-----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, Toj3w2tM/C8w+zQNHJD+vzI04C3FIQGKKhQJFHQo9rLT1h60r9Yns/qCJ9LzpHxT W8+ow1BEeRXIjFy2KpJlsQ== 0001373185-09-000005.txt : 20090421 0001373185-09-000005.hdr.sgml : 20090421 20090421215037 ACCESSION NUMBER: 0001373185-09-000005 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090416 FILED AS OF DATE: 20090421 DATE AS OF CHANGE: 20090421 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Oberting Kernan V CENTRAL INDEX KEY: 0001305456 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-26330 FILM NUMBER: 09762644 MAIL ADDRESS: STREET 1: C/O MONTPELIER RE HOLDINGS LTD. STREET 2: MINTFLOWER PLACE 8 PAR-LA-VILLE ROAD CITY: HAMILTON STATE: D0 ZIP: HM 08 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ASHTON ROBERT B CENTRAL INDEX KEY: 0001162729 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-26330 FILM NUMBER: 09762643 MAIL ADDRESS: STREET 1: 6 OCCOM RIDGE CITY: HANOVER STATE: NH ZIP: 03755 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ASTEA INTERNATIONAL INC CENTRAL INDEX KEY: 0000945989 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 232119058 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 240 GIBRALTAR ROAD CITY: HORSHAM STATE: PA ZIP: 19044 BUSINESS PHONE: 2156822500 MAIL ADDRESS: STREET 1: 240 GIBRALTAR ROAD CITY: HORSHAM STATE: PA ZIP: 19044 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: KVO Capital Management, LLC CENTRAL INDEX KEY: 0001450205 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-26330 FILM NUMBER: 09762645 BUSINESS ADDRESS: STREET 1: 44 S. MAIN STREET STREET 2: BOX 17 CITY: HANOVER STATE: NH ZIP: 03755 BUSINESS PHONE: 603-643-0500 MAIL ADDRESS: STREET 1: 44 S. MAIN STREET STREET 2: BOX 17 CITY: HANOVER STATE: NH ZIP: 03755 4 1 edgar.xml PRIMARY DOCUMENT X0303 4 2009-04-16 0000945989 ASTEA INTERNATIONAL INC ATEA 0001450205 KVO Capital Management, LLC 44 S. MAIN STREET, BOX 17 HANOVER NH 03755 0 0 0 1 Member of 13(d) group w/ 10%+ 0001305456 Oberting Kernan V C/O KVO CAPITAL MANAGEMENT, LLC 44 S. MAIN STREET, BOX 17 HANOVER NH 03755 0 0 0 1 Member of 13(d) group w/ 10%+ 0001162729 ASHTON ROBERT B C/O KVO CAPITAL MANAGEMENT, LLC 44 S. MAIN STREET, BOX 17 HANOVER NH 03755 0 0 0 1 Member of 13(d) group w/ 10%+ Common Stock 2009-04-16 4 P 0 15602 2.21 A 380828 I Shares held in private accounts over which KVO has voting and dispositive power Common Stock 2009-04-17 4 P 0 25287 2.21 A 406115 I Shares held in private accounts over which KVO has voting and dispositive power Common Stock 2009-04-20 4 P 0 300 2.08 A 406415 I Shares held in private accounts over which KVO has voting and dispositive power Common Stock 2009-04-21 4 P 0 300 2.12 A 406715 I Shares held in private accounts over which KVO has voting and dispositive power Includes 13,866 shares purchased for private accounts over which KVO has both voting and dispositive power pursuant to contract, other than the private account on behalf of Mr. Ashton, and 1,716 shares purchased for a private account on behalf of Mr. Ashton over which KVO has both voting and dispositive power pursuant to contract. Includes $0.01 commission per share. Includes 345,143 shares held in private accounts over which KVO has both voting and dispositive power pursuant to contract. KVO's voting and dispositive power over shares held in these accounts is revocable on or after December 31, 2010. Also includes 35,685 shares held in a private account on behalf of Mr. Ashton, a portfolio manager of KVO, over which KVO has both voting and dispositive power pursuant to contract. KVO's voting and dispositive power over these shares is revocable only if Mr. Ashton terminates his employment with KVO, at which time the right to vote and dispose of those shares will revert to him. Mr. Oberting is the Managing Member of KVO. By reason of the provisions of Rule 16a-1 of the Securities Exchange Act of 1934 (the "Exchange Act"), Mr. Oberting may be deemed to beneficially own all of the shares that KVO is deemed to beneficially own. Mr. Oberting disclaims beneficial ownership of any of the securities covered by this Form 4. Mr. Ashton is a portfolio manager of KVO. By reason of the provisions of Rule 16a-1 of the Securities Exchange Act of 1934 (the "Exchange Act"), Mr. Ashton may be deemed to beneficially own all of the shares that KVO is deemed to beneficially own. Mr. Ashton disclaims beneficial ownership of any of the securities covered by this Form 4 other than the shares held in a private account on behalf of Mr. Ashton and reported above. Includes 22,505 shares purchased for private accounts other than the private account on behalf of Mr. Ashton and 2,782 shares purchased for a private account on behalf of Mr. Ashton. Includes 367,648 shares held in private accounts other than the private account on behalf of Mr. Ashton and 38,467 shares held in a private account on behalf of Mr. Ashton. Includes 267 shares purchased for private accounts other than the private account on behalf of Mr. Ashton and 33 shares purchased for a private account on behalf of Mr. Ashton. Includes 367,915 shares held in private accounts other than the private account on behalf of Mr. Ashton and 38,500 shares held in a private account on behalf of Mr. Ashton. Includes 368,182 shares held in private accounts other than the private account on behalf of Mr. Ashton and 38,533 shares held in a private account on behalf of Mr. Ashton. /s/ Rena Marie Strand, as attorney-in-fact for KVO Capital Management, LLC 2009-04-21 /s/ Rena Marie Strand, as attorney-in-fact for Kernan V. Oberting 2009-04-21 /s/ Rena Marie Strand, as attorney-in-fact for Robert B. Ashton 2009-04-21 -----END PRIVACY-ENHANCED MESSAGE-----