-----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, AuJl8+0xdz0iypvCEAqxgnRUrsUUettzTGnNT6EyzARCFer/ynbAF8e1Pzrrl+08 pellMAWyNiJgbUQElXGXRA== 0000860655-97-000052.txt : 19970311 0000860655-97-000052.hdr.sgml : 19970311 ACCESSION NUMBER: 0000860655-97-000052 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970310 SROS: NASD GROUP MEMBERS: ALBERTO W. VILAR GROUP MEMBERS: AMERINDO ADVISORS (UK) LIMITED RETIREMENT BENEFITS SCHEME GROUP MEMBERS: AMERINDO INVESTMENT ADVISORS INC GROUP MEMBERS: AMERINDO INVESTMENT ADVISORS INC. GROUP MEMBERS: AMERINDO INVESTMENT ADVISORS INC. PROFIT SHARING TRUST GROUP MEMBERS: AMERINDO INVESTMENT ADVISORS, INC. GROUP MEMBERS: GARY A. TANAKA GROUP MEMBERS: JAMES P.F. STABLEFORD GROUP MEMBERS: RENATA LE PORT SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: AVANT CORP CENTRAL INDEX KEY: 0000943892 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 943133226 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-45891 FILM NUMBER: 97553742 BUSINESS ADDRESS: STREET 1: 1208 EAST ARQUES AVE CITY: SUNNYVALE STATE: CA ZIP: 94086 BUSINESS PHONE: 4087388881 MAIL ADDRESS: STREET 1: 1208 E ARQUES AVE CITY: SUNNYVALE STATE: CA ZIP: 94086 FORMER COMPANY: FORMER CONFORMED NAME: ARCSYS INC DATE OF NAME CHANGE: 19950413 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: AMERINDO INVESTMENT ADVISORS INC CENTRAL INDEX KEY: 0000860655 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 942997472 STATE OF INCORPORATION: CA FISCAL YEAR END: 0430 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: ONE EMBARCADERO CENTER STREET 2: STE 2300 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 BUSINESS PHONE: 4153620292 MAIL ADDRESS: STREET 1: ONE EMBARCADERO CENTER STREET 2: STE 2300 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 SC 13D/A 1 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 7 )* AVANT! CORPORATION - -------------------------------------------------------------------------------- (Name of Issuer) COMMON STOCK - -------------------------------------------------------------------------------- (Title of Class of Securities) 053487104 ------------------------------- (CUSIP Number) Alberto W. Vilar, Amerindo Investment Advisors Inc., One Embarcadero Center, Suite 2300, San Francisco, CA 94111-3162; Telephone: (415) 362-0292 - -------------------------------------------------------------------------------- (Name, Address and Telephone Number of Persons Authorized to Receive Notices and Communications) February 28, 1997 - -------------------------------------------------------------------------------- (Date of Event which Requires Filing this Statement) If the filing person has previously filed a statement on Schedule 13G to report the acquisition which is the subject of this Schedule 13D/A, and is filing this schedule because of Rule 13D-1(b)(3) or (4), check the following space . --- Check the following space if a fee is being paid with the statement . (A --- fee is not required only if the reporting person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of five percent or less of such class.) (See Rule 13D-7.) NOTE: Six copies of this statement, including all exhibits, should be filed with the Commission. See Rule 13D-1(a) for other parties to whom copies are to be sent. *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 disclosures provided in a prior cover page. The information required on 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). (Continued on following page(s)) CUSIP No. 053487104 13D/A - -------------------------------------------------------------------------------- 1 Name of Reporting Person S.S. or I.R.S. Identification No. of Above Person AMERINDO INVESTMENT ADVISORS INC., a California corporation, AMERINDO INVESTMENT ADVISORS, INC., a Panama corporation, the AMERINDO INVESTMENT ADVISORS INC. PROFIT SHARING TRUST, the AMERINDO ADVISORS (UK) LIMITED RETIREMENT BENEFITS SCHEME, ALBERTO W. VILAR, GARY A. TANAKA, JAMES P.F. STABLEFORD and RENATA LE PORT who disaffirm the existence of any group and who are sometimes collectively referred to as the "Reporting Persons." - -------------------------------------------------------------------------------- 2 Check the Appropriate Box if a Member of a Group* (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC Use Only - -------------------------------------------------------------------------------- 4 Source of Funds* 00 - -------------------------------------------------------------------------------- 5 Check Box if Disclosure of Legal Proceedings is Required [ ] - -------------------------------------------------------------------------------- 6 Citizenship or Place of Organization See Item 6 of separate cover pages for Reporting Persons - -------------------------------------------------------------------------------- 7 Sole Voting Power Number of 4,500 shares in the aggregate for all Reporting Persons and Shares as to all but a portion of which beneficial ownership is Beneficially disclaimed Owned By Each ----------------------------------------------------------------- Reporting 8 Shared Voting Power Person With 5,774,003 shares in the aggregate for all Reporting Persons and as to all but up to 10,000 of which beneficial ownership is disclaimed ----------------------------------------------------------------- 9 Sole Dispositive Power 4,500 shares in the aggregate for all Reporting Persons and as to all but a portion of which beneficial ownership is disclaimed ----------------------------------------------------------------- 10 Shared Dispositive Power 5,774,003 shares in the aggregate for all Reporting Persons and as to all but up to 10,000 of which beneficial ownership is disclaimed - -------------------------------------------------------------------------------- 11 Aggregate Amount Beneficially Owned By Each Reporting Person 5,778,503 shares in the aggregate for all Reporting Persons and as to all but up to 14,500 of which beneficial ownership is disclaimed - -------------------------------------------------------------------------------- 12 Check Box if the Aggregate Amount in Row (11) excludes Certain Shares* [X] - -------------------------------------------------------------------------------- 13 Percent of Class Represented by Amount in Row (11) 23.16% - -------------------------------------------------------------------------------- 14 Type of Reporting Person* IA, EP, IN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! - 2 of 17 - CUSIP No. 053487104 13D/A - -------------------------------------------------------------------------------- 1 Name of Reporting Person S.S. or I.R.S. Identification No. of Above Person AMERINDO INVESTMENT ADVISORS INC. - -------------------------------------------------------------------------------- 2 Check the Appropriate Box if a Member of a Group* (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC Use Only - -------------------------------------------------------------------------------- 4 Source of Funds* 00 - -------------------------------------------------------------------------------- 5 Check Box if Disclosure of Legal Proceedings is Required [ ] - -------------------------------------------------------------------------------- 6 Citizenship or Place of Organization California - -------------------------------------------------------------------------------- 7 Sole Voting Power Number of None Shares Beneficially ----------------------------------------------------------------- Owned By Each 8 Shared Voting Power Reporting Person 4,100,100 shares, as to all of which beneficial ownership With is disclaimed ----------------------------------------------------------------- 9 Sole Dispositive Power None ----------------------------------------------------------------- 10 Shared Dispositive Power 4,100,100 shares, as to all of which beneficial ownership is disclaimed - -------------------------------------------------------------------------------- 11 Aggregate Amount Beneficially Owned By Each Reporting Person 4,100,100 shares, as to all of which beneficial ownership is disclaimed - -------------------------------------------------------------------------------- 12 Check Box if the Aggregate Amount in Row (11) excludes Certain Shares* [X] - -------------------------------------------------------------------------------- 13 Percent of Class Represented by Amount in Row (11) 16.43% - -------------------------------------------------------------------------------- 14 Type of Reporting Person* IA - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! - 3 of 17 - CUSIP No. 053487104 13D/A - -------------------------------------------------------------------------------- 1 Name of Reporting Person S.S. or I.R.S. Identification No. of Above Person AMERINDO INVESTMENT ADVISORS, INC. - -------------------------------------------------------------------------------- 2 Check the Appropriate Box if a Member of a Group* (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC Use Only - -------------------------------------------------------------------------------- 4 Source of Funds* 00 - -------------------------------------------------------------------------------- 5 Check Box if Disclosure of Legal Proceedings is Required [ ] - -------------------------------------------------------------------------------- 6 Citizenship or Place of Organization Panama - -------------------------------------------------------------------------------- 7 Sole Voting Power Number of None Shares Beneficially Owned By ---------------------------------------------------------------- Each 8 Shared Voting Power Reporting Person 1,663,903 shares, as to all of which beneficial ownership With is disclaimed ---------------------------------------------------------------- 9 Sole Dispositive Power None ---------------------------------------------------------------- 10 Shared Dispositive Power 1,663,903 shares, as to all of which beneficial ownership disclaimed - -------------------------------------------------------------------------------- 11 Aggregate Amount Beneficially Owned By Each Reporting Person 1,663,903 shares, as to all of which beneficial ownership disclaimed - -------------------------------------------------------------------------------- 12 Check Box if the Aggregate Amount in Row (11) excludes Certain Shares* [X] - -------------------------------------------------------------------------------- 13 Percent of Class Represented by Amount in Row (11) 6.67% - -------------------------------------------------------------------------------- 14 Type of Reporting Person* IA - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! - 4 of 17 - CUSIP No. 053487104 13D/A - -------------------------------------------------------------------------------- 1 Name of Reporting Person S.S. or I.R.S. Identification No. of Above Person AMERINDO INVESTMENT ADVISORS INC. PROFIT SHARING TRUST - -------------------------------------------------------------------------------- 2 Check the Appropriate Box if a Member of a Group* (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC Use Only - -------------------------------------------------------------------------------- 4 Source of Funds* 00 - -------------------------------------------------------------------------------- 5 Check Box if Disclosure of Legal Proceedings is Required [ ] - -------------------------------------------------------------------------------- 6 Citizenship or Place of Organization Florida - -------------------------------------------------------------------------------- 7 Sole Voting Power Number of 4,500 shares, as to all of which beneficial ownership is Shares disclaimed Beneficially Owned By ---------------------------------------------------------------- Each 8 Shared Voting Power Reporting Person None With ---------------------------------------------------------------- 9 Sole Dispositive Power 4,500 shares, as to all of which beneficial ownership is disclaimed ---------------------------------------------------------------- 10 Shared Dispositive Power None - -------------------------------------------------------------------------------- 11 Aggregate Amount Beneficially Owned by Each Reporting Person 4,500 shares, as to all of which beneficial ownership is disclaimed - -------------------------------------------------------------------------------- 12 Check Box if the Aggregate Amount in Row (11) excludes Certain Shares* [X] - -------------------------------------------------------------------------------- 13 Percent of Class Represented by Amount in Row (11) 0.02% - -------------------------------------------------------------------------------- 14 Type of Reporting Person* EP - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! - 5 of 17 - CUSIP No. 053487104 13D/A - -------------------------------------------------------------------------------- 1 Name of Reporting Person S.S. or I.R.S. Identification No. of Above Person AMERINDO INVESTMENT ADVISORS (UK) LIMITED RETIREMENT BENEFITS SCHEME - -------------------------------------------------------------------------------- 2 Check the Appropriate Box if a Member of a Group* (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC Use Only - -------------------------------------------------------------------------------- 4 Source of Funds* 00 - -------------------------------------------------------------------------------- 5 Check Box if Disclosure of Legal Proceedings is Required [ ] - -------------------------------------------------------------------------------- 6 Citizenship or Place of Organization United Kingdom - -------------------------------------------------------------------------------- 7 Sole Voting Power Number of Shares None Beneficially Owned By ---------------------------------------------------------------- Each 8 Shared Voting Power Reporting Person 10,000 shares, as to all of which beneficial ownership is With disclaimed ---------------------------------------------------------------- 9 Sole Dispositive Power None ---------------------------------------------------------------- 10 Shared Dispositive Power 10,000 shares, as to all of which beneficial ownership is disclaimed - -------------------------------------------------------------------------------- 11 Aggregate Amount Beneficially Owned By Each Reporting Person 10,000 shares, as to all of which beneficial ownership is disclaimed - -------------------------------------------------------------------------------- 12 Check Box if the Aggregate Amount in Row (11) excludes Certain Shares* [X] - -------------------------------------------------------------------------------- 13 Percent of Class Represented by Amount in Row (11) 0.04% - -------------------------------------------------------------------------------- 14 Type of Reporting Person* EP - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! - 6 of 17 - CUSIP No. 053487104 13D/A - -------------------------------------------------------------------------------- 1 Name of Reporting Person S.S. or I.R.S. Identification No. of Above Person ALBERTO W. VILAR - -------------------------------------------------------------------------------- 2 Check the Appropriate Box if a Member of a Group* (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC Use Only - -------------------------------------------------------------------------------- 4 Source of Funds* 00 - -------------------------------------------------------------------------------- 5 Check Box if Disclosure of Legal Proceedings is Required [ ] - -------------------------------------------------------------------------------- 6 Citizenship or Place of Organization United States - -------------------------------------------------------------------------------- 7 Sole Voting Power Number of 4,500 shares, as to only a portion of which beneficial Shares ownership is affirmed Beneficially Owned By ---------------------------------------------------------------- Each 8 Shared Voting Power Reporting Person 5,774,003 shares, as to all but up to 10,000 of which With beneficial ownership is disclaimed ---------------------------------------------------------------- 9 Sole Dispositive Power 4,500 shares, as to only a portion of which beneficial ownership is affirmed ---------------------------------------------------------------- 10 Shared Dispositive Power 5,774,003 shares, as to all but up to 10,000 of which beneficial ownership is disclaimed - -------------------------------------------------------------------------------- 11 Aggregate Amount Beneficially Owned By Each Reporting Person 5,778,503 shares, as to all but a portion of which beneficial ownership is disclaimed - -------------------------------------------------------------------------------- 12 Check Box if the Aggregate Amount in Row (11) excludes Certain Shares* [X] - -------------------------------------------------------------------------------- 13 Percent of Class Represented by Amount in Row (11) 23.16% - -------------------------------------------------------------------------------- 14 Type of Reporting Person* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! - 7 of 17 - CUSIP No. 053487104 13D/A - -------------------------------------------------------------------------------- 1 Name of Reporting Person S.S. or I.R.S. Identification No. of Above Person GARY A. TANAKA - -------------------------------------------------------------------------------- 2 Check the Appropriate Box if a Member of a Group* (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC Use Only - -------------------------------------------------------------------------------- 4 Source of Funds* 00 - -------------------------------------------------------------------------------- 5 Check Box if Disclosure of Legal Proceedings is Required [ ] - -------------------------------------------------------------------------------- 6 Citizenship or Place of Organization United States - -------------------------------------------------------------------------------- 7 Sole Voting Power Number of None Shares Beneficially Owned By ---------------------------------------------------------------- Each 8 Shared Voting Power Reporting Person 5,774,003 shares, as to all but up to 10,000 of which With beneficial ownership is disclaimed ---------------------------------------------------------------- 9 Sole Dispositive Power None ---------------------------------------------------------------- 10 Shared Dispositive Power 5,774,003 shares, as to all but up to 10,000 of which beneficial ownership is disclaimed - -------------------------------------------------------------------------------- 11 Aggregate Amount Beneficially Owned By Each Reporting Person 5,774,003 shares, as to all but a portion of which beneficial ownership is disclaimed - -------------------------------------------------------------------------------- 12 Check Box if the Aggregate Amount in Row (11) excludes Certain Shares* [X] - -------------------------------------------------------------------------------- 13 Percent of Class Represented by Amount in Row (11) 23.14% - -------------------------------------------------------------------------------- 14 Type of Reporting Person* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! - 8 of 17 - CUSIP No. 053487104 13D/A - -------------------------------------------------------------------------------- 1 Name of Reporting Person S.S. or I.R.S. Identification No. of Above Person JAMES P.F. STABLEFORD - -------------------------------------------------------------------------------- 2 Check the Appropriate Box if a Member of a Group* (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC Use Only - -------------------------------------------------------------------------------- 4 Source of Funds* 00 - -------------------------------------------------------------------------------- 5 Check Box if Disclosure of Legal Proceedings is Required [ ] - -------------------------------------------------------------------------------- 6 Citizenship or Place of Organization United Kingdom - -------------------------------------------------------------------------------- 7 Sole Voting Power Number of Shares None Beneficially Owned By ---------------------------------------------------------------- Each 8 Shared Voting Power Reporting Person 10,000 shares, as to only a portion of which beneficial With ownership is affirmed ---------------------------------------------------------------- 9 Sole Dispositive Power None ---------------------------------------------------------------- 10 Shared Dispositive Power 10,000 shares, as to only a portion of which beneficial ownership is affirmed - -------------------------------------------------------------------------------- 11 Aggregate Amount Beneficially Owned By Each Reporting Person 10,000 shares, as to only a portion of which beneficial ownership is affirmed - -------------------------------------------------------------------------------- 12 Check Box if the Aggregate Amount in Row (11) excludes Certain Shares* [X] - -------------------------------------------------------------------------------- 13 Percent of Class Represented by Amount in Row (11) 0.04% - -------------------------------------------------------------------------------- 14 Type of Reporting Person* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! - 9 of 17 - CUSIP No. 053487104 13D/A - -------------------------------------------------------------------------------- 1 Name of Reporting Person S.S. or I.R.S. Identification No. of Above Person RENATA LE PORT - -------------------------------------------------------------------------------- 2 Check the Appropriate Box if a Member of a Group* (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC Use Only - -------------------------------------------------------------------------------- 4 Source of Funds* 00 - -------------------------------------------------------------------------------- 5 Check Box if Disclosure of Legal Proceedings is Required [ ] - -------------------------------------------------------------------------------- 6 Citizenship or Place of Organization United Kingdom - -------------------------------------------------------------------------------- 7 Sole Voting Power Number of Shares None Beneficially Owned By ---------------------------------------------------------------- Each 8 Shared Voting Power Reporting Person 10,000 shares, as to only a portion of which beneficial With ownership is affirmed ---------------------------------------------------------------- 9 Sole Dispositive Power None ---------------------------------------------------------------- 10 Shared Dispositive Power 10,000 shares, as to only a portion of which beneficial ownership is affirmed - -------------------------------------------------------------------------------- 11 Aggregate Amount Beneficially Owned By Each Reporting Person 10,000 shares, as to only a portion of which beneficial ownership is affirmed - -------------------------------------------------------------------------------- 12 Check Box if the Aggregate Amount in Row (11) excludes Certain Shares* [X] - -------------------------------------------------------------------------------- 13 Percent of Class Represented by Amount in Row (11) 0.04% - -------------------------------------------------------------------------------- 14 Type of Reporting Person* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! - 10 of 17 - CUSIP No. 053487104 13D/A ITEM 1. Security and Issuer. - ------- ------------------- The class of equity securities to which this statement relates is the Common Stock of Avant! Corporation ("the Issuer"), whose principal executive offices are located at 1208 East Arques Avenue, Sunnyvale, CA 94086. ITEM 2. Identity and Background. - ------ ----------------------- This statement is being filed by Amerindo Investment Advisors Inc., a California corporation whose principal executive offices are located at One Embarcadero Center, Suite 2300, San Francisco, California, 94111 ("Amerindo"), Amerindo Investment Advisors, Inc., a Panama corporation, whose principal executive offices are located at Edificio Sucre, Calle 48 Este, Bella Vista, Apartado 6277, Panama 5, Panama ("Amerindo Panama"), the Amerindo Investment Advisors Inc. Profit Sharing Trust, the address of which is Gables International Plaza, 2655 Le Jeune Road, Suite 1112, Coral Gables, FL 33134 (the "Plan"), the Amerindo Advisors (UK) Limited Retirement Benefits Scheme, the address of which is 43 Upper Grosvenor Street, London WIX 9PG England ("Retirement Benefits Scheme"), Alberto W. Vilar, Gary A. Tanaka, James P.F. Stableford and Renata Le Port. Although this statement is being made jointly by Amerindo, Amerindo Panama, the Plan, the Retirement Benefits Scheme, Messrs. Vilar, Tanaka, Stableford and Ms. Le Port, each of them expressly disaffirms membership in any group under Rule 13D-5 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or otherwise. Amerindo is registered as an investment advisor under the Investment Advisors Act of 1940, as amended. Messrs. Alberto W. Vilar and Gary A. Tanaka, whose business addresses are the same as those set forth for Amerindo and each of whom is a U.S. citizen, are the only directors and executive officers of Amerindo Panama. They are also the only directors and executive officers of Amerindo, other than Mr. James H. Furey, Chief Operating Officer, and Mr. Joaquin Garcia-Larrieu, Chief Financial Officer. Mr. Furey's business address is at Amerindo's offices at 399 Park Avenue, New York, New York 10022, and Mr. Garcia's business address is Gables International Plaza, 2655 Le Jeune Road, Suite 1112, Coral Gables, FL 33134. Messrs. Alberto W. Vilar, Gary A. Tanaka, James P.F. Stableford and Ms. Renata Le Port are managing trustees of the Amerindo Advisors (UK) Limited Retirement Benefits Scheme and Mr. Vilar is the sole trustee of the Profit Sharing Trust. Amerindo, Amerindo Panama, the Plan, the Retirement Benefits Scheme, Messrs. Vilar, Tanaka, Stableford and Ms. Le Port are sometimes hereinafter collectively referred to as the "Reporting Persons." Messrs. Vilar, Tanaka, Stableford, Furey, Garcia and Ms. Le Port are sometimes hereinafter collectively referred to as the "Other Named Individuals." During the last five years, none of the Reporting Persons or Other Named Individuals has been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors), nor has any such individual or entity been a party to a civil proceeding of a judicial or administrative body of competent jurisdiction as a result of which proceeding such individual or entity was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, Federal or state securities laws or finding any violation with respect to such laws. ITEM 3. Source and Amounts of Funds or Other Consideration. - ------- -------------------------------------------------- All purchases of the subject securities by the Reporting Persons have been in the ordinary course of the respective businesses of Amerindo, Amerindo Panama (collectively, the "Advisor Entities") as investment advisors, except for an aggregate of 10,000 shares which are owned by the Retirement Benefits Scheme and 4,500 shares owned by the Plan. Accordingly, the funds used to purchase the subject securities have been client funds pertaining to accounts under management, except that the shares owned by the Retirement Benefits Scheme and the Plan were purchased with Retirement Benefits Scheme and Plan assets, respectively. Purchases of the Issuer's securities by the Named Individuals would all be and have all been made with their personal funds, except that margin credit may also be, and may have been, employed. - 11 of 17- ITEM 4. Purpose of Transaction. - ------- ---------------------- All of the subject securities have been purchased by the Advisor Entities in the ordinary course of their respective businesses as investment advisors (or, in the case of securities held by the Retirement Benefits Scheme and the Plan, in the ordinary course of investing for the Retirement Benefits Scheme and the Plan), and not with the purpose of effecting change or influencing the control of the issuer or in connection with or as a participant in any transaction having such purpose or effect, including any transaction subject to Rule 13D-3(b) under the Exchange Act. Additionally, because each of the Advisor Entities is obligated to act in the best interests of its respective clients and in accordance with the respective mandates of those clients, there is no agreement between or among any of the Reporting Persons to act together with respect to the Issuer or its securities, except that they may, from time to time and provided that transactions are otherwise being effected at the same time, aggregate orders for client accounts in order to receive more favorable trading terms. Any of the subject securities acquired or which might in the future be acquired by any of the Named Individuals have been and would be acquired for investment and not with the purpose of effecting change or influencing the control of the issuer or in connection with or as a participant in any transaction having such purpose or effect, including any transaction subject to Rule 13D-3(b) under the Exchange Act. ITEM 5. Interests in Securities of Issuer. - ------- --------------------------------- (a) See Exhibit "A" attached hereto for information setting forth for each of the Reporting Persons and for each Named Individual the aggregate number of shares of the Common Stock of Issuer beneficially owned by such person as of February 28, 1997, and the percentage which such shares constitute of the total number of shares outstanding, as reflected on Issuer's Form 10-Q for the Quarter ended December 31, 1996, unless information has been obtained as of a later date directly from the Issuer (with beneficial ownership determined as set forth in Rule 13D-3 under the Exchange Act, but disclaimed except as set forth in the Exhibit). (b) Messrs. Vilar and Tanaka share voting and dispositive power over all shares shown as owned by any of the Reporting Persons, except that Messrs. Vilar, Tanaka, Stableford and Ms. Le Port have shared voting and dispositive power over the 10,000 shares held by the Retirement Benefits Scheme and Mr. Vilar has sole voting and dispositive power over the 4,500 shares held in the Plan; however, each client of the Advisor Entities has the unilateral right to terminate the advisory arrangement with the Entity in question on notice which typically need not exceed 30 days. Each of the Other Named Individuals has sole voting and dispositive power as to the shares shown in Exhibit "A" as owned by him. (c) The table contained in Exhibit "B" attached hereto sets forth for each of the Reporting Persons and Named Individuals information concerning all acquisitions and dispositions of Issuer's Common Stock by any such person during the period beginning on December 31, 1996, and ending on February 28, 1997, including (i) the date of the transaction (ii) whether the transaction was a purchase or sale, (iii) the number of shares involved, and (iv) the price per share at which the transaction was effected. All transactions were effected on the open market. (d) The shares covered by this statement are all owned by clients of the Advisor Entities and/or the Plans. No such person's interest in the securities included in this statement exceeds 5% of the class outstanding. (e) Inapplicable - 12 of 17 - ITEM 6. Contracts, Arrangements, Understandings or - ------ Relationships with Respect to Securities of the Issuer. ------------------------------------------ Messrs. Vilar and Tanaka are the sole shareholders and directors of each of the Advisor Entities. As stated above, clients of those Entities generally have the right to terminate their investment advisory arrangements with those Entities on notice of 30 days or less. ITEM 7. Material to be Filed as Exhibits. - ------ -------------------------------- Inapplicable. - 13 of 17 - SIGNATURES ---------- After reasonable inquiry and to the best of our knowledge and belief, we certify that the information set forth in this statement is true, complete and correct. AMERINDO INVESTMENT ADVISORS INC., a California corporation By: /s/ Alberto W. Vilar -------------------------------------- ALBERTO W. VILAR, PRESIDENT AMERINDO INVESTMENT ADVISORS, INC., a Panama corporation By: /s/ Alberto W. Vilar -------------------------------------- ALBERTO W. VILAR, DIRECTOR AMERINDO INVESTMENT ADVISORS INC., PROFIT SHARING TRUST By: /s/ Alberto W. Vilar -------------------------------------- ALBERTO W. VILAR, TRUSTEE AMERINDO ADVISORS (UK) LIMITED RETIREMENT BENEFITS SCHEME By: /s/ Alberto W. Vilar -------------------------------------- ALBERTO W. VILAR, TRUSTEE By: /s/ Gary A. Tanaka -------------------------------------- GARY A. TANAKA, TRUSTEE By: /s/ James P.F. Stableford -------------------------------------- JAMES P.F. STABLEFORD, TRUSTEE By: /s/ Renata Le Port -------------------------------------- RENATA LE PORT, TRUSTEE /s/ Alberto W. Vilar -------------------------------------- ALBERTO W. VILAR /s/ Gary A. Tanaka -------------------------------------- GARY A. TANAKA - 14 of 17 - EXHIBIT A AVANT! CORPORATION COMMON STOCK 053487104 The following table sets forth for each of the Reporting Persons and for each Other Named Individual the aggregate number of shares of the Common Stock of the Issuer beneficially owned by such person as of February 28, 1997, and the percentage which such shares constitute of the total number of shares outstanding, as reflected on the Issuer's Form 10-Q for the Quarter ended December 31, 1996, unless based on more recent information obtained directly from the Issuer (with beneficial ownership determined as set forth in Rule 13D-3 under the Exchange Act, but disclaimed as set forth in the footnote): NAME NO. OF SHARES (1) PERCENT OF CLASS ---- ------------- ---------------- Amerindo 4,100,100 16.43% Amerindo Panama 1,663,903 6.67% Plan 4,500 0.02% Retirement Benefits Scheme 10,000 0.04% Alberto W. Vilar 5,778,503 23.16% Gary A. Tanaka 5,774,003 23.14% James H. Furey 0 0.00% Joaquin Garcia 0 0.00% James P.F. Stableford 10,000 0.04% Renata Le Port 10,000 0.04% (1) Messrs. Vilar and Tanaka, as the sole directors and shareholders of each of the Advisor Entities, share voting and investment power as to all shares shown as owned by the Advisor Entities, but they and the Advisor Entities disclaim ownership of any of such shares. As sole trustee of the Plan, Mr. Vilar exercises sole investment and dispositive power as to the shares shown as owned by the Plan, but disclaims beneficial ownership of any of such shares except insofar as concerns his indirect interest therein by reason of his pro rata interest in the Plan. Messrs. Vilar, Tanaka, Stableford and Ms. Le Port, as the managing trustees of the Retirement Benefits Scheme, share investment and dispositive power as to the shares shown as owned by the Retirement Benefits Scheme, but disclaim beneficial ownership of any of such shares except insofar as concerns their indirect interest therein by reason of their pro rata interest in the Scheme. The number of shares shown as owned by the Other Named Individuals does not include any owned indirectly by them as participants in the Plan and/or Retirement Benefits Scheme. Each client of the Advisor Entities has the unilateral right to terminate the advisory arrangement with the Entity in question on notice which typically need not exceed 30 days. - 15 of 17 - EXHIBIT B AVANT! CORPORATION COMMON STOCK 053487104 The following table sets forth for each of the Reporting Persons and Other Named Individuals information concerning all acquisitions and dispositions of the Issuer's Common Stock by any such person during the period beginning on December 31, 1996, and ending on February 28, 1997, including (i) the date of the transaction (ii) whether the transaction was a purchase or sale, (iii) the number of shares involved, and (iv) the price per share at which the transaction was effected. All transactions were effected on the open market. Type of Number Price Name Date Transaction of Shares per Share ---- ---- ----------- --------- --------- Amerindo 01-03-97 Buy 10,000 31.3750 Amerindo 01-07-97 Buy 22,500 31.8333 Amerindo 01-24-97 Buy 5,000 34.6250 Amerindo 01-27-97 Buy 20,000 32.2500 Amerindo 01-27-97 Buy 10,000 32.5000 Amerindo 02-03-97 Buy 20,000 31.2500 Amerindo 02-14-97 Sell 27,500 34.2500 Amerindo 02-20-97 Buy 40,000 32.3750 Amerindo 02-24-97 Buy 10,000 31.6875 Amerindo 02-25-97 Buy 10,000 31.8750 Amerindo 02-28-97 Buy 50,000 31.0000 - 16 of 17 - EXHIBIT C AVANT! CORPORATION COMMON STOCK 053487104 We hereby agree that the within Statement on Schedule 13D/A regarding our beneficial ownership of Common Stock is filed on behalf of each of us. AMERINDO INVESTMENT ADVISORS INC., a California corporation By: /s/ Alberto W. Vilar -------------------------------------- ALBERTO W. VILAR, PRESIDENT AMERINDO INVESTMENT ADVISORS, INC., a Panama corporation By: /s/ Alberto W. Vilar -------------------------------------- ALBERTO W. VILAR, DIRECTOR AMERINDO INVESTMENT ADVISORS INC., PROFIT SHARING TRUST By: /s/ Alberto W. Vilar -------------------------------------- ALBERTO W. VILAR, TRUSTEE AMERINDO ADVISORS (UK) LIMITED RETIREMENT BENEFITS SCHEME By: /s/ Alberto W. Vilar -------------------------------------- ALBERTO W. VILAR, TRUSTEE By: /s/ Gary A. Tanaka -------------------------------------- GARY A. TANAKA, TRUSTEE By: /s/ James P.F. Stableford -------------------------------------- JAMES P.F. STABLEFORD, TRUSTEE By: /s/ Renata Le Port -------------------------------------- RENATA LE PORT, TRUSTEE /s/ Alberto W. Vilar -------------------------------------- ALBERTO W. VILAR /s/ Gary A. Tanaka -------------------------------------- GARY A. TANAKA - 17 of 17 - -----END PRIVACY-ENHANCED MESSAGE-----