UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. 4)*
Advent Software, Inc.
(Name of Issuer)
Common Stock
(Title of Class of Securities)
007974108
(CUSIP Number)
December 31, 1999
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(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule
is filed:
[ ] Rule 13d-1(b)
[ ] Rule 13d-1(c)
[X] Rule 13d-1(d)
*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 ("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).
Potential persons who are to respond to the collection of information contained
in this form are not required to respond unless the form displays a currently
valid OMB control number.
SEC 1745 (3-98)
<PAGE>
CUSIP No. 007974108
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1. Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only).
DiMarco/Harleen Revocable Revocable Living Trust, Dated 9/20/90, as amended,and
Stephanie DiMarco and James Harleen, Trustees
2. Check the Appropriate Box if a Member of a Group (See Instructions)
(a) .............................................................
(b) Wife and Husband..........................................[X]
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3. SEC Use Only .........................................................
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4. Citizenship or Place of Organization For the Trust - California;
The Trustees, Stephanie DiMarco and James Harleen are U.S.citizens....
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5. Sole Voting Power
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6. Shared Voting Power 1,320,881 (1)....................................
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7. Sole Dispositive Power
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8. Shared Dispositive Power 1,320,881 (1)...............................
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9. Aggregate Amount Beneficially Owned by Each Reporting
Person 1,320,881 (1)
10. Check if the Aggregate Amount in Row (11) Excludes Certain Shares
(See Instructions) ...................................................
11. Percent of Class Represented by Amount in Row (11) 9.0%.............
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12. Type of Reporting Person (See Instructions ) OO.....................
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(1) Includes 992,231 shares of Common Stock held in the name of
DiMarco/Harleen Revocable Living Trust, Dated 9/20/90, as amended,192,750 shares
of CommonStock held in the name of DiMarco/Harleen 1996 Charitable Trust, 900
shares of Common Stock held in the name of DiMarco/Harleen 1995 Children's Trust
and 135,000 shares of Common Stock issuable upon exercise of options granted to
Stephanie DiMarco pursuant to the issuer's stock option plan, as to which
Stephanie DiMarco has sole voting and dispositive power.
<PAGE>
Item 1.
(a) Name of Issuer : Advent Software, Inc.
(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 Stephanie DiMarco and James Harleen,
Trustees
(b) Address of Principal Business Office or, if none, Residence
301 Brannan Street, San Francisco, CA 94107
(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
(d) Title of Class of Securities Common Stock
(e) CUSIP Number 007974108
Item 3. If this statement is filed pursuant to Rules 13d-1(b) or
13d-2(b) or (c), check whether the person filing is a:
NOT APPLICABLE
Item 4. Ownership
Provide the following information regarding the aggregate number and
percentage of the class of securities of the issuer identified in Item 1.
(a) Amount of beneficially owed: 1,320,881 (2)
(b) Percent of class: ___9.0%___.
(c) Number of shares as to which the person has:
(i) Sole power to vote or to direct the vote. ____N/A____.
(2) Includes 992,231 shares of Common Stock held in the name of
DiMarco/Harleen Revocable Living Trust, Dated 9/20/90, as amended, 192,750shares
of Common Stock held in the name of DiMarco/Harleen Charitable Trust, 900
shares of Common Stock held in the name of DiMarco/Harleen 1995 Children's Trust
and 135,000 shares of Common Stock issuable upon exercise of options granted to
Stephanie DiMarco pursuant to the issuer's stock option plan, as to which
Stephanie DiMarco has sole voting and dispositive power.
<PAGE>
(ii) Shared power to vote or to direct the vote. __1,320,881 (3)_.
(iii) Sole power to dispose or to direct the disposition of. _N/A_.
(iv) Shared power to dispose or to direct the disposition of. 1,320,881
Instruction. For computations regarding securities which represent a right
to acquire an underlying security see Rule 13d-3(d)(1).
Item 5. Ownership of Five Percent or Less of a Class
If this statement is being filed to report the fact that as of the date
hereof the reporting person has ceased to be the beneficial owner of more than
five percent of the class of securities, check the following |_|.
Instruction: Dissolution of a group requires a response to this item.
Item 6. Ownership of More than Five Percent on Behalf of Another Person
If any other person is known to have the right to receive or the power to
direct the receipt of dividends from, or the proceeds from the sale of, such
securities, a statement to that effect should be included in response to this
item and, if such interest relates to more than five percent of the class, such
person should be identified. A listing of the shareholders of an investment
company registered under the Investment Company Act of 1940 or the beneficiaries
of employee benefit plan, pension fund or endowment fund is not required.
Item 7. Identification and Classification of the Subsidiary Which Acquired the
Security Being Reported on By the Parent Holding Company
If a parent holding company has filed this schedule, pursuant to Rule
13d-1(b)(ii)(G), so indicate under Item 3(g) and attach an exhibit stating the
identity and the Item 3 classification of the relevant subsidiary. If a parent
holding company has filed this schedule pursuant to Rule 13d-1(c) or Rule
13d-1(d), attach an exhibit stating the identification of the relevant
subsidiary.
Item 8. Identification and Classification of Members of the Group
If a group has filed this schedule pursuant to Rules 13d-1(b)(1)(ii)(J), so
indicate under Item 3(j) and attach an exhibit stating the identity and Item 3
classification of each member of the group. If a group has filed this schedule
pursuant to Rule 13d-1(c) or Rule 13d-1(d), attach an exhibit stating the
identity of each member of the group.
Item 9. Notice of Dissolution of Group
Notice of dissolution of a group may be furnished as an exhibit stating the
date of the dissolution and that all further filings with respect to
transactions in the security reported on will be filed, if required, by members
of the group, in their individual capacity. See Item 5.
(3) Includes 992,231 shares of Common Stock held in the name of
DiMarco/Harleen Revocable Living Trust,Dated 9/20/90, as amended, 192,750 shares
of Common Stock held in the name of DiMarco/Harleen Charitable Trust, 900
shares of Common Stock held in the name of DiMarco/Harleen 1997 Children's Trust
and 135,000 shares of Common Stock issuable upon exercise of options granted to
Stephanie DiMarco pursuant to the issuer's stock option plan, as to which
Stephanie DiMarco has sole voting and dispositive power.
<PAGE>
Item 10. Certification
(a) The following certification shall be included if the statement is
filed pursuant to Rule 13d-1(b):
By signing below I certify that, to the best of my knowledge and
belief, the securities referred to above were acquired and are held in
the ordinary course of business and were not acquired and are not
held for the purpose of or with the effect of changing or influencing the
control of the issuer of the securities and were not acquired and
are not held in connection with or as a participant in any transaction
having that purpose or effect.
(b) The following certification shall be included if the statement is
filed pursuant to Rule 13d-1(c):
By signing below I certify that, to the best of my knowledge and belief,
the securities referred to above were not acquired and are not held
for the purpose of or with the effect of changing or influencing the
control of the issuer of the securities and were not acquired and
are not held in connection with or as a participant in any transaction
having that purpose or effect.
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I
certify that the information set in this statement is true, complete and
correct.
February 14 , 1999
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Date
/s/ James Harleen on behalf of the
DiMarco/Harleen Revocable
Living Trust, dated 9/20/90, as
amended, DiMarco/Harleen
Charitable Trust, DiMarco/
Harleen 1995 Children's Trust
in his capacity as a Trustee of
said Trusts
/s/ Stephanie DiMarco, individually,
and on behalf of the DiMarco/
Harleen Revocable Living Trust,
dated 9/20/90, as amended,
DiMarco/Harleen Charitable
Trust, DiMarco/Harleen 1995
Children's Trust in her
capacity as a Trustee of said
Trusts
The original statement shall be signed by each person on whose behalf the
statement is filed or his authorized representative. If the statement is signed
on behalf of a person by his authorized representative other than an executive
officer or general partner of the filing person, evidence of the
representative's authority to sign on behalf of such person shall be filed with
the statement, provided, however, that a power of attorney for this purpose
which is already on file with the Commission may be incorporated by reference.
The name and any title of each person who signs the statement shall be typed or
printed beneath his signature.
NOTE: Schedules filed in paper format shall include a signed original and
five copies of the schedule, including all exhibits. See Rule 240.13d-7 for
other parties for whom copies are to be sent.
Attention: Intentional misstatements or omissions of fact constitute
Federal criminal violations (See 18 U.S.C. 1001)
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