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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
SCHEDULE 13G
UNDER THE SECURITIES EXCHANGE ACT OF 1934
(AMENDMENT NO. ___)
ADVENT SOFTWARE, INC.
(NAME OF ISSUER)
COMMON STOCK
(TITLE OF CLASS OF SECURITIES)
#007974108
(CUSIP NUMBER)
Check the following box if a fee is being paid with this statement [X]. (A fee
is not required only if the filing 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).
1 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 the
disclosures provided in a prior cover page.
The information required in 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 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).
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CUSIP NO. 007974108 13G PAGE 2 OF 7 PAGES
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NAME OF REPORTING PERSONS
1 S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS
DiMarco/Harleen Revocable Living Trust, Dated 9/20/90, as amended
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
2 (a) [_]
N/A (b) [_]
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SEC USE ONLY
3
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CITIZENSHIP OR PLACE OF ORGANIZATION
4
California
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SOLE VOTING POWER
5
NUMBER OF 1,280,554
SHARES -----------------------------------------------------------
SHARED VOTING POWER
BENEFICIALLY 6
1,280,554
OWNED BY
-----------------------------------------------------------
EACH SOLE DISPOSITIVE POWER
7
REPORTING 1,280,554
PERSON -----------------------------------------------------------
SHARED DISPOSITIVE POWER
WITH 8
1,280,554
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
9
1,280,554
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CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
10
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
11
18.8%
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TYPE OF REPORTING PERSON*
12
OO
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*SEE INSTRUCTION BEFORE FILLING OUT!
Page 2 of 7 pages
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CUSIP NO. 007974108 13G PAGE 3 OF 7 PAGES
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NAME OF REPORTING PERSONS
1 S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS
James Harleen SSN: ###-##-####
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
2 (a) [_]
N/A (b) [_]
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SEC USE ONLY
3
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CITIZENSHIP OR PLACE OF ORGANIZATION
4
U.S. Citizen
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SOLE VOTING POWER
5
NUMBER OF 1,280,554
SHARES -----------------------------------------------------------
SHARED VOTING POWER
BENEFICIALLY 6
1,280,554
OWNED BY
-----------------------------------------------------------
EACH SOLE DISPOSITIVE POWER
7
REPORTING 1,280,554
PERSON -----------------------------------------------------------
SHARED DISPOSITIVE POWER
WITH 8
1,280,554
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
9
1,280,554
- ------------------------------------------------------------------------------
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
10
- ------------------------------------------------------------------------------
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
11
18.8%
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TYPE OF REPORTING PERSON*
12
OO
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*SEE INSTRUCTION BEFORE FILLING OUT!
Page 3 of 7 pages
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CUSIP NO. 007974108 13G PAGE 4 OF 7 PAGES
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NAME OF REPORTING PERSONS
1 S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS
Stephanie DiMarco SSN: ###-##-####
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
2 (a) [_]
N/A (b) [_]
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SEC USE ONLY
3
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CITIZENSHIP OR PLACE OF ORGANIZATION
4
U.S. Citizen
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SOLE VOTING POWER
5
NUMBER OF 1,280,554
SHARES -----------------------------------------------------------
SHARED VOTING POWER
BENEFICIALLY 6
1,280,554
OWNED BY
-----------------------------------------------------------
EACH SOLE DISPOSITIVE POWER
7
REPORTING 1,280,554
PERSON -----------------------------------------------------------
SHARED DISPOSITIVE POWER
WITH 8
1,280,554
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
9
1,280,554
- ------------------------------------------------------------------------------
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
10
- ------------------------------------------------------------------------------
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
11
18.8%
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TYPE OF REPORTING PERSON*
12
OO
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*SEE INSTRUCTION BEFORE FILLING OUT!
Page 4 of 7 pages
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*SEE INSTRUCTIONS BEFORE FILLING OUT!
ITEM 1(a). NAME OF ISSUER:
Advent Software, Inc.
ITEM 1(b). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES:
301 Brannan Street, San Francisco, CA 94107
ITEM 2(a). NAME OF PERSON FILING:
DiMarco/Harleen Revocable Living Trust, Dated 9/20/90, as
amended, and James Harleen and Stephanie DiMarco, Trustees
ITEM 2(b). ADDRESS OF PRINCIPAL RESIDENCE:
224 Mountain Avenue, Piedmont, CA 94611
ITEM 2(c). CITIZENSHIP:
The DiMarco/Harleen Revocable Living Trust, Dated 9/20/90, as
amended, is a living trust. The Trustees James Harleen and Stephanie
DiMarco are U.S. citizens.
ITEM 2(d). TITLE OF CLASS OF SECURITIES:
Common Stock
ITEM 2(e). CUSIP NUMBER:
CUSIP #007974108
ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO RULES 13d-1(b), OR 13d-2(b),
CHECK WHETHER THE PERSON FILING IS A:
Not applicable.
ITEM 4. OWNERSHIP.
(a) The number of shares beneficially owned: 1,280,554
(b) The percent of the class: 18.8%
(c)*(i) Sole power to vote or to direct the vote: 1,280,554
*(ii) Shared power to vote or to direct the vote: 1,280,554
*(iii) Sole power to dispose or to direct the disposition of:
1,280,554
ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS.
Not applicable.
ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON.
Not applicable.
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ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED
THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY.
Not applicable.
ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP.
Not applicable.
ITEM 9. NOTICE OF DISSOLUTION OF GROUP.
Not applicable.
ITEM 10. CERTIFICATION.
By signing below I certify that, to the best of my knowledge and
belief, the securities referred to above were acquired in the ordinary course of
business and were not acquired for the purpose of and do not have the effect of
changing or influencing the control of the issuer of such securities and were
not acquired in connection with or as a participant in any transaction having
such purposes or effect.
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.
DiMARCO/HARLEEN REVOCABLE LIVING TRUST,
DATED 9/20/90, AS AMENDED
February 8, 1996 /s/ JAMES HARLEEN, TRUSTEE
/s/ STEPHANIE DiMARCO, TRUSTEE
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AGREEMENT RELATING TO JOINT FILING OF SCHEDULE 13G
The undersigned hereby agree that a single Schedule 13G (or any amendment
thereto) in relation to the Common Stock of Advent Software, Inc. shall be filed
on behalf of each of the undersigned and that this Agreement shall be filed as
an Exhibit to such Schedule 13G.
This Agreement and the filing of the Schedule 13G shall not be construed to
be an admission that any of the undersigned is a member of a "group" consisting
of the Securities Exchange Act of 1934, as amended and the rules thereunder.
February 8, 1996 /s/ JAMES HARLEEN, INDIVIDUALLY, AND
ON BEHALF OF THE DiMARCO/HARLEEN
REVOCABLE LIVING TRUST, DATED
9/20/90, AS AMENDED, IN HIS
CAPACITY AS A TRUSTEE OF SAID TRUST
/s/ STEPHANIE DiMARCO, INDIVIDUALLY, AND
ON BEHALF OF THE DiMARCO/HARLEEN
REVOCABLE LIVING TRUST, DATED
9/20/90, AS AMENDED, IN HIS
CAPACITY AS A TRUSTEE OF SAID TRUST
