874 - Limited Partnership(1)(3) Advent Atlantic and Pacific II 13,543 13,543 - L.P.(1)(4) Advent New York L.P.(1)(5) 10,834 10,834 - Advent Industrial II L.P.(1)(6) 7,266 7,266 - TA Venture Investors Limited 2,167 2,167 - Partnership(1)(7)
Shares Owned Shares which Shares Owned Before the May be After the Name Offering Offered Offering - -------------------------------- ------------ ------------ ------------ Chestnut III Limited 7,885 7,885 - Partnership(8) Chestnut Capital International III 3,270 3,270 - Limited Partnership(9) Desifta Limited(10) 3,270 3,270 - Sofilec S.A.(11) 4,514 4,514 - Alex. Brown & Sons 175,963(13)(14) 175,963(14) - Incorporated(12)
- ------------------------- (1) Mr. Brian J. Conway, a former director of SCI, is a General Partner of TA Associates, the general partner, or an affiliate of the general partner, of the partnership. (2) Consists of 108,340 shares issuable upon exercise of Warrants. (3) Consists of 14,874 shares issuable upon exercise of Warrants. (4) Consists of 13,543 shares issuable upon exercise of Warrants. (5) Consists of 10,834 shares issuable upon exercise of Warrants. (6) Consists of 7,266 shares issuable upon exercise of Warrants. (7) Consists of 2,167 shares issuable upon exercise of Warrants. (8) Consists of 7,885 shares issuable upon exercise of Warrants. (9) Consists of 3,270 shares issuable upon exercise of Warrants. (10) Consists of 3,270 shares issuable upon exercise of Warrants. (11) Consists of 4,514 shares issuable upon exercise of Warrants. (12) Alex. Brown has, in the past, provided investment banking services to the Company. In March 1993, Alex. Brown acted as a financial advisor to the Board of Directors of the Company in connection with the acquisition of SCI and was also the lead-managing underwriter of the January 1993 public offering of the 5 3/4% convertible subordinated debentures of the Company. (13) As of the date of this Prospectus Supplement, Alex. Brown does not beneficially own any shares of Common Stock. As a broker-dealer, Alex. Brown may from time to time buy or sell shares of Common Stock to facilitate customer trading or for its own account, and, accordingly, may have resulting long or short balances. If and when the TA Affiliates and Alex. Brown enter into a definitive agreement with respect to the Sale, Alex. Brown will be deemed to have acquired beneficial ownership of the 175,963 shares of Common Stock underlying the TA Warrants. (14) Assumes consummation of the Sale. The date of this Prospectus Supplement is May 16, 1995. 387502/D -2-
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