--------------------------------------------
OMB APPROVAL
--------------------------------------------
OMB Number 3235-0145
Expires: October 31, 1997
Estimated average burden
hours per response...................14.90
--------------------------------------------
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Information Statement Pursuant to Rules 13d-1 and 13d-2
Under the Securities Exchange Act of 1934
(Amendment No. ______)*
Pegasystems Inc.
- --------------------------------------------------------------------------------
(Name of Issuer)
Common Stock, $.01 par value
- --------------------------------------------------------------------------------
(Title of Class of Securities)
705573 10 3
---------------------------------
(CUSIP Number)
*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 liabilites of that section of the Act
but shall be subject to all other provisions of the Act (however, see the
Notes).
<PAGE>
======================= =======================
CUSIP No. 705573 10 3 13G Page 2 of 5 Pages
======================= =======================
- -------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Alan Trefler (social security no. ###-##-####)
- -------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_|
(b) |_|
- -------------------------------------------------------------------------------
3 SEC USE ONLY
- -------------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- -------------------------------------------------------------------------------
5 SOLE VOTING POWER
NUMBER OF
SHARES
BENEFICIALLY 21,541,100 shares
OWNED BY ----------------------------------------------------
EACH
REPORTING 6 SHARED VOTING POWER
PERSON
WITH 0
----------------------------------------------------
7 SOLE DISPOSITIVE POWER
21,541,100
----------------------------------------------------
8 SHARED DISPOSITIVE POWER
0
- -------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
21,541,100 shares
- -------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |_|
- -------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
76.9%
- -------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
IN
===============================================================================
*SEE INSTRUCTIONS BEFORE FILLING OUT!
<PAGE>
Schedule 13G Page 3 of 5
Alan Trefler
CUSIP Number 705573 10 3
Item 1(a). Name of Issuer.
The issuer is Pegasystems Inc. ("Pegasystems").
Item 1(b). Address of Issuer's Principal Executive Offices.
The issuer's principal executive offices are located at 101 Main
Street, Cambridge, MA 02142.
Item 2(a). Name of Person Filing.
The name of the person filing this statement is Alan Trefler.
Item 2(b). Address of Principal Business Office or, if none, Residence.
The business address of the person filing this statement is c/o
Pegasystems Inc., 101 Main Street, Cambridge, MA 02142.
Item 2(c). Citizenship.
Alan Trefler is a citizen of the United States of America.
Item 2(d). Title of Class of Securities.
The class of securities to which this statement relates is the Common
Stock, $.01 par value (the "Common Stock"), of Pegasystems.
Item 2(e). CUSIP Number.
The CUSIP number of the Common Stock is 705573 10 3.
Item 3.
Not applicable.
Item 4. Ownership.
(a) Amount Beneficially Owned.
Alan Trefler is the beneficial owner of 21,541,100 shares of
the Common Stock.
(b) Percent of Class.
The 21,541,100 shares of Common Stock beneficially owned by
Alan Trefler represent 76.9% of the outstanding shares of
Common Stock as of December 31, 1996.
<PAGE>
Schedule 13G Page 4 of 5
Alan Trefler
CUSIP Number 705573 10 3
(c) Number of Shares as to which such person has:
(i) sole power to vote or to direct the vote:
Alan Trefler has the sole power to vote or to direct
the vote of 21,541,100 shares of Common Stock.
(ii) shared power to vote or to direct the vote:
Alan Trefler has shared power to vote or to direct
the vote of no shares of Common Stock.
(iii) sole power to dispose or to direct the disposition of:
Alan Trefler has sole power to dispose or to direct
the disposition of 21,541,100 shares of Common Stock.
(iv) shared power to dispose or to direct the disposition of:
Alan Trefler has shared power to dispose or to direct
the disposition of no shares of Common Stock.
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.
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.
<PAGE>
Schedule 13G Page 5 of 5
Alan Trefler
CUSIP Number 705573 10 3
Item 10. Certification.
Not applicable.
Signature.
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.
2/7/96 /s/ Alan Trefler
- ------------------- ------------------------------
Date Signature
Alan Trefler
