SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. )*
Auspex Systems, Inc.
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(Name of Issuer)
COMMON STOCK
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(Title of Class of Securities)
052116100
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(CUSIP Number)
Check the appropriate box to designate the rule pursuant to which this Schedule
is filed:
[ ] Rule 13d-1(b)
[X] Rule 13d-1(c)
[ ] Rule 13d-1(d)
* The remainder of this cover page shall be filled out for a reporting person's
initial filing on this form with respect to the subject class of securities, and
for any subsequent amendment containing information which would alter the
disclosures provided in a prior cover page.
The information required in the remainder of this cover page shall not be deemed
to be "filed" for the purpose of Section 18 of the Securities Exchange Act of
1934 ("Act") or otherwise subject to the liabilities of that section of the Act
but shall be subject to all other provisions of the Act (however, see the
Notes).
<PAGE>
CUSIP No. 052116100
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1) Names of Reporting Person
S.S. or I.R.S. Identification No. of Above Person
Tudor Investment Corporation
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22-2514825
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2) Check the Appropriate Box if a Member of a Group (See Instructions)
(a)
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(b) X
----------------------------------------------------------------
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3) SEC Use Only
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4) Citizenship or Place of Organization Delaware
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(5) Sole Voting Power 0
Number of Shares -------------------------------------------------------
Beneficially (6) Shared Voting Power 1,362,599
Owned by Each -------------------------------------------------------
Reporting Person (7) Sole Dispositive Power 0
With -------------------------------------------------------
(8) Shared Dispositive Power 1,362,599
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9) Aggregate Amount Beneficially Owned by Each Reporting Person
1,362,599
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10) Check if the Aggregate Amount in Row (9) Excludes Certain Shares
(See Instructions)
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11) Percent of Class Represented by Amount in Row 9 4.9%
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12) Type of Reporting Person (See Instructions) CO
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Page 2
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CUSIP No. 052116100
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1) Names of Reporting Person
S.S. or I.R.S. Identification No. of Above Person
Paul Tudor Jones, II
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-------------------------------------------------------------------
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2) Check the Appropriate Box if a Member of a Group (See Instructions)
(a)
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(b) X
----------------------------------------------------------------
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3) SEC Use Only
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4) Citizenship or Place of Organization USA
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(5) Sole Voting Power 0
Number of Shares -------------------------------------------------------
Beneficially (6) Shared Voting Power 1,458,040
Owned by Each -------------------------------------------------------
Reporting Person (7) Sole Dispositive Power 0
With -------------------------------------------------------
(8) Shared Dispositive Power 1,458,040
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9) Aggregate Amount Beneficially Owned by Each Reporting Person
1,458,040
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10) Check if the Aggregate Amount in Row (9) Excludes Certain Shares
(See Instructions)
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11) Percent of Class Represented by Amount in Row 9 5.2%
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12) Type of Reporting Person (See Instructions) IN
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Page 3
<PAGE>
CUSIP No. 052116100
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1) Names of Reporting Person
S.S. or I.R.S. Identification No. of Above Person
Tudor BVI Futures, Ltd.
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-------------------------------------------------------------------
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2) Check the Appropriate Box if a Member of a Group (See Instructions)
(a)
----------------------------------------------------------------
(b) X
----------------------------------------------------------------
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3) SEC Use Only
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4) Citizenship or Place of Organization British Virgin Islands
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(5) Sole Voting Power 0
Number of Shares -------------------------------------------------------
Beneficially (6) Shared Voting Power 10,450
Owned by Each -------------------------------------------------------
Reporting Person (7) Sole Dispositive Power 0
With -------------------------------------------------------
(8) Shared Dispositive Power 10,450
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9) Aggregate Amount Beneficially Owned by Each Reporting Person
10,450
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10) Check if the Aggregate Amount in Row (9) Excludes Certain Shares
(See Instructions)
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11) Percent of Class Represented by Amount in Row 9 0.0%
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12) Type of Reporting Person (See Instructions) CO
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Page 4
<PAGE>
CUSIP No. 052116100
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1) Names of Reporting Person
S.S. or I.R.S. Identification No. of Above Person
Tudor Proprietary Trading, L.L.C.
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13-3720063
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2) Check the Appropriate Box if a Member of a Group (See Instructions)
(a)
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(b) X
----------------------------------------------------------------
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3) SEC Use Only
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4) Citizenship or Place of Organization Delaware
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(5) Sole Voting Power 0
Number of Shares -------------------------------------------------------
Beneficially (6) Shared Voting Power 95,441
Owned by Each -------------------------------------------------------
Reporting Person (7) Sole Dispositive Power 0
With -------------------------------------------------------
(8) Shared Dispositive Power 95,441
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9) Aggregate Amount Beneficially Owned by Each Reporting Person
95,441
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10) Check if the Aggregate Amount in Row (9) Excludes Certain Shares
(See Instructions)
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11) Percent of Class Represented by Amount in Row 9 0.3%
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12) Type of Reporting Person (See Instructions) OO
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Page 5
<PAGE>
CUSIP No. 052116100
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1) Names of Reporting Person
S.S. or I.R.S. Identification No. of Above Person
The Raptor Global Portfolio Ltd.
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98-0211544
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2) Check the Appropriate Box if a Member of a Group (See Instructions)
(a)
----------------------------------------------------------------
(b) X
----------------------------------------------------------------
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3) SEC Use Only
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4) Citizenship or Place of Organization Cayman Islands
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(5) Sole Voting Power 0
Number of Shares -------------------------------------------------------
Beneficially (6) Shared Voting Power 1,280,079
Owned by Each -------------------------------------------------------
Reporting Person (7) Sole Dispositive Power 0
With -------------------------------------------------------
(8) Shared Dispositive Power 1,280,079
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9) Aggregate Amount Beneficially Owned by Each Reporting Person
1,280,079
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10) Check if the Aggregate Amount in Row (9) Excludes Certain Shares
(See Instructions)
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11) Percent of Class Represented by Amount in Row 9 4.6%
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12) Type of Reporting Person (See Instructions) CO
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Page 6
<PAGE>
CUSIP No. 052116100
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1) Names of Reporting Person
S.S. or I.R.S. Identification No. of Above Person
The Altar Rock Fund L.P.
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06-1558414
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2) Check the Appropriate Box if a Member of a Group (See Instructions)
(a)
----------------------------------------------------------------
(b) X
----------------------------------------------------------------
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3) SEC Use Only
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4) Citizenship or Place of Organization Delaware
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(5) Sole Voting Power 0
Number of Shares -------------------------------------------------------
Beneficially (6) Shared Voting Power 5,577
Owned by Each -------------------------------------------------------
Reporting Person (7) Sole Dispositive Power 0
With -------------------------------------------------------
(8) Shared Dispositive Power 5,577
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9) Aggregate Amount Beneficially Owned by Each Reporting Person
5,577
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10) Check if the Aggregate Amount in Row (9) Excludes Certain Shares
(See Instructions)
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11) Percent of Class Represented by Amount in Row 9 0.0%
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12) Type of Reporting Person (See Instructions) PN
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Page 7
<PAGE>
CUSIP No. 052116100
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1) Names of Reporting Person
S.S. or I.R.S. Identification No. of Above Person
The Upper Mill Capital Appreciation Fund Ltd.
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2) Check the Appropriate Box if a Member of a Group (See Instructions)
(a)
----------------------------------------------------------------
(b) X
----------------------------------------------------------------
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3) SEC Use Only
-------------------------------------------------------
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4) Citizenship or Place of Organization Cayman Islands
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(5) Sole Voting Power 0
Number of Shares -------------------------------------------------------
Beneficially (6) Shared Voting Power 66,493
Owned by Each -------------------------------------------------------
Reporting Person (7) Sole Dispositive Power 0
With -------------------------------------------------------
(8) Shared Dispositive Power 66,493
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9) Aggregate Amount Beneficially Owned by Each Reporting Person
66,493
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10) Check if the Aggregate Amount in Row (9) Excludes Certain Shares
(See Instructions)
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11) Percent of Class Represented by Amount in Row 9 0.2%
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12) Type of Reporting Person (See Instructions) CO
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Page 8
<PAGE>
Item 1(a). Name of Issuer:
Auspex Systems, Inc.
Item 1(b). Address of Issuer's Principal Executive Offices:
2300 Central Expressway
Santa Clara, CA 95050
Item 2(a). Name of Person Filing:
Tudor Investment Corporation ("TIC")
Paul Tudor Jones, II
Tudor BVI Futures, Ltd. ("Tudor BVI")
Tudor Proprietary Trading, L.L.C. ("TPT")
The Raptor Global Portfolio Ltd. ("Raptor Portfolio")
The Altar Rock Fund L.P. ("Altar Rock")
The Upper Mill Capital Appreciation Fund Ltd. ("Upper Mill")
Item 2(b). Address of Principal Business Office or, if none, Residence:
The principal business office of each of TIC, TPT and Altar Rock
is:
600 Steamboat Road
Greenwich, CT 06830
The principal business office of Mr. Jones is:
c/o Tudor Investment Corporation
600 Steamboat Road
Greenwich, CT 06830
The principal business office of each of Tudor BVI, Raptor
Portfolio and Upper Mill is:
c/o CITCO
Kaya Flamboyan 9
Curacao, Netherlands Antilles
Item 2(c). Citizenship:
TIC is a Delaware corporation
Tudor BVI is a company organized under the laws of the British
Virgin Islands
Mr. Jones is a citizen of the United States
Altar Rock is a Delaware limited partnership
TPT is a Delaware limited liability company
Raptor Portfolio and Upper Mill are companies organized under the
laws of the Cayman Islands
Item 2(d). Title of Class of Securities:
Common Stock
Item 2(e). CUSIP Number:
052116100
Page 9
<PAGE>
Item 3. If this statement is filed pursuant to Rules 13d-1(b), or
13d-2(b), check whether the person filing is a:
(a) [ ] Broker or Dealer registered under section 15 of the Act
(b) [ ] Bank as defined in section 3(a)(6) of the Act
(c) [ ] Insurance Company as defined in section 3(a)(19) of the
Act
(d) [ ] Investment Company registered under section 8 of the
Investment Company Act
(e) [ ] Investment Adviser registered under section 203 of the
Investment Advisers Act of 1940
(f) [ ] Employment Benefit Plan, Pension Fund which is subject to
the provisions of the Employee Retirement Income Security
Act of 1974 or Endowment fund; see section
240.13d-1(b)(1)(ii)(F)
(g) [ ] Parent Holding Company, in accordance with section
240.13d-1(b)(1)(ii)(G) (Note: See Item 7)
(h) [ ] Group, in accordance with section 240.13d-1(b)(1)(ii)(H)
Item 4. Ownership (As of February 17, 2000).
(a) Amount Beneficially Owned: See Item 9 of cover pages
(b) Percent of Class: See Item 11 of cover pages
(c) Number of shares as to which such person has:
(i) sole power to vote or to direct the vote
See Item 5 of cover pages
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(ii) shared power to vote or to direct the vote
See Item 6 of cover pages
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(iii) sole power to dispose or to direct the disposition of
See Item 7 of cover pages
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(iv) shared power to dispose or to direct the disposition of
See Item 8 of cover pages
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The shares of Common Stock reported herein as beneficially
owned are owned directly by Tudor BVI (10,450 shares), TPT (95,441
shares), Altar Rock (5,577 shares), Raptor Portfolio (1,280,079
shares) and Upper Mill (66,493 shares). Because TIC is the sole
general partner of Altar Rock and provides investment advisory
services to Raptor Portfolio, Tudor BVI and Upper Mill, TIC may be
deemed to beneficially own the shares of Common Stock owned by
each of such Reporting Persons. TIC expressly disclaims such
beneficial ownership. In addition, because Mr. Jones is the
controlling shareholder of TIC and the indirect controlling equity
holder of TPT, Mr. Jones may be deemed to beneficially own the
shares of Common Stock deemed beneficially owned by TIC and TPT.
Mr. Jones expressly disclaims such beneficial ownership.
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
Page 10
<PAGE>
Item 8. Identification and Classification of Members of the Group.
See cover pages
Item 9. Notice of Dissolution of Group.
Not applicable
Item 10. Certification.
By signing below I certify that, to the best of my knowledge
and belief, the securities referred to above were not acquired and are not held
for the purpose of or with the effect of changing or influencing the control of
the issuer of the securities and were not acquired and are not held in
connection with or as a participant in any transaction having that purpose or
effect.
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: February 23, 2000
TUDOR INVESTMENT CORPORATION
By: /s/ Andrew S. Paul
-----------------------------------------
Andrew S. Paul
Managing Director and General Counsel
/s/ Paul Tudor Jones, II
---------------------------------------------
Paul Tudor Jones, II
TUDOR BVI FUTURES, LTD.
By: Tudor Investment Corporation,
Trading Advisor
By: /s/ Andrew S. Paul
-------------------------------------
Andrew S. Paul
Managing Director and General Counsel
TUDOR PROPRIETARY TRADING, L.L.C.
By: /s/ Andrew S. Paul
-----------------------------------------
Andrew S. Paul
Managing Director and General Counsel
Page 11
<PAGE>
THE ALTAR ROCK FUND L.P.
By: Tudor Investment Corporation,
General Partner
By: /s/ Andrew S. Paul
------------------------------------
Andrew S. Paul
Managing Director and General Counsel
THE RAPTOR GLOBAL PORTFOLIO LTD.
By: Tudor Investment Corporation,
Investment Advisor
By: /s/ Andrew S. Paul
------------------------------------
Andrew S. Paul
Managing Director and General Counsel
THE UPPER MILL CAPITAL APPRECIATION FUND LTD.
By: Tudor Investment Corporation,
Sub-Investment Manager
By: /s/ Andrew S. Paul
------------------------------------
Andrew S. Paul
Managing Director and General Counsel
Page 12
