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SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
SCHEDULE 13G
(Rule 13d-102)
INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT
TO RULES 13d-1(b)(c), AND (d) AND AMENDMENTS THERETO FILED
PURSUANT TO RULE 13d-2(b)
(Amendment No. )1
Retek, Inc.
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(Name of Issuer)
Common Stock
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(Title of Class of Securities)
76128Q109
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(CUSIP Number)
10/31/2000
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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)
/ / Rule 13d-1(d)
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. 76128Q109 13G Page 2 of 8 Pages
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1. NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
The TCW Group, Inc.
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2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) / /
(b) /X/
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3. SEC USE ONLY
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4. CITIZENSHIP OR PLACE OF ORGANIZATION
Nevada corporation
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NUMBER OF 5. SOLE VOTING POWER
SHARES -0-
BENEFICIALLY -----------------------------------------------
OWNED BY 6. SHARED VOTING POWER
EACH 5,509,573
REPORTING -----------------------------------------------
PERSON 7. SOLE DISPOSITIVE POWER
WITH -0-
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8. SHARED DISPOSITIVE POWER
5,509,573
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9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
5,509,573
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10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
/ /
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11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11.6% (see response
to Item 4)
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12. TYPE OF REPORTING PERSON*
HC/CO
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*SEE INSTRUCTIONS BEFORE FILLING OUT
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CUSIP No. 76128Q109 13G Page 3 of 8 Pages
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1. NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
Robert Day
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2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) / /
(b) /X/
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3. SEC USE ONLY
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4. CITIZENSHIP OR PLACE OF ORGANIZATION
United States Citizen
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NUMBER OF 5. SOLE VOTING POWER
SHARES -0-
BENEFICIALLY -----------------------------------------------
OWNED BY 6. SHARED VOTING POWER
EACH 5,509,573
REPORTING -----------------------------------------------
PERSON 7. SOLE DISPOSITIVE POWER
WITH -0-
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8. SHARED DISPOSITIVE POWER
5,509,573
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9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
5,509,573
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10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
/ /
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11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11.6% (see response
to Item 4)
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12. TYPE OF REPORTING PERSON*
HC/IN
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*SEE INSTRUCTIONS BEFORE FILLING OUT
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CUSIP No. 76128Q109 13G Page 4 of 8 Pages
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Item 1(a). Name of Issuer:
Retek, Inc.
Item 1(b). Address of Issuer's Principal Executive Offices:
801 Nicollet Mall, 11th Fl.
Minneapolis, MN 55402
Item 2(a). Name of Persons Filing:
Item 2(b). Address of Principal Business Office, or if None,
Residence:
Item 2(c). Citizenship:
The TCW Group, Inc.
865 South Figueroa Street
Los Angeles, CA 90017
(Nevada Corporation)
Robert Day
865 South Figueroa Street
Los Angeles, CA 90017
(United States Citizen)
Item 2(d). Title of Class of Securities:
Common Stock
Item 2(e). CUSIP Number:
76128Q109
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CUSIP No. 76128Q109 13G Page 5 of 8 Pages
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Item 3. If This Statement Is Filed Pursuant to Rule 13d-1(b), or 13d-2(b) or
(c), Check Whether the Person Filing is a:
(a) / / Broker or dealer registered under Section 15 of the
Exchange Act.
(b) / / Bank as defined in Section 3(a)(6) of the Exchange Act.
(c) / / Insurance company as defined in Section 3(a)(19) of the
Exchange Act.
(d) / / Investment company registered under Section 8 of the
Investment Company Act.
(e) / / An investment adviser in accordance with Rule
13d-1(b) (1)(ii)(E).
(f) / / An employee benefit plan or endowment fund in
accordance with13d-1(b)(1)(ii)(F).
(g) / / A parent holding company or control person in
accordance with Rule 13d-1(b)(1)(ii)(G).
(SEE Item 7)
The TCW Group, Inc.
Robert Day (individual who may be deemed to control
The TCW Group, Inc. and other entities
which hold the Common Stock of the issuer)
(h) / / A savings association as defined in Section 3(b) of
the Federal Deposit Insurance Act.
(i) / / A church plan that is excluded from the definition
of an investment company under Section 3(c)(14)of the
Investment Company Act.
(j) / / Group, in accordance with Rule 13d-1(b)(1)(ii)(J).
If this statement is filed pursuant to Rule 13d-1(c), check this
box. / /
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CUSIP No. 76128Q109 13G Page 6 of 8 Pages
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Item 4. Ownership **
THE TCW GROUP, INC.
(a) Amount beneficially owned: 5,509,573
(b) Percent of class: 11.6%
(c) Number of shares as to which such person has:
(i) Sole power to vote or to direct the vote: none.
(ii) Shared power to vote or to direct the vote: 5,509,573
(iii) Sole power to dispose or to direct the disposition of:
none.
(iv) Shared power to dispose or to direct the disposition of:
5,509,573
ROBERT DAY ***
(a) Amount beneficially owned: 5,509,573
(b) Percent of class: 11.6%
(c) Number of shares as to which such person has:
(i) Sole power to vote or to direct the vote: none.
(ii) Shared power to vote or to direct the vote: 5,509,573
(iii) Sole power to dispose or direct the disposition of:
none.
(iv) Shared power to dispose or to direct the disposition of:
5,509,573
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** The filing of this Schedule 13G shall not be construed as an admission that
the reporting person or any of its affiliates is, for the purposes of
Section 13(d) or 13(g) of the Securities Exchange Act of 1934, the
beneficial owner of any securities covered by this Schedule 13G. In
addition, the filing of this Schedule 13G shall not be construed as an
admission that the reporting person or any of its affiliates is the
beneficial owner of any securities covered by this Schedule 13G for any
other purposes than Section 13(d) of the Securities Exchange Act of 1934.
*** Shares reported for Robert Day include shares reported for The TCW Group,
Inc.
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CUSIP No. 76128Q109 13G Page 7 of 8 Pages
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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 |_|.
Item 6. Ownership of More than Five Percent on Behalf of Another Person.
Various persons other than as described in Item 4 have the right to
receive or the power to direct the receipt of dividends from, or
the proceeds from the sale of, the Common Stock of Retek, Inc.
Item 7. Identification and Classification of the Subsidiary Which
Acquired the Security Being Reported on by the Parent Holding
Company.
SEE Exhibit A.
Item 8. Identification and Classification of Members of the Group.
Not applicable. SEE Exhibits A and B.
Item 9. Notice of Dissolution of Group.
Not applicable.
Item 10. Certification.
Because this statement is filed pursuant to Rule 13d-1(b), the
following certification is included:
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 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.
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CUSIP No. 76128Q109 13G Page 8 of 8 Pages
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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.
Dated this 8th day of November, 2000.
The TCW Group, Inc.
By: /s/ Lazarus N. Sun
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Lazarus N. Sun
Authorized Signatory
Robert Day
By: /s/ Lazarus N. Sun
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Lazarus N. Sun
Under Power of Attorney dated November 6, 2000,
on File with Schedule 13G for Retek, Inc. dated
November 8, 2000.
