Amended Statement of Beneficial Ownership (sc 13d/a)
November 07 2014 - 5:14PM
Edgar (US Regulatory)
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
SCHEDULE 13D
(Rule 13d-101)
(Amendment No. 2)
INFORMATION TO BE INCLUDED IN STATEMENTS
FILED PURSUANT TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO 240.13d-2(a)
Advent Software, Inc. |
(Name of Issuer) |
|
Common Stock, par value $0.01 per share |
(Title of Class of Securities) |
|
007974108 |
(CUSIP Number) |
|
Ronald
Cami
Vice
President
TPG
Global, LLC
301
Commerce Street, Suite 3300
Fort
Worth, TX 76102
(817)
871-4000 |
(Name,
Address and Telephone Number of Person
Authorized
to Receive Notices and Communications) |
|
November 6, 2014 |
(Date of Event which Requires Filing of this Statement) |
If the filing person has previously filed a statement on Schedule
13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of §§240.13d-1(e),
240.13d-1(f) or 240.13d-1(g), check the following box.
Note.
Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See §240.13d-7
for other parties to whom copies are to be sent.
(Continued on following pages)
(Page 1 of 7 Pages)
______________________
* 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).
CUSIP No. 007974108 |
13D |
Page 2 of 7 Pages |
1 |
NAMES OF REPORTING PERSONS
TPG Advisors VI, Inc. |
2 |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(see instructions)
(a) o
(b) o |
|
|
3 |
SEC USE ONLY |
4 |
SOURCE OF FUNDS (see instructions)
OO (See Item 3) |
5 |
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e) |
|
o |
6 |
CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware |
NUMBER OF SHARES
BENEFICIALLY OWNED BY
EACH REPORTING
PERSON WITH
|
7 |
SOLE VOTING POWER
-0- |
8 |
SHARED VOTING POWER
-0- |
9 |
SOLE DISPOSITIVE POWER
-0- |
10 |
SHARED DISPOSITIVE POWER
-0- |
11 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING
PERSON
-0- |
12 |
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (see instructions) |
|
o |
13 |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11
0% |
14 |
TYPE OF REPORTING PERSON
CO |
|
|
|
|
|
|
|
CUSIP No. 007974108 |
13D |
Page 3 of 7 Pages |
1 |
NAMES OF REPORTING PERSONS
David Bonderman |
2 |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(see instructions)
(a) o
(b) o |
|
|
3 |
SEC USE ONLY |
4 |
SOURCE OF FUNDS (see instructions)
OO (See Item 3) |
5 |
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e) |
|
o |
6 |
CITIZENSHIP OR PLACE OF ORGANIZATION
United States |
NUMBER OF SHARES
BENEFICIALLY OWNED BY
EACH REPORTING
PERSON WITH
|
7 |
SOLE VOTING POWER
-0- |
8 |
SHARED VOTING POWER
-0- |
9 |
SOLE DISPOSITIVE POWER
-0- |
10 |
SHARED DISPOSITIVE POWER
-0- |
11 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING
PERSON
-0- |
12 |
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (see instructions) |
|
o |
13 |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11
0% |
14 |
TYPE OF REPORTING PERSON
IN |
|
|
|
|
|
|
|
CUSIP No. 007974108 |
13D |
Page 4 of 7 Pages |
1 |
NAMES OF REPORTING PERSONS
James G. Coulter |
2 |
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(see instructions)
(a) o
(b) o |
|
|
3 |
SEC USE ONLY |
4 |
SOURCE OF FUNDS (see instructions)
OO (See Item 3) |
5 |
CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e) |
|
o |
6 |
CITIZENSHIP OR PLACE OF ORGANIZATION
United States |
NUMBER OF SHARES
BENEFICIALLY OWNED BY
EACH REPORTING
PERSON WITH
|
7 |
SOLE VOTING POWER
-0- |
8 |
SHARED VOTING POWER
-0- |
9 |
SOLE DISPOSITIVE POWER
-0- |
10 |
SHARED DISPOSITIVE POWER
-0- |
11 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING
PERSON
-0- |
12 |
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (see instructions) |
|
o |
13 |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11
0% |
14 |
TYPE OF REPORTING PERSON
IN |
|
|
|
|
|
|
|
This
Amendment No. 2 (the “Amendment”) amends and supplements the Schedule 13D filed by the Reporting Persons on
May 10, 2013, as amended and supplemented by Amendment No. 1 filed on August 21, 2014 (as so amended, the “Original Schedule
13D” and, as amended and supplemented by this Amendment, the “Schedule 13D”) with respect to the Common
Stock of the Issuer. Capitalized terms used in this Amendment and not otherwise defined shall have the same meanings ascribed to
them in the Original Schedule 13D.
Item 4. Purpose of Transaction
This Amendment supplements Item 4 of
the Original Schedule 13D by inserting the following after the second paragraph under the heading “Lock-Up Agreement”:
“November 2014 Offering
On November 6, 2014, April Holdings sold
an aggregate of 3,792,279 shares of Common Stock pursuant to an exemption from the Securities Act
of 1933, as amended (the “November 2014 Offering”).”
Item 5. Interest in Securities of the
Issuer
This Amendment amends and restates the
second and third paragraphs of Item 5 of the Original Schedule 13D in their entirety as set forth below:
“(a)–(b) As a result of
the November 2014 Offering, the Reporting Persons no longer beneficially own any shares of Common Stock.”
This Amendment amends and restates the
sixth paragraph of Item 5 of the Original Schedule 13D in its entirety as set forth below:
“(e) As a result of the November
2014 Offering, on November 6, 2014 the Reporting Persons ceased to be the beneficial owner of more than five percent of the shares
of Common Stock.”
Page 5 of 7 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.
Dated: November 7, 2014
|
TPG Advisors VI, Inc. |
|
|
|
By: /s/ Ronald Cami |
|
Name: Ronald Cami
Title: Vice President |
|
|
|
David Bonderman |
|
|
|
By: /s/ Ronald Cami |
|
Name: Ronald Cami on behalf of David Bonderman (1) |
|
|
|
James G. Coulter |
|
|
|
By: /s/ Ronald Cami |
|
Name: Ronald Cami on behalf of James G. Coulter (2) |
| (1) | Ronald Cami is signing on behalf of Mr. Bonderman pursuant to an authorization and designation letter dated July 1, 2013, which
was previously filed with the Commission as an exhibit to a Schedule 13D filed by Mr. Bonderman on August 14, 2013 (SEC File No.
005-83906). |
| (2) | Ronald Cami is signing on behalf of Mr. Coulter pursuant to an authorization and designation letter dated July 1, 2013, which
was previously filed with the Commission as an exhibit to a Schedule 13D filed by Mr. Coulter on August 14, 2013 (SEC File No.
005-83906). |
Page 6 of 7 Pages
INDEX TO EXHIBITS
| 1. | Agreement of Joint Filing by TPG Advisors II, Inc., TPG Advisors III, Inc., TPG Advisors V, Inc., TPG Advisors VI, Inc., T3
Advisors, Inc., T3 Advisors II, Inc., TPG Group Holdings (SBS) Advisors, Inc., David Bonderman and James G. Coulter, dated as of
February 14, 2011 (previously filed with the Commission as Exhibit 1 to Schedule 13G filed by TPG Group Holdings (SBS) Advisors,
Inc., David Bonderman and James G. Coulter on February 14, 2011). |
| 2. | Stock Purchase Agreement, dated as of April 10, 2013, by and among TPG VI April Holdings, LP, SPO Partners II, L.P., San Francisco
Partners, L.P., and Phoebe Snow Foundation Inc. (previously filed with the Commission as Exhibit B to Amendment No. 17 to
Schedule 13D filed by SPO Partners & Co. on April 11, 2013). |
| 3. | Underwriting Agreement by and between April Holdings and the Underwriter,
dated August 13, 2014 (previously filed with the Commission as Exhibit 1.1 to Form 8-K filed by the Issuer on August 15, 2014). |
| 4. | Form of Lock-Up Agreement by and between April Holdings and the Underwriter
(previously filed with the Commission as Exhibit A to Exhibit 1.1 to Form 8-K filed
by the Issuer on August 15, 2014). |
Page 7 of 7 Pages