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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13G
(Rule 13d-102)
UNDER THE SECURITIES EXCHANGE ACT OF 1934
(ANNUAL FILING)
INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT
TO RULES 13d-1(b), (c), and (d) AND AMENDMENTS THERETO FILED
PURSUANT TO RULE 13d-2(b)
(Amendment No. 7 )*
BARRA, Inc.
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(Name of Issuer)
Common Stock
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(Title of Class of Securities)
068313-10-5
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(CUSIP Number)
March 16, 1998
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Date of Event Which Requires
Filing of this Statement
Check the appropriate box to designate the rule pursuant to which this
Schedule is filed:
[ ] Rule 13d-1(b)
[X] Rule 13d-1(c)
[X] 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).
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CUSIP No. 068313-10-5 13G Page 2 of 13 pages
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(1) NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
Andrew Rudd
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(2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) / /
(b) / /
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(3) SEC USE ONLY
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(4) CITIZENSHIP OR PLACE OF ORGANIZATION
England
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(5) SOLE VOTING POWER
37,500
(represents options to purchase the
Issuer's Common Stock that are currently
exercisable or that become exercisable
NUMBER OF within 60 days after December 31, 1998)
SHARES
BENEFICIALLY --------------------------------------------
OWNED BY (6) SHARED VOTING POWER
EACH
REPORTING 2,681,750
PERSON (See Item 6 on page 9 of this statement)
WITH
--------------------------------------------
(7) SOLE DISPOSITIVE POWER
37,500
(represents options to purchase the
Issuer's Common Stock that are currently
exercisable or that become exercisable
within 60 days after December 31, 1998)
--------------------------------------------
(8) SHARED DISPOSITIVE POWER
2,681,750
(See Item 6 on page 9 of this statement)
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CUSIP No. 068313-10-5 13G Page 3 of 13 pages
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(9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON
2,719,250
(See Item 6 on page 9 of this statement)
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(10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES
CERTAIN SHARES* /X/
(See Item 6 on page 9 of this statement)
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(11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
19.6 %
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(12) TYPE OF REPORTING PERSON*
IN
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CUSIP No. 068313-10-5 13G Page 4 of 13 pages
(1) NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION OF ABOVE PERSONS (ENTITIES ONLY)
Virginia Rudd
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(2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) / /
(b) / /
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(3) SEC USE ONLY
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(4) CITIZENSHIP OR PLACE OF ORGANIZATION
England
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(5) SOLE VOTING POWER
0
---------------------------------------------
(6) SHARED VOTING POWER
NUMBER OF
SHARES 2,681,750
BENEFICIALLY (See Item 6 on page 9 of this statement)
OWNED BY ---------------------------------------------
EACH (7) SOLE DISPOSITIVE POWER
REPORTING
PERSON 0
WITH
---------------------------------------------
(8) SHARED DISPOSITIVE POWER
2,681,750
(See Item 6 on page 9 of this statement)
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(9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON
2,681,750
(See Item 6 on page 9 of this statement)
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CUSIP No. 068313-10-5 13G Page 5 of 13 pages
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(10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES
CERTAIN SHARES* /X/
(See Item 6 on page 9 of this statement)
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(11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
19.3 %
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(12) TYPE OF REPORTING PERSON*
IN
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CUSIP No. 068313-10-5 13G Page 6 of 13 pages
(1) NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION OF ABOVE PERSONS (ENTITIES ONLY)
Rudd Family Trust
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(2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) / /
(b) / /
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(3) SEC USE ONLY
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(4) CITIZENSHIP OR PLACE OF ORGANIZATION
California
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(5) SOLE VOTING POWER
0
---------------------------------------------
(6) SHARED VOTING POWER
NUMBER OF
SHARES 2,644,250
BENEFICIALLY (See Item 6 on page 9 of this statement)
OWNED BY ---------------------------------------------
EACH (7) SOLE DISPOSITIVE POWER
REPORTING
PERSON 0
WITH
---------------------------------------------
(8) SHARED DISPOSITIVE POWER
2,644,250
(See Item 6 on page 9 of this statement)
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(9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON
2,644,250
(See Item 6 on page 9 of this statement)
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CUSIP No. 068313-10-5 13G Page 7 of 13 pages
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(10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES
CERTAIN SHARES* /X/
(See Item 6 on page 9 of this statement)
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(11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
19.1 %
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(12) TYPE OF REPORTING PERSON*
OO (Trust)
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CUSIP No. 068313-10-5 13G Page 8 of 13 pages
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ITEM 1(a). NAME OF ISSUER
BARRA, Inc. Effective August 14, 1998, the Issuer reincorporated
from the State of California into the State of Delaware.
ITEM 1(b).
ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES
2100 Milvia Street
Berkeley, California 94704
ITEM 2(a). NAME OF PERSONS FILING
A. Andrew Rudd
B. Virginia Rudd
C. Rudd Family Trust
This Schedule 13G is filed on behalf of Andrew Rudd, Virginia
Rudd and the Rudd Family Trust ("Reporting Persons") pursuant to
Rule 13d-1(k)(1). A joint filing agreement of the Reporting
Persons is attached hereto as Exhibit 1. See also Item 6 on page
9 of this Schedule 13G.
ITEM 2(b). ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE
A. 35 Valley View Road, Orinda CA 94536
B. 35 Valley View Road, Orinda CA 94536
C. 35 Valley View Road, Orinda CA 94536
ITEM 2(c). CITIZENSHIP OR PLACE OF ORGANIZATION
A. England
B. England
C. California
ITEM 2(d). TITLE OF CLASS OF SECURITIES
Common Stock
ITEM 2(e). CUSIP NUMBER
068313-10-5
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CUSIP No. 068313-10-5 13G Page 9 of 13 pages
ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO RULE 13d-1(b), OR 13d-2(b)
OR (c), CHECK WHETHER THE PERSON FILING IS A:
Not Applicable
If this statement is filed pursuant to Rule 13d-1(c), check this
box [X]
ITEM 4. OWNERSHIP
The information required by this Item 4 for each Reporting Person
is set forth on the respective cover page of this Schedule 13G
applicable to such Reporting Person in Items 5-11 thereof and
such Items are incorporated herein by this reference. See also
Item 6 below.
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
As of December 31, 1998, the Rudd Family Trust (the "Trust") held
title to 2,644,250 shares of Common Stock of BARRA, Inc. (the
"Stock"). Andrew Rudd ("Dr. Rudd") and his wife, Virginia Rudd,
are the trustees of the Trust and, as such, share the voting and
dispositive powers for such Stock. Such 2,644,250 shares held in
the Trust represented approximately 19.1 % of the Issuer's total
issued and outstanding Stock.
As of December 31, 1998, the Rudd Family Foundation (the
"Foundation") held title to 37,500 shares of Stock. Dr. Rudd,
Virginia Rudd and one of their sons are the trustees of the
Foundation and, as such, share the voting and dispositive powers
for such Stock. Such 37,500 shares held by the Foundation
represented less than five percent of the Issuer's total issued
and outstanding Stock.
As of December 31, 1998, 50,448 shares of the Stock were held in
equal parts by "Peter Rudd as custodian for [each of Dr. Rudd's
four children] under the California Uniform Transfers to Minors
Act" ("CUTMA") and 72,300 shares of the Stock were held by the
CANN 1997 Trust ("CANN"). None of the Reporting Persons has sole
or shared voting or dispositive power over the Stock held by
CUTMA or CANN. Accordingly, each of the Reporting Persons
disclaims beneficial ownership of such shares pursuant to Rule
13d-4 under the Securities Exchange Act of 1934, as amended.
The share amounts and percentages set forth in this Item 6 are
based upon
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CUSIP No. 068313-10-5 13G Page 10 of 13 pages
13,879,898 shares of Stock outstanding as reported in the Issuer's
Form 10-Q for the quarter ended September 30, 1998. In addition,
the shares of Stock beneficially owned by Dr. Rudd and Virginia
Rudd may be subject to community property laws where applicable.
ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH
ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING
COMPANY
Not Applicable
ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP
Not Applicable
ITEM 9. NOTICE OF DISSOLUTION OF GROUP
Not Applicable
ITEM 10. CERTIFICATION
By signing below we certify that, to the best of our knowledge
and belief, the securities referred to above were acquired and
are not held for the purpose of or with the effect of changing or
influencing the control of the issuer of the securities and were
not acquired and are not held in connection with or as a
participant in any transaction having that purpose or effect.
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CUSIP No. 068313-10-5 13G Page 11 of 13 pages
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I
certify that the information set forth in this statement is true, complete
and correct.
February 12, 1999
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Date
/s/ Andrew Rudd
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Signature
Andrew Rudd
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Name/Title
February 12, 1999
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Date
/s/ Virginia Rudd
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Signature
Virginia Rudd
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Name/Title
February 12, 1999
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Date
/s/ Andrew Rudd
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Signature
Andrew Rudd, Trustee of the Rudd Family Trust
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Name/Title
February 12, 1999
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Date
/s/ Virginia Rudd
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Signature
Virginia Rudd, Trustee of the Rudd Family Trust
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Name/Title
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CUSIP No. 068313-10-5 13G Page 12 of 13 pages
EXHIBIT INDEX
<TABLE>
<CAPTION>
Exhibit No. Description
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<S> <C>
1 Joint Filing Agreement
</TABLE>
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CUSIP No. 068313-10-5 13G Page 13 of 13 pages
JOINT FILING AGREEMENT
Each of the undersigned agree that the Schedule 13G to be jointly filed with
the Securities and Exchange Commission pursuant to Rule 13(d)-1(k)(1) of the
Securities Exchange Act of 1934 on or about this date, with respect to the
reporting of the beneficial ownership of shares of Common Stock of BARRA,
Inc. is being, and any and all amendments to such Schedule 13G may be, filed
on behalf of each of the undersigned. This agreement may be executed in two
or more counterparts, each of which will be deemed an original, but all of
which together shall constitute one and the same instrument.
Dated: February 12, 1999
/s/ Andrew Rudd /s/ Virginia Rudd
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Andrew Rudd Virginia Rudd
RUDD FAMILY TRUST
/s/ Andrew Rudd
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Andrew Rudd, Trustee
/s/ Virginia Rudd
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Virginia Rudd, Trustee
