<PAGE>
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D/A
Under the Securities Exchange Act of 1934
(Amendment No.4)*
AVANT! CORPORATION
- --------------------------------------------------------------------------------
(Name of Issuer)
COMMON STOCK
- --------------------------------------------------------------------------------
(Title of Class of Securities)
053487104
-------------------------------
(CUSIP Number)
Alberto W. Vilar, Amerindo Investment Advisors Inc.,
One Embarcadero Center, Suite 2300,
San Francisco, CA 94111-3162; Telephone: (415) 362-0292
- --------------------------------------------------------------------------------
(Name, Address and Telephone Number of Persons
Authorized to Receive Notices and Communications)
September 13, 1996
- --------------------------------------------------------------------------------
(Date of Event which Requires Filing this Statement)
If the filing person has previously filed a statement on Schedule 13G to report
the acquisition which is the subject of this Schedule 13D/A, and is filing this
schedule because of Rule 13D-1(b)(3) or (4), check the following space .
---
Check the following space if a fee is being paid with the statement . (A
---
fee is not required only if the reporting 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.)
NOTE: Six copies of this statement, including all exhibits, should be filed
with the Commission. See Rule 13D-1(a) for other parties to whom copies are to
be sent.
*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 liabilities of that section of
the Act but shall be subject to all other provisions of the Act (however, see
the Notes).
(Continued on following page(s))
<PAGE>
CUSIP
No. 053487104 13D/A
- --------------------------------------------------------------------------------
1 Name of Reporting Person
S.S. or I.R.S. Identification No. of Above Person
AMERINDO INVESTMENT ADVISORS INC., a California corporation, AMERINDO
ADVISORS (U.K.) LIMITED, AMERINDO INVESTMENT ADVISORS, INC., a Panama
corporation, the AMERINDO INVESTMENT ADVISORS INC. PROFIT SHARING
TRUST, the AMERINDO ADVISORS (UK) LIMITED RETIREMENT BENEFITS SCHEME,
ALBERTO W. VILAR, GARY A. TANAKA, RENATA LE PORT and JAMES P. F.
STABLEFORD who disaffirm the existence of any group and who are
sometimes collectively referred to as the "Reporting Persons."
- --------------------------------------------------------------------------------
2 Check the Appropriate Box if a Member of a Group* (a) [ ]
(b) [ ]
- --------------------------------------------------------------------------------
3 SEC Use Only
- --------------------------------------------------------------------------------
4 Source of Funds*
00
- --------------------------------------------------------------------------------
5 Check Box if Disclosure of Legal Proceedings is Required [ ]
- --------------------------------------------------------------------------------
6 Citizenship or Place of Organization
See Item 6 of separate cover pages for Reporting Persons
- --------------------------------------------------------------------------------
7 Sole Voting Power
Number of 4,500 shares in the aggregate for all Reporting Persons and
Shares as to all but a portion of which beneficial ownership is
Beneficially disclaimed
Owned By
Each -----------------------------------------------------------------
Reporting 8 Shared Voting Power
Person
With 5,299,203 shares in the aggregate for all Reporting Persons
and as to all but up to 10,000 of which beneficial
ownership is disclaimed
-----------------------------------------------------------------
9 Sole Dispositive Power
4,500 shares in the aggregate for all Reporting Persons and
as to all but a portion of which beneficial ownership is
disclaimed
-----------------------------------------------------------------
10 Shared Dispositive Power
5,299,203 shares in the aggregate for all Reporting Persons
and as to all but up to 10,000 of which beneficial
ownership is disclaimed
- --------------------------------------------------------------------------------
11 Aggregate Amount Beneficially Owned By Each Reporting Person
5,303,703 shares in the aggregate for all Reporting Persons and as to
all but up to 14,500 of which beneficial ownership is disclaimed
- --------------------------------------------------------------------------------
12 Check Box if the Aggregate Amount in Row (11) excludes Certain
Shares* [X]
- --------------------------------------------------------------------------------
13 Percent of Class Represented by Amount in Row (11) 32.63%
- --------------------------------------------------------------------------------
14 Type of Reporting Person* IA
- --------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
- 2 of 18 -
CUSIP
No. 053487104 13D/A
- --------------------------------------------------------------------------------
1 Name of Reporting Person
S.S. or I.R.S. Identification No. of Above Person
AMERINDO INVESTMENT ADVISORS INC.
- --------------------------------------------------------------------------------
2 Check the Appropriate Box if a Member of a Group* (a) [ ]
(b) [ ]
- --------------------------------------------------------------------------------
3 SEC Use Only
- --------------------------------------------------------------------------------
4 Source of Funds*
00
- --------------------------------------------------------------------------------
5 Check Box if Disclosure of Legal Proceedings is Required [ ]
- --------------------------------------------------------------------------------
6 Citizenship or Place of Organization
California
- --------------------------------------------------------------------------------
7 Sole Voting Power
Number of None
Shares
Beneficially -----------------------------------------------------------------
Owned By
Each 8 Shared Voting Power
Reporting
Person 3,625,300 shares, as to all of which beneficial ownership
With is disclaimed
-----------------------------------------------------------------
9 Sole Dispositive Power
None
-----------------------------------------------------------------
10 Shared Dispositive Power
3,625,300 shares, as to all of which beneficial ownership
is disclaimed
- --------------------------------------------------------------------------------
11 Aggregate Amount Beneficially Owned By Each Reporting Person
3,625,300 shares, as to all of which beneficial ownership is disclaimed
- --------------------------------------------------------------------------------
12 Check Box if the Aggregate Amount in Row (11) excludes Certain
Shares* [X]
- --------------------------------------------------------------------------------
13 Percent of Class Represented by Amount in Row (11)
22.30%
- --------------------------------------------------------------------------------
14 Type of Reporting Person*
IA
- --------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
- 3 of 18 -
<PAGE>
CUSIP
No. 053487104 13D/A
- --------------------------------------------------------------------------------
1 Name of Reporting Person
S.S. or I.R.S. Identification No. of Above Person
AMERINDO ADVISORS (U.K.) LIMITED
- --------------------------------------------------------------------------------
2 Check the Appropriate Box if a Member of a Group* (a) [ ]
(b) [ ]
- --------------------------------------------------------------------------------
3 SEC Use Only
- --------------------------------------------------------------------------------
4 Source of Funds*
00
- --------------------------------------------------------------------------------
5 Check Box if Disclosure of Legal Proceedings is Required [ ]
- --------------------------------------------------------------------------------
6 Citizenship or Place of Organization
United Kingdom
- --------------------------------------------------------------------------------
7 Sole Voting Power
Number of None
Shares
Beneficially -----------------------------------------------------------------
Owned By
Each 8 Shared Voting Power
Reporting
Person
With None
-----------------------------------------------------------------
9 Sole Dispositive Power
None
-----------------------------------------------------------------
10 Shared Dispositive Power
None
- --------------------------------------------------------------------------------
11 Aggregate Amount Beneficially Owned By Each Reporting Person
None
- --------------------------------------------------------------------------------
12 Check Box if the Aggregate Amount in Row (11) excludes Certain
Shares* [X]
- --------------------------------------------------------------------------------
13 Percent of Class Represented by Amount in Row (11)
0.0%
- --------------------------------------------------------------------------------
14 Type of Reporting Person*
IA
- --------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
- 4 of 18 -
<PAGE>
CUSIP
No. 053487104 13D/A
- --------------------------------------------------------------------------------
1 Name of Reporting Person
S.S. or I.R.S. Identification No. of Above Person
AMERINDO INVESTMENT ADVISORS, INC.
- --------------------------------------------------------------------------------
2 Check the Appropriate Box if a Member of a Group* (a) [ ]
(b) [ ]
- --------------------------------------------------------------------------------
3 SEC Use Only
- --------------------------------------------------------------------------------
4 Source of Funds*
00
- --------------------------------------------------------------------------------
5 Check Box if Disclosure of Legal Proceedings is Required [ ]
- --------------------------------------------------------------------------------
6 Citizenship or Place of Organization
Panama
- --------------------------------------------------------------------------------
7 Sole Voting Power
Number of None
Shares
Beneficially
Owned By ----------------------------------------------------------------
Each 8 Shared Voting Power
Reporting
Person 1,663,903 shares, as to all of which beneficial ownership
With is disclaimed
----------------------------------------------------------------
9 Sole Dispositive Power
None
----------------------------------------------------------------
10 Shared Dispositive Power
1,663,903 shares, as to all of which beneficial ownership
disclaimed
- --------------------------------------------------------------------------------
11 Aggregate Amount Beneficially Owned By Each Reporting Person
1,663,903 shares, as to all of which beneficial ownership disclaimed
- --------------------------------------------------------------------------------
12 Check Box if the Aggregate Amount in Row (11) excludes Certain
Shares* [X]
- --------------------------------------------------------------------------------
13 Percent of Class Represented by Amount in Row (11) 10.24%
- --------------------------------------------------------------------------------
14 Type of Reporting Person* IA
- --------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
- 5 of 18 -
<PAGE>
CUSIP
No. 053487104 13D/A
- --------------------------------------------------------------------------------
1 Name of Reporting Person
S.S. or I.R.S. Identification No. of Above Person
AMERINDO INVESTMENT ADVISORS INC. PROFIT SHARING TRUST
- --------------------------------------------------------------------------------
2 Check the Appropriate Box if a Member of a Group* (a) [ ]
(b) [ ]
- --------------------------------------------------------------------------------
3 SEC Use Only
- --------------------------------------------------------------------------------
4 Source of Funds*
00
- --------------------------------------------------------------------------------
5 Check Box if Disclosure of Legal Proceedings is Required [ ]
- --------------------------------------------------------------------------------
6 Citizenship or Place of Organization
Florida
- --------------------------------------------------------------------------------
7 Sole Voting Power
Number of 4,500 shares, as to all of which beneficial ownership is
Shares disclaimed
Beneficially
Owned By ----------------------------------------------------------------
Each 8 Shared Voting Power
Reporting
Person None
With
----------------------------------------------------------------
9 Sole Dispositive Power
4,500 shares, as to all of which beneficial ownership is
disclaimed
----------------------------------------------------------------
10 Shared Dispositive Power
None
- --------------------------------------------------------------------------------
11 Aggregate Amount Beneficially Owned By Each Reporting
Person
4,500 shares, as to all of which beneficial ownership is
disclaimed
- --------------------------------------------------------------------------------
12 Check Box if the Aggregate Amount in Row (11) excludes Certain
Shares* [X]
- --------------------------------------------------------------------------------
13 Percent of Class Represented by Amount in Row (11) 0.03%
- --------------------------------------------------------------------------------
14 Type of Reporting Person* EP
- --------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
- 6 of 18 -
<PAGE>
CUSIP
No. 053487104 13D/A
- --------------------------------------------------------------------------------
1 Name of Reporting Person
S.S. or I.R.S. Identification No. of Above Person
AMERINDO INVESTMENT ADVISORS (UK) LIMITED RETIREMENT BENEFITS SCHEME
- --------------------------------------------------------------------------------
2 Check the Appropriate Box if a Member of a Group* (a) [ ]
(b) [ ]
- --------------------------------------------------------------------------------
3 SEC Use Only
- --------------------------------------------------------------------------------
4 Source of Funds*
00
- --------------------------------------------------------------------------------
5 Check Box if Disclosure of Legal Proceedings is Required [ ]
- --------------------------------------------------------------------------------
6 Citizenship or Place of Organization
United Kingdom
- --------------------------------------------------------------------------------
7 Sole Voting Power
Number of
Shares None
Beneficially
Owned By ----------------------------------------------------------------
Each 8 Shared Voting Power
Reporting
Person 10,000 shares, as to all of which beneficial ownership is
With disclaimed
----------------------------------------------------------------
9 Sole Dispositive Power
None
----------------------------------------------------------------
10 Shared Dispositive Power
10,000 shares, as to all of which beneficial ownership is
disclaimed
- --------------------------------------------------------------------------------
11 Aggregate Amount Beneficially Owned By Each Reporting Person
10,000 shares, as to all of which beneficial ownership is disclaimed
- --------------------------------------------------------------------------------
12 Check Box if the Aggregate Amount in Row (11) excludes Certain
Shares* [X]
- --------------------------------------------------------------------------------
13 Percent of Class Represented by Amount in Row (11) 0.06%
- --------------------------------------------------------------------------------
14 Type of Reporting Person* EP
- --------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
- 7 of 18 -
<PAGE>
CUSIP
No. 053487104 13D/A
- --------------------------------------------------------------------------------
1 Name of Reporting Person
S.S. or I.R.S. Identification No. of Above Person
ALBERTO W. VILAR
- --------------------------------------------------------------------------------
2 Check the Appropriate Box if a Member of a Group* (a) [ ]
(b) [ ]
- --------------------------------------------------------------------------------
3 SEC Use Only
- --------------------------------------------------------------------------------
4 Source of Funds*
00
- --------------------------------------------------------------------------------
5 Check Box if Disclosure of Legal Proceedings is Required [ ]
- --------------------------------------------------------------------------------
6 Citizenship or Place of Organization
United States
- --------------------------------------------------------------------------------
7 Sole Voting Power
Number of 4,500 shares, as to only a portion of which beneficial
Shares ownership is affirmed
Beneficially
Owned By ----------------------------------------------------------------
Each 8 5,299,203 shares, as to all but up to 10,000 shares
Reporting of which beneficial ownership is disclaimed
Person
With ----------------------------------------------------------------
9 Sole Dispositive Power
4,500 shares, as to only a portion of which beneficial
ownership is affirmed
----------------------------------------------------------------
10 Shared Dispositive Power
5,299,203 shares, as to all but up to 10,000 shares
of which beneficial ownership
is disclaimed
- --------------------------------------------------------------------------------
11 Aggregate Amount Beneficially Owned By Each Reporting Person
5,303,703 shares, as to all but a portion of which beneficial ownership is
disclaimed
- --------------------------------------------------------------------------------
12 Check Box if the Aggregate Amount in Row (11) excludes Certain
Shares* [X]
- --------------------------------------------------------------------------------
13 Percent of Class Represented by Amount in Row (11) 32.63%
- --------------------------------------------------------------------------------
14 Type of Reporting Person* IN
- --------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
- 8 of 18 -
<PAGE>
CUSIP
No. 053487104 13D/A
- --------------------------------------------------------------------------------
1 Name of Reporting Person
S.S. or I.R.S. Identification No. of Above Person
GARY A. TANAKA
- --------------------------------------------------------------------------------
2 Check the Appropriate Box if a Member of a Group* (a) [ ]
(b) [ ]
- --------------------------------------------------------------------------------
3 SEC Use Only
- --------------------------------------------------------------------------------
4 Source of Funds*
00
- --------------------------------------------------------------------------------
5 Check Box if Disclosure of Legal Proceedings is Required [ ]
- --------------------------------------------------------------------------------
6 Citizenship or Place of Organization
United States
- --------------------------------------------------------------------------------
7 Sole Voting Power
Number of None
Shares
Beneficially
Owned By ----------------------------------------------------------------
Each 8 Shared Voting Power
Reporting
Person 5,299,203 shares, as to all but up to 10,000 of which
With beneficial ownership is disclaimed
----------------------------------------------------------------
9 Sole Dispositive Power
None
----------------------------------------------------------------
10 Shared Dispositive Power
5,299,203 shares, as to all but up to 10,000 of which
beneficial ownership is disclaimed
- --------------------------------------------------------------------------------
11 Aggregate Amount Beneficially Owned By Each Reporting Person
5,299,203 shares, as to all but a portion of which beneficial ownership
disclaimed
- --------------------------------------------------------------------------------
12 Check Box if the Aggregate Amount in Row (11) excludes Certain
Shares* [X]
- --------------------------------------------------------------------------------
13 Percent of Class Represented by Amount in Row (11) 32.60%
- --------------------------------------------------------------------------------
14 Type of Reporting Person* IN
- --------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
- 9 of 18 -
<PAGE>
CUSIP
No. 053487104 13D/A
- --------------------------------------------------------------------------------
1 Name of Reporting Person
S.S. or I.R.S. Identification No. of Above Person
RENATA LE PORT
- --------------------------------------------------------------------------------
2 Check the Appropriate Box if a Member of a Group* (a) [ ]
(b) [ ]
- --------------------------------------------------------------------------------
3 SEC Use Only
- --------------------------------------------------------------------------------
4 Source of Funds*
00
- --------------------------------------------------------------------------------
5 Check Box if Disclosure of Legal Proceedings is Required [ ]
- --------------------------------------------------------------------------------
6 Citizenship or Place of Organization
United Kingdom
- --------------------------------------------------------------------------------
7 Sole Voting Power
Number of
Shares
Beneficially None
Owned By ----------------------------------------------------------------
Each 8 Shared Voting Power
Reporting
Person 10,000 shares, as to only a portion of which beneficial
With ownership is affirmed
----------------------------------------------------------------
9 Sole Dispositive Power
None
----------------------------------------------------------------
10 Shared Dispositive Power
10,000 shares, as to only a portion of which beneficial
ownership is affirmed
- --------------------------------------------------------------------------------
11 Aggregate Amount Beneficially Owned By Each Reporting Person
10,000 shares, as to only a portion of which beneficial
ownership is affirmed
- --------------------------------------------------------------------------------
12 Check Box if the Aggregate Amount in Row (11) excludes Certain
Shares* [X]
- --------------------------------------------------------------------------------
13 Percent of Class Represented by Amount in Row (11) 0.06%
- --------------------------------------------------------------------------------
14 Type of Reporting Person* IN
- --------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
- 10 of 18 -
<PAGE>
CUSIP
No. 053487104 13D/A
- --------------------------------------------------------------------------------
1 Name of Reporting Person
S.S. or I.R.S. Identification No. of Above Person
JAMES P. F. STABLEFORD
- --------------------------------------------------------------------------------
2 Check the Appropriate Box if a Member of a Group* (a) [ ]
(b) [ ]
- --------------------------------------------------------------------------------
3 SEC Use Only
- --------------------------------------------------------------------------------
4 Source of Funds*
00
- --------------------------------------------------------------------------------
5 Check Box if Disclosure of Legal Proceedings is Required [ ]
- --------------------------------------------------------------------------------
6 Citizenship or Place of Organization
United Kingdom
- --------------------------------------------------------------------------------
7 Sole Voting Power
Number of
Shares None
Beneficially
Owned By ----------------------------------------------------------------
Each 8 Shared Voting Power
Reporting
Person 10,000 shares, as to only a portion of which beneficial
With ownership is affirmed
----------------------------------------------------------------
9 Sole Dispositive Power
None
----------------------------------------------------------------
10 Shared Dispositive Power
10,000 shares, as to only a portion of which beneficial
ownership is affirmed
- --------------------------------------------------------------------------------
11 Aggregate Amount Beneficially Owned By Each Reporting Person
10,000 shares, as to only a portion of which beneficial
ownership is affirmed
- --------------------------------------------------------------------------------
12 Check Box if the Aggregate Amount in Row (11) excludes Certain
Shares* [X]
- --------------------------------------------------------------------------------
13 Percent of Class Represented by Amount in Row (11) 0.06%
- --------------------------------------------------------------------------------
14 Type of Reporting Person* IN
- --------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
- 11 of 18 -
<PAGE>CUSIP
No. 053487104 13D/A
ITEM 1. Security and Issuer.
- ------- -------------------
The class of equity securities to which this statement relates
is the Common Stock of Avant! Corporation ("the Issuer"), whose
principal executive offices are located at 1208 East Arques Avenue,
Sunnyvale, CA 94086.
ITEM 2. Identity and Background.
- ------ -----------------------
This statement is being filed by Amerindo Investment
Advisors Inc., a California corporation whose principal executive offices
are located at One Embarcadero Center, Suite 2300, San Francisco,
California, 94111 ("Amerindo"), Amerindo Advisors (U.K.) Limited, a United
Kingdom corporation whose principal executive offices are located at 43
Upper Grosvenor Street, London WIX 9PG England ("Amerindo UK"), Amerindo
Investment Advisors, Inc., a Panama corporation, whose principal executive
offices are located at Edificio Sucre, Calle 48 Este, Bella Vista, Apartado
6277, Panama 5, Panama ("Amerindo Panama"), the Amerindo Investment Advisors
Inc. Profit Sharing Trust, the address of which is Gables International
Plaza, 2655 Le Jeune Road, Suite 1112, Coral Gables, FL 33134 (the "Plan"),
the Amerindo Advisors (UK) Limited Retirement Benefits Scheme, the address
of which is 43 Upper Grosvenor Street, London WIX 9PG England ("Retirement
Benefits Scheme"), Alberto W. Vilar, Gary A. Tanaka, James P. F. Stableford
and Renata LePort. Although this statement is being made jointly by Amerindo,
Amerindo UK, Amerindo Panama, the Plan, the Retirement Benefits Scheme, Messrs.
Vilar, Tanaka, Stableford and Ms. Le Port, each of them expressly disaffirms
membership in any group under Rule 13D-5 under the Securities Exchange Act of
1934, as amended (the "Exchange Act"), or otherwise.
Amerindo is registered as an investment advisor under the
Investment Advisors Act of 1940, as amended, and Amerindo UK is registered
with the Investment Management Regulatory Organization in the United
Kingdom. Messrs. Alberto W. Vilar and Gary A. Tanaka, whose business
addresses are the same as those set forth for Amerindo and Amerindo UK and
each of whom is a U.S. citizen, are the only directors and executive
officers of Amerindo U.K. and Amerindo Panama. They are also the only
directors and executive officers of Amerindo, other than Mr. James H.
Furey, Chief Operating Officer, and Mr. Joaquin Garcia-Larrieu, Chief
Financial Officer. Mr. Furey's business address is at Amerindo's offices
at 399 Park Avenue, New York, New York 10022, and Mr. Garcia's business
address is Gables International Plaza, 2655 Le Jeune Road, Suite 1112,
Coral Gables, FL 33134. Messrs. Alberto W. Vilar, Gary A. Tanaka,
James P. F. Stableford and Ms. Renata Le Port are managing trustees of the
Amerindo Advisors (UK) Limited Retirement Benefits Scheme and Mr. Vilar is
the sole trustee of the Profit Sharing Trust. Amerindo, Amerindo UK,
Amerindo Panama, the Plan, the Retirement Benefits Scheme, Messrs. Vilar,
Tanaka, Stableford and Ms. Le Port are sometimes hereinafter collectively
referred to as the "Reporting Persons." Messrs. Vilar, Tanaka, Stableford,
Furey, Garcia and Ms. LePort are sometimes hereinafter collectively referred
to as the "Other Named Individuals."
During the last five years, none of the Reporting Persons or Other
Named Individuals has been convicted in a criminal proceeding (excluding
traffic violations or similar misdemeanors), nor has any such individual or
entity been a party to a civil proceeding of a judicial or administrative
body of competent jurisdiction as a result of which proceeding such
individual or entity was or is 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 Amounts of Funds or Other Consideration.
- ------- --------------------------------------------------
All purchases of the subject securities by the Reporting Persons
have been in the ordinary course of the respective businesses of Amerindo,
Amerindo U.K. and Amerindo Panama (collectively, the "Advisor Entities") as
investment advisors, except for an aggregate of 10,000 shares which are
owned by the Retirement Benefits Scheme and 4,500 shares owned by the Plan.
Accordingly, the funds used to purchase the subject securities have been
client funds pertaining to accounts under management, except that the shares
owned by the Retirement Benefits Scheme and the Plan were purchased with
Retirement Benefits Scheme and Plan assets, respectively. Purchases of the
Issuer's securities by the Named Individuals would all be and have all been
made with their personal funds, except that margin credit may also be, and
may have been, employed.
- 12 of 18 -
ITEM 4. Purpose of Transaction.
- ------- ----------------------
All of the subject securities have been purchased by the Advisor
Entities in the ordinary course of their respective businesses as
investment advisors (or, in the case of securities held by the
Retirement Benefits Scheme and the Plan, in the ordinary course of
investing for the Retirement Benefits Scheme and the Plan), and not
with the purpose of effecting changing or influencing the control of the
issuer or in connection with or as a participant in any transaction
having such purpose or effect, including any transaction subject to
Rule 13D-3(b) under the Exchange Act. Additionally, because each of the
Advisor Entities is obligated to act in the best interests of its
respective clients and in accordance with the respective mandates of those
clients, there is no agreement between or among any of the Reporting
Persons to act together with respect to the Issuer or its securities,
except that they may, from time to time and provided that transactions
are otherwise being effected at the same time, aggregate orders for client
accounts in order to receive more favorable trading terms. Any of the
subject securities acquired or which might in the future be acquired by
any of the Named Individuals have been and would be acquired for investment
and not with the purpose of effecting of changing or influencing the control
of the issuer or in connection with or as a participant in any transaction
having such purpose or effect, including any transaction subject to
Rule 13D-3(b) under the Exchange Act.
ITEM 5. Interests in Securities of Issuer.
- ------- ---------------------------------
(a) See Exhibit "A" attached hereto for information setting forth for
each of the Reporting Persons and for each Named Individual the aggregate number
of shares of the Common Stock of Issuer beneficially owned by such person as of
September 13, 1996, and the percentage which such shares constitute of the total
number of shares outstanding, as reflected on Issuer's Form 10-Q for the Quarter
ended June 30, 1996, unless information has been obtained as of a later
date directly from the Issuer (with beneficial ownership determined as set forth
in Rule 13D-3 under the Exchange Act, but disclaimed except as set forth in the
Exhibit).
(b) Messrs. Vilar and Tanaka share voting and dispositive power
over all shares shown as owned by any of the Reporting Persons, except that
Messrs. Vilar, Tanaka, Stableford and Ms. Le Port have shared
voting and dispositive power over the 10,000 shares held by the Retirement
Benefits Scheme and Mr. Vilar has sole voting and dispositive power over the
4,500 shares held in the Plan; however, each client of the Advisor Entities
has the unilateral right to terminate the advisory arrangement with the
Entity in question on notice which typically need not exceed 30 days. Each
of the Other Named Individuals has sole voting and dispositive power as to
the shares shown in Exhibit "A" as owned by him.
(c) The table contained in Exhibit "B" attached hereto sets forth for
each of the Reporting Persons and Named Individuals information concerning all
acquisitions and dispositions of Issuer's Common Stock by any such person
during the period beginning on July 15, 1996, and ending on September 13, 1996,
including (i) the date of the transaction (ii) whether the transaction was a
purchase or sale, (iii) the number of shares involved, and (iv) the price per
share at which the transaction was effected. All transactions were effected
on the open market.
(d) The shares covered by this statement are all owned by clients
of the Advisor Entities and/or the Plans. No such person's interest in the
securities included in this statement exceeds 5% of the class outstanding.
(e) Inapplicable
- 13 of 18 -
<PAGE>
ITEM 6. Contracts, Arrangements, Understandings or
- ------ Relationships with Respect to Securities
of the Issuer.
------------------------------------------
Messrs. Vilar and Tanaka are the sole shareholders and directors
of each of the Advisor Entities. As stated above, clients of those
Entities generally have the right to terminate their investment advisory
arrangements with those Entities on notice of 30 days or less.
ITEM 7. Material to be Filed as Exhibits.
- ------ --------------------------------
Inapplicable.
- 14 of 18 -
<PAGE>
SIGNATURES
----------
After reasonable inquiry and to the best of our knowledge and belief, we
certify that the information set forth in this statement is true, complete
and correct.
AMERINDO INVESTMENT ADVISORS INC.,
a California corporation
By: /s/ Alberto W. Vilar
--------------------------------------
ALBERTO W. VILAR, PRESIDENT
AMERINDO INVESTMENT ADVISORS (U.K.) LIMITED,
a United Kingdom corporation
By: /s/ Alberto W. Vilar
--------------------------------------
ALBERTO W. VILAR, DIRECTOR
AMERINDO INVESTMENT ADVISORS, INC.,
a Panama corporation
By: /s/ Alberto W. Vilar
--------------------------------------
ALBERTO W. VILAR, DIRECTOR
AMERINDO INVESTMENT ADVISORS INC.,
PROFIT SHARING TRUST
By: /s/ Alberto W. Vilar
--------------------------------------
ALBERTO W. VILAR, TRUSTEE
AMERINDO ADVISORS (UK) LIMITED RETIREMENT
BENEFITS SCHEME
By: /s/ Alberto W. Vilar
--------------------------------------
ALBERTO W. VILAR, TRUSTEE
By: /s/ Gary A. Tanaka
--------------------------------------
GARY A. TANAKA, TRUSTEE
By: /s/ Renata Le Port
--------------------------------------
RENATA LE PORT, TRUSTEE
By: /s/ James P.F. Stableford
--------------------------------------
JAMES P.F. STABLEFORD, TRUSTEE
/s/ Alberto W. Vilar
--------------------------------------
ALBERTO W. VILAR
/s/ Gary A. Tanaka
--------------------------------------
GARY A. TANAKA
- 15 of 18 -
<PAGE>
EXHIBIT A
AVANT! CORPORATION
COMMON STOCK
053487104
The following table sets forth for each of the Reporting Persons and
for each Other Named Individual the aggregate number of shares of the Common
Stock of the Issuer beneficially owned by such person as of September 13, 1996,
and the percentage which such shares constitute of the total number of
shares outstanding, as reflected on the Issuer's Form 10-Q for the Quarter
ended June 30, 1996, unless based on more recent information obtained
directly from the Issuer (with beneficial ownership determined as set forth
in Rule 13D-3 under the Exchange Act, but disclaimed as set forth in the
footnote):
NAME NO. OF SHARES (1) PERCENT OF CLASS
---- ------------- ----------------
Amerindo 3,625,300 22.30%
Amerindo UK 0 0.00%
Amerindo Panama 1,663,903 10.24%
Plan 4,500 0.03%
Retirement Benefits
Scheme 10,000 0.06%
Alberto W. Vilar 5,303,703 32.63%
Gary A. Tanaka 5,299,203 32.60%
James H. Furey 0 0.00%
Joaquin Garcia 0 0.00%
Renata Le Port 10,000 0.06%
James P. F. Stableford 10,000 0.06%
(1) Messrs. Vilar and Tanaka, as the sole directors and shareholders of
each of the Advisor Entities, share voting and investment power as to all
shares shown as owned by the Advisor Entities, but they and the Advisor
Entities disclaim ownership of any of such shares. As sole trustee of the
Plan, Mr. Vilar exercises sole investment and dispositive power as to the
shares shown as owned by the Plan, but disclaims beneficial ownership of
any of such shares except insofar as concerns his indirect interest therein
by reason of his pro rata interest in the Plan. Messrs. Vilar, Tanaka,
Stableford and Ms. LePort, as the managing trustees of the Retirement Benefits
Scheme, share investment and dispositive power as to the shares shown as owned
by the Retirement Benefits Scheme, but disclaim beneficial ownership of any of
such shares except insofar as concerns their indirect interest therein by
reason of their pro rata interest in the Scheme. The number of shares shown
as owned by the Other Named Individuals does not include any owned
indirectly by them as participants in the Plan and/or Retirement Benefits
Scheme. Each client of the Advisor Entities has the unilateral right to
terminate the advisory arrangement with the Entity in question on notice
which typically need not exceed 30 days.
- 16 of 18 -
<PAGE>
EXHIBIT B
AVANT! CORPORATION
COMMON STOCK
053487104
The following table sets forth for each of the Reporting Persons and Other
Named Individuals information concerning all acquisitions and dispositions
of the Issuer's Common Stock by any such person during the period beginning
on July 15, 1996, and ending on September 13, 1996, including (i) the
date of the transaction (ii) whether the transaction was a purchase or
sale, (iii) the number of shares involved, and (iv) the price per share at
which the transaction was effected. All transactions were effected on the
open market.
Type of Number Price
Name Date Transaction of Shares per Share
---- ---- ----------- --------- ---------
Amerindo US
Amerindo US
Amerindo US 05-22-96 Buy 5,000 22.1250
Amerindo US 05-22-96 Buy 5,000 21.8750
Amerindo US 05-29-96 Buy 10,000 18.7500
Amerindo US 06-03-96 Buy 5,000 21.5500
Amerindo US 07-02-96 Buy 2,500 24.6750
Amerindo US 07-03-96 Buy 5,000 23.5500
Amerindo US 07-05-96 Buy 20,000 22.9875
Amerindo US 07-08-96 Buy 25,000 22.5000
Amerindo US 07-08-96 Buy 3,200 22.4250
Amerindo US 07-09-96 Buy 65,000 24.0000
- 17 of 18 -
<PAGE>
EXHIBIT C
AVANT! CORPORATION
COMMON STOCK
053487104
We hereby agree that the within Statement on Schedule 13D/A regarding our
beneficial ownership of Common Stock is filed on behalf of each of us.
AMERINDO INVESTMENT ADVISORS INC.,
a California corporation
By: /s/ Alberto W. Vilar
--------------------------------------
ALBERTO W. VILAR, PRESIDENT
AMERINDO INVESTMENT ADVISORS (U.K.) LIMITED,
a United Kingdom corporation
By: /s/ Alberto W. Vilar
--------------------------------------
ALBERTO W. VILAR, DIRECTOR
AMERINDO INVESTMENT ADVISORS, INC.,
a Panama corporation
By: /s/ Alberto W. Vilar
--------------------------------------
ALBERTO W. VILAR, DIRECTOR
AMERINDO INVESTMENT ADVISORS INC.,
PROFIT SHARING TRUST
By: /s/ Alberto W. Vilar
--------------------------------------
ALBERTO W. VILAR, TRUSTEE
AMERINDO ADVISORS (UK) LIMITED RETIREMENT
BENEFITS SCHEME
By: /s/ Alberto W. Vilar
--------------------------------------
ALBERTO W. VILAR, TRUSTEE
By: /s/ Gary A. Tanaka
--------------------------------------
GARY A. TANAKA, TRUSTEE
By: /s/ Renata Le Port
--------------------------------------
RENATA LE PORT, TRUSTEE
By: /s/ James P.F. Stableford
--------------------------------------
JAMES P.F. STABLEFORD, TRUSTEE
/s/ Alberto W. Vilar
--------------------------------------
ALBERTO W. VILAR
/s/ Gary A. Tanaka
--------------------------------------
GARY A. TANAKA
- 18 of 18 -
<PAGE>
