<PAGE>
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D/A
Under the Securities Exchange Act of 1934
(Amendment No. 9 )*
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)
November 21, 1997
- --------------------------------------------------------------------------------
(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
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,
JAMES P.F. STABLEFORD and RENATA LE PORT 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 6,418,103 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
6,418,103 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
6,422,603 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) 24.10%
- --------------------------------------------------------------------------------
14 Type of Reporting Person* IA, EP, IN
- --------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
- 2 of 17 -
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 5,339,600 shares, as to all of which beneficial ownership
With is disclaimed
-----------------------------------------------------------------
9 Sole Dispositive Power
None
-----------------------------------------------------------------
10 Shared Dispositive Power
5,339,600 shares, as to all of which beneficial ownership
is disclaimed
- --------------------------------------------------------------------------------
11 Aggregate Amount Beneficially Owned By Each Reporting Person
5,339,600 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) 20.04%
- --------------------------------------------------------------------------------
14 Type of Reporting Person* IA
- --------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
- 3 of 17 -
<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 1,068,503 shares, as to all of which beneficial ownership
With is disclaimed
----------------------------------------------------------------
9 Sole Dispositive Power
None
----------------------------------------------------------------
10 Shared Dispositive Power
1,068,503 shares, as to all of which beneficial ownership
disclaimed
- --------------------------------------------------------------------------------
11 Aggregate Amount Beneficially Owned By Each Reporting Person
1,068,503 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) 4.01%
- --------------------------------------------------------------------------------
14 Type of Reporting Person* IA
- --------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
- 4 of 17 -
<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) 0.02%
- --------------------------------------------------------------------------------
14 Type of Reporting Person* EP
- --------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
- 5 of 17 -
<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 None
Shares
Beneficially ----------------------------------------------------------------
Owned By 8 Shared Voting Power
Each
Reporting 10,000 shares, as to all of which beneficial ownership is
Person disclaimed
With
----------------------------------------------------------------
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) 0.04%
- --------------------------------------------------------------------------------
14 Type of Reporting Person* EP
- --------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
- 6 of 17 -
<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 Shared Voting Power
Reporting
Person 6,418,103 shares, as to all but up to 10,000 of which
With beneficial ownership is disclaimed
----------------------------------------------------------------
9 Sole Dispositive Power
4,500 shares, as to only a portion of which beneficial
ownership is affirmed
----------------------------------------------------------------
10 Shared Dispositive Power
6,418,103 shares, as to all but up to 10,000 of which
beneficial ownership is disclaimed
- --------------------------------------------------------------------------------
11 Aggregate Amount Beneficially Owned By Each Reporting Person
6,422,603 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) 24.10%
- --------------------------------------------------------------------------------
14 Type of Reporting Person* IN
- --------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
- 7 of 17 -
<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 6,418,103 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
6,418,103 shares, as to all but up to 10,000 of which
beneficial ownership is disclaimed
- --------------------------------------------------------------------------------
11 Aggregate Amount Beneficially Owned By Each Reporting Person
6,418,103 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) 24.08%
- --------------------------------------------------------------------------------
14 Type of Reporting Person* IN
- --------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
- 8 of 17 -
<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) 0.04%
- --------------------------------------------------------------------------------
14 Type of Reporting Person* IN
- --------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
- 9 of 17 -
<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 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) 0.04%
- --------------------------------------------------------------------------------
14 Type of Reporting Person* IN
- --------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
- 10 of 17 -
<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 46871 Bayside Parkway, Fremont, CA
94538.
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 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 524, 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 Le Port. Although this statement is being
made jointly by Amerindo, 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. Messrs. Alberto W. Vilar and
Gary A. Tanaka, whose business addresses are the same as those set forth
for Amerindo and each of whom is a U.S. citizen, are the only directors and
executive officers of 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 and Mr. Garcia's business addresses are at Amerindo's offices at
399 Park Avenue, New York, New York 10022. 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 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. Le Port 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 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.
- 11 of 17-
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 change 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 change 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
November 21, 1997, and the percentage which such shares constitute of the total
number of shares outstanding, as reflected on Issuer's Form 10Q for the Quarter
ended September 30, 1997, 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 September 22, 1997, and ending on November
21, 1997, 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
- 12 of 17 -
<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.
- 13 of 17 -
<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, 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/ James P.F. Stableford
--------------------------------------
JAMES P.F. STABLEFORD, TRUSTEE
By: /s/ Renata Le Port
--------------------------------------
RENATA LE PORT, TRUSTEE
/s/ Alberto W. Vilar
--------------------------------------
ALBERTO W. VILAR
/s/ Gary A. Tanaka
--------------------------------------
GARY A. TANAKA
- 14 of 17 -
<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 November 21, 1997,
and the percentage which such shares constitute of the total number of
shares outstanding, as reflected on the Issuer's Form 10Q for the Quarter
ended September 30, 1997, 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 5,339,600 20.04%
Amerindo Panama 1,068,503 4.01%
Plan 4,500 0.02%
Retirement Benefits
Scheme 10,000 0.04%
Alberto W. Vilar 6,422,603 24.10%
Gary A. Tanaka 6,418,103 24.08%
James H. Furey 0 0.00%
Joaquin Garcia 0 0.00%
James P.F. Stableford 10,000 0.04%
Renata Le Port 10,000 0.04%
(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. Le Port, 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.
- 15 of 17 -
<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
September 22, 1997, and ending on November 21, 1997, 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 09-24-97 Buy 12,000 24.5625
Amerindo 09-24-97 Buy 50,000 27.6250
Amerindo 10-07-97 Sell 15,000 27.7500
Amerindo 10-17-97 Buy 20,000 27.0000
Amerindo 10-28-97 Buy 5,800 26.3750
Amerindo 10-30-97 Buy 16,700 27.5314
Amerindo 10-31-97 Buy 5,000 25.6562
Amerindo 11-11-97 Buy 5,000 26.0000
Amerindo 11-11-97 Buy 17,500 25.7589
Amerindo 11-11-97 Buy 95,000 26.0330
Amerindo 11-12-97 Buy 21,000 23.8902
Amerindo 11-14-97 Buy 2,500 23.7500
Amerindo 11-19-97 Buy 1,200 24.8750
Amerindo 11-21-97 Buy 45,000 23.2146
Amerindo Panama 10-14-97 Sell 2,500 31.2500
Amerindo Panama 11-03-97 Sell 2,500 26.5000
Amerindo Panama 11-04-97 Sell 5,000 26.5000
Amerindo Panama 11-05-97 Sell 1,000 28.5000
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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, 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/ James P.F. Stableford
--------------------------------------
JAMES P.F. STABLEFORD, TRUSTEE
By: /s/ Renata Le Port
--------------------------------------
RENATA LE PORT, TRUSTEE
/s/ Alberto W. Vilar
--------------------------------------
ALBERTO W. VILAR
/s/ Gary A. Tanaka
--------------------------------------
GARY A. TANAKA
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<PAGE>
