0000902664-01-500430.txt : 20011019
0000902664-01-500430.hdr.sgml : 20011019
ACCESSION NUMBER: 0000902664-01-500430
CONFORMED SUBMISSION TYPE: SC 13D
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20011012
FILED BY:
COMPANY DATA:
COMPANY CONFORMED NAME: GARTNER GIDEON
CENTRAL INDEX KEY: 0001160222
STANDARD INDUSTRIAL CLASSIFICATION: []
FILING VALUES:
FORM TYPE: SC 13D
BUSINESS ADDRESS:
STREET 1: 300 PUPPY SMITH STREET
STREET 2: SUITE 203-303
CITY: ASPEN
STATE: CO
ZIP: 81611
SUBJECT COMPANY:
COMPANY DATA:
COMPANY CONFORMED NAME: GIGA INFORMATION GROUP INC
CENTRAL INDEX KEY: 0000948263
STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-ENGINEERING, ACCOUNTING, RESEARCH, MANAGEMENT [8700]
IRS NUMBER: 061422860
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: SC 13D
SEC ACT: 1934 Act
SEC FILE NUMBER: 005-49837
FILM NUMBER: 1758077
BUSINESS ADDRESS:
STREET 1: 139 MAIN STREET
CITY: CAMBRIDGE
STATE: MA
ZIP: 02142
BUSINESS PHONE: 6179494900
MAIL ADDRESS:
STREET 1: 139 MAIN STREET
CITY: CAMBRIDGE
STATE: MA
ZIP: 02142
SC 13D
1
srz9109126v1.txt
GARTNER/GENERAL
SECURITIES & EXCHANGE COMMISSION
Washington, D.C. 20549
---------------------
SCHEDULE 13D
(Rule 13d-101)
INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO
13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2(a)
Giga Information Group, Inc.
(Name of Issuer)
Common Stock, $0.001 par value
(Title of Class of Securities)
37517M 10 9
(CUSIP Number)
Gideon Gartner
300 Puppy Smith Street, Suite 203-303
Aspen, Colorado 81611
(970) 920-9191
(Name, address and telephone number of person
authorized to receive notices and communications)
October 3, 2001
(Date of event which requires filing of this statement)
If the filing person has previously filed a statement on Schedule 13G
to report the acquisition that is the subject of this Schedule 13D, and is
filing this schedule because of Rule 13d-1(e), 13d-1(f) or 13d-1(g), check
the following box [X]
(Continued on following pages)
(Page 1 of 6 Pages)
CUSIP No. 37517M 10 9 13D Page 2 of 6 Pages
-----------------------------------------------------------------------------
(1) NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS.
OF ABOVE PERSONS (ENTITIES ONLY)
Gideon I. Gartner
-----------------------------------------------------------------------------
(2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP **
(a) [ ]
(b) [ ]
-----------------------------------------------------------------------------
(3) SEC USE ONLY
-----------------------------------------------------------------------------
(4) SOURCE OF FUNDS **
PF
-----------------------------------------------------------------------------
(5) CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS
REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [ ]
-----------------------------------------------------------------------------
(6) CITIZENSHIP OR PLACE OF ORGANIZATION
United States
-----------------------------------------------------------------------------
NUMBER OF (7) SOLE VOTING POWER
2,019,195
SHARES --------------------------------------------------------------
BENEFICIALLY (8) SHARED VOTING POWER
200,334
OWNED BY --------------------------------------------------------------
EACH (9) SOLE DISPOSITIVE POWER
2,019,195
REPORTING --------------------------------------------------------------
PERSON WITH (10) SHARED DISPOSITIVE POWER
200,334
-----------------------------------------------------------------------------
(11) AGGREGATE AMOUNT BENEFICIALLY OWNED
BY EACH REPORTING PERSON
2,291,529 See Item 5.
-----------------------------------------------------------------------------
(12) CHECK BOX IF THE AGGREGATE AMOUNT
IN ROW (11) EXCLUDES CERTAIN SHARES ** [ ]
-----------------------------------------------------------------------------
(13) PERCENT OF CLASS REPRESENTED
BY AMOUNT IN ROW (11)
21.1%
-----------------------------------------------------------------------------
(14) TYPE OF REPORTING PERSON **
IN
-----------------------------------------------------------------------------
** SEE INSTRUCTIONS BEFORE FILLING OUT!
CUSIP No. 37517M 10 9 13D Page 3 of 6 Pages
Item 1. Security and Issuer.
This statement relates to the shares of common stock, $0.001 par
value (the "Shares"), of Giga Information Group, Inc. (the "Issuer"), a
Delaware corporation. The Issuer's principal executive offices are located at
139 Main Street, Cambridge, Massachusetts 02142.
The Reporting Person (as defined below) is filing this Schedule 13D
to report a change in his investment intent with respect to his ownership of the
Shares as previously reported on a Schedule 13G filed by the Reporting Person on
February 10, 1999.
Item 2. Identity and Background.
(a)- (c) and (f) Gideon I. Gartner (the "Reporting Person") is a
citizen of the United States whose address is 300 Puppy Smith Street, Suite
203-303, Aspen, Colorado 81611. The Reporting Person is retired.
(d) The Reporting Person has not, during the last five years, been
convicted in a criminal proceeding (excluding traffic violations or similar
misdemeanors).
(e) The Reporting Person has not, during the last five years, been
a party to a civil proceeding of a judicial or administrative body of competent
jurisdiction and, as a result of such proceeding, was, or is not 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 Amount of Funds and Other Consideration.
The Shares owned directly and indirectly by the Reporting Person
were purchased with personal funds.
Item 4. Purpose of the Transaction.
Although all of the Shares beneficially owned by the Reporting
Person were acquired by the Reporting Person for investment purposes, the
Reporting Person is dissatisfied with the performance of the Issuer and its
Shares and intends to seek to cause the Issuer to take steps to maximize
shareholder value promptly. Such steps could include, among other things,
management changes, cost reduction, debt and/or equity financings, changes in
strategic direction, sale or merger of the Issuer. The Reporting Person intends
to pursue discussions with directors, officers, employees and affiliates of the
Issuer, with other shareholders of the Issuer and with potential investors in
the Issuer, concerning the business, management and strategic direction of the
Issuer and possible alternatives to maximize shareholder value.
CUSIP No. 37517M 10 9 13D Page 4 of 6 Pages
The Reporting Person may make further purchases of Shares from time
to time and may dispose of any or all of the Shares held by him at any time.
The Reporting Person may, at any time and from time to time, review or
reconsider his position and formulate plans or proposals that relate to, might
result in, or have the purpose or effect of changing or influencing control of
the Issuer, or that relate to or would result in any of the other events
enumerated in the instructions to Item 4 of the Schedule 13D.
Item 5. Interest in Securities of the Issuer.
(a) The Reporting Person may be deemed to beneficially own, in the
aggregate 2,291,529 Shares representing approximately 21.1% of the Shares
outstanding as of August 7, 2001. The Reporting Person beneficially owns (i)
1,849,588 Shares held directly by the Reporting Person; (ii) 228,750 Shares
subject to exercisable stock options held by the Reporting Person, (iii) 12,587
Shares subject to exercisable warrants held by the Reporting Person and (iv)
200,334 Shares which are held of record by members of the Reporting Person's
family. The Reporting Person disclaims beneficial ownership of the Shares held
by members of his family.
(b) The Reporting Person has sole voting and dispositive power
with respect to (i) 1,849,588 Shares held directly by the Reporting Person;
(ii) 228,750 Shares subject to exercisable stock options held by the Reporting
Person and (iii) 12,587 Shares subject to exercisable warrants held by the
Reporting Person. The Reporting Person has shared voting and dispositive power
with respect to the 200,334 Shares which are held of record by members of the
Reporting Person's family.
(c) The Reporting Person has not made any transactions in the
Shares during the past sixty days.
(d) The Reporting Person has the right to receive or the power to
direct the receipt of dividends from, or the proceeds from the sale of, (i)
1,849,588 Shares held directly by the Reporting Person; (ii) 228,750 Shares
subject to exercisable stock options held by the Reporting Person and (iii)
12,587 Shares subject to exercisable warrants held by the Reporting Person.
The Reporting Person and the record holders thereof have the right to receive
or the power to direct the receipt of dividends from, or the proceeds from the
sale of, the 200,334 Shares held by such record holders.
(e) Not applicable.
CUSIP No. 37517M 10 9 13D Page 5 of 6 Pages
Item 6. Contracts, Arrangements, Understandings or
Relationships with Respect to Securities of the Issuer.
Except as described herein, there are no contracts, arrangements,
understandings or relationships (legal or otherwise) between the person named
in Item 2 hereof and any person with respect to any securities of the Issuer,
including but not limited to transfer or voting of any other securities,
finder's fees, joint ventures, loan or option arrangements, puts or calls,
guarantees of profits, divisions of profits or loss, or the giving or
withholding of proxies.
Item 7. Materials to be Filed as Exhibits.
None.
CUSIP No. 37517M 10 9 13D Page 6 of 6 Pages
SIGNATURES
After reasonable inquiry and to the best of my knowledge and
belief, I certify that the information set forth in this statement is true,
complete and correct.
DATED: October 11, 2001
/s/ Gideon I. Gartner
------------------------------
Gideon I. Gartner, as
an individual