Amended Statement of Ownership (sc 13g/a)
February 13 2018 - 5:37PM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the
Securities Exchange Act of 1934
(Amendment No. 17)*
Pegasystems Inc.
(Name of Issuer)
Common
Stock, $.01 par value per share
(Title of Class of Securities)
705573 103
(CUSIP Number)
December
31, 2017
(Date of Event
Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
*
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The remainder of this cover page shall be filled out for a reporting persons 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.
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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).
1
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(1)
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Names of
reporting persons
I.R.S. Identification Nos. of above persons (entities only).
Alan Trefler
N/A
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(2)
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Check the appropriate box if a member
of a group (see instructions)
(a) ☐ (b) ☐
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(3)
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SEC use only
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(4)
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Citizenship or place of
organization
United States
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Number of
shares
beneficially
owned by
each
reporting
person
with:
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(5)
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Sole voting power
39,843,848
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(6)
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Shared voting power
98,000
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(7)
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Sole dispositive power
39,843,848
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(8)
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Shared dispositive power
98,000
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(9)
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Aggregate amount beneficially owned by each reporting person
39,941,848
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(10)
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Check if the aggregate amount in Row
(9) excludes certain shares (see instructions)
☐
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(11)
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Percent of class represented by amount
in Row (9)
51.13%
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(12)
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Type of reporting person (see
instructions)
IN
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2
Pegasystems Inc.
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(b)
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Address of Issuers Principal Executive Offices
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1 Rogers Street
Cambridge, MA 02142
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(a)
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Name of Person Filing
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Alan Trefler
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(b)
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Address of Principal Business Office or, if none, Residence
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The business address of the
reporting person is:
c/o Pegasystems Inc.
1 Rogers Street
Cambridge, MA
02142
United States
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(d)
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Title of Class
of Securities
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Common Stock, $.01 par value per share
(the Common Stock), of Pegasystems Inc.
705573 10 3
Item 3.
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If this statement is filed pursuant to
§§240.13d-1(b)
or
240.13d-2(b)
or (c), check whether the person filing is a:
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(a)
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Amount beneficially owned:
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39,941,848 shares of Common Stock which includes 98,000 shares held
by the Trefler Foundation, of which Mr. Trefler has no pecuniary or beneficial interest, and expressly disclaims beneficial ownership of such shares. Mr. Trefler does however retain voting and dispositive control over such shares.
51.13% of the outstanding shares of Common Stock. The foregoing percentage
was calculated based on the 78,110,800 shares of Common Stock outstanding as of December 31, 2017.
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(c)
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Number of shares as to which the person has:
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(i)
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Sole power to vote or to direct the vote of 39,843,848 shares.
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(ii)
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Shared power to vote or to direct the vote of 98,000 shares.
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(iii)
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Sole power to dispose or to direct the disposition of 39,843,848 shares.
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(iv)
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Shared power to dispose or to direct the disposition of 98,000 shares.
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Item 5.
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Ownership of Five Percent or Less of a Class
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N/A
Item 6.
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Ownership of More than Five Percent on Behalf of Another Person.
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N/A
3
Item 7.
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Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company or Control Person.
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N/A
Item 8.
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Identification and Classification of Members of the Group
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N/A
Item 9.
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Notice of Dissolution of Group
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N/A
N/A
4
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.
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February 13, 2018
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Date
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/S/ A
LAN
T
REFLER
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Signature
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Alan Trefler
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Name/Title
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5
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