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Browning Stuart E – ‘SC 13G/A’ on 3/6/03 re: Embarcadero Technologies Inc

On:  Thursday, 3/6/03, at 8:56pm ET   ·   As of:  3/7/03   ·   Accession #:  1021408-3-3830   ·   File #:  5-60735

Previous ‘SC 13G’:  ‘SC 13G’ on 2/14/02   ·   Next & Latest:  ‘SC 13G/A’ on 2/13/04

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  As Of                Filer                Filing    For·On·As Docs:Size              Issuer               Agent

 3/07/03  Browning Stuart E                 SC 13G/A               1:48K  Embarcadero Technologies Inc      Donnelley R..Fin'l/NY/FA

Amendment to Statement of Beneficial Ownership   —   Schedule 13G
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: SC 13G/A    Amendment No. 1 to Schedule 13G                     HTML     39K 


This is an HTML Document rendered as filed.  [ Alternative Formats ]



  Amendment No. 1 to Schedule 13G  

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

SCHEDULE 13G

 

Under the Securities Exchange Act of 1934

 

(Amendment No.1)*

 

EMBARCADERO TECHNOLOGIES, INC.

(Name of Issuer)

 

Common Stock

(Title of Class of Securities)

 

290787100

(CUSIP Number)

 

December 31, 2002

(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)

 

  ¨   Rule 13d-1(c)

 

  þ   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 disclosure provided in a prior cover page.

 

The information required in the remainder of this coverage 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 1 of 5 pages

 


 


   

    CUSIP No. 290787100

  

13G

  

Page 2 of 5 Pages    


   

 

1

 

NAME OF REPORTING PERSON

S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON

Stuart E. Browning


2

 

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a)                        

(b)                        

                                                                                  N/A


3


 

SEC USE ONLY

 


4


 

CITIZENSHIP OR PLACE OF ORGANIZATION

 

USA


NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

  

5




  

SOLE VOTING POWER

 

                                             3,359,819

 

     

REPORTING

PERSON

WITH

  

6




  

SHARED VOTING POWER

 

                                                 0

 

     
        

7




  

SOLE DISPOSITIVE POWER

 

                                             3,359,819

 

         
        

8




  

SHARED DISPOSITIVE POWER

 

                                                 0

 


9

 

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

                                                                                               3,359,819


10


 

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW(9) EXCLUDES CERTAIN SHARES*

 

The figure on Line 9 includes 3,159,819 shares legally and beneficially owned by the Stuart E. Browning Irrevocable Trust in which Stuart E. Browning has a prospective reversionary interest.                                                                      


11

 

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9

                                                                         12.58%


12

 

TYPE OF REPORTING PERSON*

                                                                     IN



 


   

CUSIP No. 290787100

 

13G

 

Page 3 of 5 Pages


   

 

Item 1(a):             NAME OF ISSUER

 

Embarcadero Technologies, Inc.

 

Item 1(b):             ADDRESS OF ISSUER’S PRINCIPAL EXECUTIVE OFFICES

 

425 Market Street, Suite 425

San Francisco, CA 94105

 

Item 2(a):             NAME OF PERSON FILING

 

Stuart Browning

 

Item 2(b):             ADDRESS OF PRINCIPAL BUSINESS OFFICE

 

c/o Blaine Greenberg, Esq.

3400 Red Rose Drive

Encino, CA 91436

 

Item 2(c):             CITIZENSHIP

 

USA

 

Item 2(d):             TITLE OF CLASS OF SECURITIES

 

Common Stock, $0.001 par value

 

Item 2(e):             CUSIP NUMBER

 

290787100

 

Item 3:                 This statement is not filed pursuant to Rules 13d-1(b) or 13d-2. Therefore, this item is not applicable.

 

Item 4:                 OWNERSHIP

 

  (a)   Amount Beneficially Owned:
  3,359,819   shares
  (b)   Percent of Class

12.58%



   

CUSIP No. 290787100

 

13G

 

Page 4 of 5 Pages


   

(c)

 

Number   of Shares as to Which Such Person Has:

 

  (i)   sole power to vote or direct the vote:
  3,359,819   Shares

 

  (ii)   shared power to vote or direct the vote

0 Shares

 

  (iii)   Sole power to dispose or to direct the disposition of:
  3,359,819   Shares

 

  (iv)   Shared power to dispose or to direct the disposition of:

0 Shares

 

  Item 5:       OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS

 

If this statement is being to report the fact that as of 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 NOT MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON

 

 

  Item 7:   IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED BY THE PARENT HOLDING COMPANY

 

N/A

 

  Item 8:       IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP

N/A

 

  Item 9:       NOTICE OF DISSOLUTION OF GROUP

 

N/A

 

        Item 10:   CERTIFICATION

 

N/A



   

CUSIP No. 290787100

 

13G

 

Page 5 of 5 Pages


   

 

SIGNATURE

 

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in the statement is true, complete and correct.

 

March   4, 2003

Date  

 

/s/    STUART   E. BROWNING

Signature  

 

Stuart E. Browning

Name   (Typed)

Dates Referenced Herein   and   Documents Incorporated by Reference

This ‘SC 13G/A’ Filing    Date    Other Filings
Filed as of:3/7/03SC 13G/A
Filed on:3/6/03
3/4/03
12/31/0210-K,  5
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