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SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. ___________)*
Aurum Software Inc
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(Name of Issuer)
Common Stock
- --------------------------------------------------------------------------------
(Title of Class of Securities)
05208A106
----------------
(CUSIP Number)
*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).
4151299 Page 1
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CUSIP No. 05208A106 13G
- ------------------------
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1 NAME OF REPORTING PERSON
S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
BankAmerica Corporation
94-1681731
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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
Delaware
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NUMBER OF 5 SOLE VOTING POWER
SHARES -0-
---------------------------------------------------
BENEFICIALLY 6 SHARED VOTING POWER
OWNED BY 949,366
---------------------------------------------------
EACH 7 SOLE DISPOSITIVE POWER
REPORTING -0-
---------------------------------------------------
PERSON 8 SHARED DISPOSITIVE POWER
WITH 949,366
- --------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
949,366
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10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
- --------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
8.5%
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12 TYPE OF REPORTING PERSON*
HC
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*SEE INSTRUCTION BEFORE FILLING OUT!
4151299 Page 2
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CUSIP No. 05208A106 13G
- ------------------------
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Bank of America NT&SA
94-1678665
- --------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ]
(b) [ ]
- --------------------------------------------------------------------------------
3 SEC USE ONLY
- --------------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- --------------------------------------------------------------------------------
NUMBER OF 5 SOLE VOTING POWER
SHARES -0-
---------------------------------------------------
BENEFICIALLY 6 SHARED VOTING POWER
OWNED BY 949,366
---------------------------------------------------
EACH 7 SOLE DISPOSITIVE POWER
REPORTING -0-
---------------------------------------------------
PERSON 8 SHARED DISPOSITIVE POWER
WITH 949,366
- --------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
949,366
- --------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
- --------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
8.5%
- --------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
BK
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*SEE INSTRUCTION BEFORE FILLING OUT!
4151299 Page 3
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CUSIP No. 05208A106 13G
- ------------------------
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1 NAME OF REPORTING PERSON
S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
BankAmerica Ventures
95-6016836
- --------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ]
(b) [ ]
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3 SEC USE ONLY
- --------------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
California
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NUMBER OF 5 SOLE VOTING POWER
SHARES 854,430
---------------------------------------------------
BENEFICIALLY 6 SHARED VOTING POWER
OWNED BY 94,936
---------------------------------------------------
EACH 7 SOLE DISPOSITIVE POWER
REPORTING 854,430
---------------------------------------------------
PERSON 8 SHARED DISPOSITIVE POWER
WITH 94,936
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9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
949,366
- --------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
- --------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
8.5%
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12 TYPE OF REPORTING PERSON*
CO
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*SEE INSTRUCTION BEFORE FILLING OUT!
4151299 Page 4
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CUSIP No. 05208A106 13G
- ------------------------
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1 NAME OF REPORTING PERSON
S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
BA Venture Partners I
94-3229889
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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
Delaware
- --------------------------------------------------------------------------------
NUMBER OF 5 SOLE VOTING POWER
SHARES 94,936 (Items 4 & 7)
---------------------------------------------------
BENEFICIALLY 6 SHARED VOTING POWER
OWNED BY -0-
---------------------------------------------------
EACH 7 SOLE DISPOSITIVE POWER
REPORTING 94,936 (Items 4 & 7)
---------------------------------------------------
PERSON 8 SHARED DISPOSITIVE POWER
WITH -0-
- --------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
94,936 (Items 4 & 7)
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10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
- --------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
.9% (Items 4 & 7)
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12 TYPE OF REPORTING PERSON*
PN
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*SEE INSTRUCTION BEFORE FILLING OUT!
4151299 Page 5
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SCHEDULE 13G
Item 1(a) Name of Issuer: Aurum Software Inc
(b) Address of Issuer's
Principal Executive Offices: 3385 Scott Boulevard
Santa Clara, CA 95054
Item 2(a) Names of Person Filing: BankAmerica Corporation
("BAC")
Bank of America NT&SA
("BANTSA")
BankAmerica Ventures
("BAV")
BA Venture Partners I
("BAVPI")
See Item 7
(b) Address of Principal
Business Offices: (For BAC and BANTSA)
555 California Street
San Francisco, CA 94104
(For BAV and BAVPI)
950 Tower Lane, Suite 700
Foster City, CA 94404
(c) Citizenship: BAC is organized under the laws of
Delaware. BAV is organized under the
laws of California. BANTSA is a
national banking association
organized under the laws of the
United States. BAVPI is organized
under the laws of Delaware.
(d) Title of Class of Securities: Common stock
(e) CUSIP Number: 05208A106
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) [X] 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
___________
* Not applicable as to BAV and BAVPI since they are filing this statement under
Rule 13d-1(c).
4151299 Page 6
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(f) [ ] Employee Benefit Plan, Pension Fund which is subject to the
provisions of the Employee Retirement Income Security Act
of 1974 or Endowment Fund; see (S)240.13d-1(b)(1)(ii)(F)
(g) [X] Parent Holding Company, in accordance with
(S)240.13d-1(b)(ii)(G) (Note: See Item 7)
(h) [ ] Group, in accordance with (S)240.13d-1(b)(1)(ii)(H)
Item 4 Ownership
(a) Amount Beneficially Owned:*
BAC 949,366
BANTSA 949,366
BAV 949,366
BAVPI 94,936
(b) Percent of Class:*
BAC 8.5%
BANTSA 8.5%
BAV 8.5%
BAVPI .9%
(c) Number of shares as to which such person has:
(i) sole power to vote or direct the vote:*
BAC 0
BANTSA 0
BAV 854,430
BAVPI 94,936
(ii) shared power to vote or direct the
vote:*
BAC 949,366
BANTSA 949,366
BAV 94,936
BAVPI 0
(iii) sole power to dispose or direct the
disposition of:*
BAC 0
BANTSA 0
BAV 854,430
BAVPI 94,936
(iv) shared power to dispose or direct the
disposition of:*
BAC 949,366
BANTSA 949,366
BAV 94,936
BAVPI 0
* By virtue of the corporate relationships between Reporting Persons as
described in Item 7, BAC (the parent company) may be deemed to possess
indirect beneficial ownership of shares beneficially owned directly by its
subsidiaries. Similarly, higher tier BAC subsidiaries may be deemed to possess
indirect beneficial ownership of shares beneficially owned directly by lower
tier BAC subsidiaries. The power to vote and to dispose of shares may be
deemed to be shared between entities due to their corporate relationships.
Also, BAVPI is the direct beneficial owner of certain of Issuer's shares. By
virture of the partnership relationship between BAVPI and its individual
partners as described in Item 7, the individual partners may be deemed to
posses indirect beneficial ownership of shares beneficially owned directly by
BAVPI. The power to vote and to dispose of shares may be deemed to be shared
between the partners due to their relationship to each other and BAVPI.
4151299 Page 7
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Item 5 Ownership of Five Percent or Less of a Class.
If this statement is being filed to
report the fact that as of the date
hereof the reporting person has ceased
to be the beneficial owner of more
than five percent of the class of
securities, check the following [ ].
Item 6 Ownership of More than Five Percent on Behalf
of Another Person. Not Applicable.
Item 7 Identification and Classification of
the Subsidiaries Which Acquired
the Security Being Reported on by
the Parent Holding Company.
See Item 2. Except for BAVPI and BAVPI'S individual
partners, the entities described below are direct
or indirect wholly-owned subsidiaries of BAC, which
is a registered bank holding company. BANTSA is a
bank as defined in section 3(a)(6) of the Act. BAV
and BAVPI are filing this statement under Rule 13d-1(c).
BAV is a corporation and is the BAC subsidiary that
holds the direct investment in the issuer. BAVPI
is a partnership that is related to BAV. The partners
of BAVPI include: James D. Murphy, a general partner,
residing in the state of California; Jess Marzak, a
general partner, residing in the state of California;
Anchie Kuo, a general partner, residing in the state
of California; Robert Obuch, a general partner,
residing in the state of California; and Rory O'Driscoll,
a general partner, residing in the state of California.
By virtue of these individuals being partners of
BAVPI, they may each be deemed to indirectly beneficially
own the ownership interest of the Issuer held by BAVPI.
Similarly the partners may be deemed to share voting
and/or investment power among themselves and with
BAVPI in the Issuer due to the partners' indirect
interest in the Issuer through BAVPI. Each partner
disclaims beneficial ownership of all shares of
Common Stock owned by BAVPI.
Item 8 Identification and Classification
of Members of the Group.
See Item 7.
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 acquired in the
ordinary course of business and were not acquired for the purpose
of and do not have the effect of changing or influencing the
control of the issuer of such securities and were not acquired in
connection with or as a participant in any transaction having such
purposes or effect.
4151299 Page 8
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SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I
certify that the information set forth in this statement is true, complete and
correct.
BankAmerica Corporation
Dated: February 12, 1997 By /s/ JOHN J. HIGGINS
----------------------------------
John J. Higgins
Executive Vice President
4151299 Page 9
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Exhibit A
AGREEMENT RE JOINT FILING OF
SCHEDULE 13G
The undersigned hereby agrees as follows:
(i) Each of them is individually eligible to use the Schedule 13G to
which this Exhibit is attached, and such Schedule 13G is filed on behalf of each
of them; and
(ii) Each of them is responsible for the timely filing of such Schedule
13G and any amendments thereto, and for the completeness and accuracy of the
information concerning such person contained therein; but none of them is
responsible for the completeness or accuracy of the information concerning the
other persons making the filing, unless such person knows or has reason to
believe that such information is inaccurate.
Dated: February 12, 1997 BANKAMERICA CORPORATION
By: /s/ JOHN J. HIGGINS
---------------------------------
John J. Higgins
Its: Executive Vice President
Dated: February 12, 1997 BANK OF AMERICA NT&SA
By: /s/ JOHN J. HIGGINS
---------------------------------
John J. Higgins
Its: Group Executive Vice
President
Dated: February 12, 1997 BANKAMERICA VENTURES
By: /s/ ERICK CHRISTENSEN
---------------------------------
Erick Christensen
Its: Vice President
Dated: February 12, 1997 BA VENTURE PARTNERS I
By: /s/ ANCHIE KUO
---------------------------------
Anchie Kuo
Its: General Partner
4151299 Page 10
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Board of Directors Adopted: November 1, 1993
BankAmerica Corporation Last amended: August 1, 1994
GENERAL OPERATING AND BORROWING RESOLUTION (Excerpts from)
----------------------------------------------------------
1. Any two BAC officers listed below under the designation "Group 1" (the
"Officers"):
GROUP 1
-------
the Chairman of the Board
the Chief Executive Officer
the President
any Vice Chairman of the Board
any Vice Chairman
the Chief Financial Officer
the Treasurer
any Executive Vice President
any Senior Vice President
any Vice President
the Secretary
2. Any one BAC officer listed above under either the designation GROUP 1
or GROUP 2, or any member of the Legal Department of Bank of America NT&SA
holding the title of counsel or a title senior thereto be, and hereby is,
authorized to sign registrations, reports, certificates, applications and other
writings on behalf of BAC for submission to or filing with any federal, state,
local or foreign regulatory authorities, and any amendments, withdrawals, or
terminations thereof, as are deemed desirable by such officer or attorney in
connection with BAC's activities or affairs.
4126526.01
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Board of Directors November 4, 1996
Bank of America NT&SA
GENERAL OPERATING RESOLUTION (Excerpts from)
--------------------------------------------
The Board of Directors of Bank of America NT&SA ("BofA") authorizes and
determines as follows:
1. Certain officers of BofA ("Authorized Signers") are authorized to act
on behalf of BofA as set forth in the attached "Signing Authorities Chart."
2. For the purposes of this resolution, "OFFICER" refers to a BofA officer
holding one of the officer titles listed below, and "OFFICER" refers to any BofA
officer. The incumbency of any officer may be certified by the Secretary or any
Assistant Secretary. References in this resolution to the ranking of officer
titles refers to the ranking shown in the following list of Officers:
the Chief Executive Officer ("CEO")
the Chairman of the Board
the President
any Vice Chairman of the Board ("VC of the Bd")
the Chief Operating Officer ("COO")
any Vice Chairman ("VC")
the Chief Financial Officer ("CFO")
any Group Executive Vice President ("GEVP")
any Executive Vice President ("EVP")
any Senior Vice President ("SVP")
the Cashier
the Secretary
the Treasurer
any Managing Director
any Senior Authorized Officer
any Vice President ("VP")
any Assistant Vice President
any Authorized Officer
any Senior Trust Officer
any Trust Officer
any Assistant Secretary
any Assistant Cashier
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VI. REGULATORY MATTERS
Action or Transaction Authorized Signer(s)
Execution of any document or Any one Officer at the
other writings and any level of VP or above,
amendments, withdrawals or or any one attorney in
terminations thereof for the Legal or Tax
submission to or filing with Departments of BofA
any federal, state, local or holding the officer
foreign regulatory authorities. title of Counsel or
above.
4126528
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Board of Directors February 14, 1995
BankAmerica Ventures
GENERAL OPERATING RESOLUTION (Excerpts from)
--------------------------------------------
4. The Board of Directors of this corporation authorizes any officer
of this corporation, or any attorney in the Legal Department of Bank of
America NT&SA with the title of counsel or a title senior thereto to sign
registrations, reports, certificates, applications and other writings on
behalf of this corporation for submission to or filing with any federal,
state, local or foreign regulatory authorities, and any amendments,
withdrawals, or terminations thereof, as the officer or attorney deems
appropriate.
4126293
