Filing Details
- Accession Number:
- 0000892712-17-000134
- Form Type:
- 13G Filing
- Publication Date:
- 2017-02-10 09:49:20
- Filed By:
- Olivier Roy W
- Company:
- Ari Network Services Inc (NASDAQ:ARIS)
- Filing Date:
- 2017-02-10
- SEC Url:
- 13G Filing
Please notice the below summary table is generated without human intervention and may contain errors. Please refer to the complete filing displayed below for exact figures.
Name | Sole Voting Power | Shared Voting Power | Sole Dispositive Power | Shared Dispositive Power | Aggregate Amount Owned Power | Percent of Class |
---|---|---|---|---|---|---|
ROY W. OLIVIER | 771,992 | 141,954 | 771,992 | 141,954 | 913,946 | 5.2 12. TYPE OF REPORTING PERSON IN SCHEDULE 13G CUSIP No. 001930205 Page 4 of 7 ITEM 1. (a) NAME OF ISSUER ARI NETWORK SERVICES, INC. (b) ADDRESS OF ISSUER S PRINCIPAL EXECUTIVE OFFICES 10850 West Park Place, Suite 1200, Milwaukee, Wisconsin 53224 ITEM 2. (a) NAME OF PERSON FILING ROY W. OLIVIER (b) ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE 10850 West Park Place, Suite 1200, Milwaukee, Wisconsin 53224 (c) CITIZENSHIP WISCONSIN, USA (d) TITLE OF CLASS OF SECURITIES COMMON STOCK (e) CUSIP NUMBER 001930205 ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO SECTIONS 13d-1(b) OR 13d-2(b) or (c), CHECK WHETHER THE PERSON FILING IS A (a) Broker or dealer registered under Section 15 of the Act (15 U.S.C. 78o) (b) Bank as defined in Section 3(a)(6) of the Act (15 U.S.C. 78c) (c) Insurance company as defined in Section 3(a)(19) of the Act (15 U.S.C. 78c) (d) Investment company registered under Section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8) (e) An investment adviser in accordance with Section 13d-1(b)(1)(ii)(E) (f) An employee benefit plan or endowment fund in accordance with Section 13d-1(b)(1)(ii)(F) SCHEDULE 13G CUSIP No. 001930205 Page 5 of 7 ITEM 3. Continued (g) A parent holding company or control person in accordance with Section 13d-1(b)(1)(ii)(G) (h) A savings association defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813) (i) A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3) (j) A non-U.S. institution in accordance with Section 13d-1(b)(ii)(J) (k) Group, in accordance with Section 13d-1(b)(1)(ii)(K). ITEM 4. OWNERSHIP (a) Amount Beneficially Owned 913,946 (b) Percent of Class 5.2% |
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. 7)
ARI NETWORK SERVICES, INC.
---------------------------------------
(Name of Issuer)
Common Stock, $0.001 par value
------------------------------------------
(Title of Class of Securities)
001930205
---------------------------------------
(CUSIP Number)
December 31, 2016
---------------------------------------
(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) |
[ ] | Rule 13d-1(d) |
* | 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. |
|
|
| 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. |
SCHEDULE 13G
CUSIP No. 001930205 |
| Page 2 of 7 |
1. | NAME OF REPORTING PERSON | |||
|
|
| ||
|
| ROY W. OLIVIER | ||
|
|
| ||
|
| I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY) | ||
|
|
| ||
|
| N/A | ||
|
| |||
2. | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | |||
|
|
| ||
|
| (a) [ ] | ||
|
| (b) [ ] | ||
|
|
| ||
3. | SEC USE ONLY | |||
|
|
| ||
|
|
| ||
|
|
| ||
4. | CITIZENSHIP OR PLACE OF ORGANIZATION | |||
|
|
| ||
|
| WISCONSIN | ||
| ||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: | ||||
|
| |||
5. | SOLE VOTING POWER | |||
| ||||
| 771,992 | |||
|
| |||
6. | SHARED VOTING POWER | |||
| ||||
| 141,954 | |||
|
| |||
7. | SOLE DISPOSITIVE POWER | |||
| ||||
|
| 771,992 | ||
|
| |||
8. | SHARED DISPOSITIVE POWER | |||
|
| |||
| 141,954 | |||
| ||||
9. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | |||
|
| |||
| 913,946 | |||
| ||||
|
SCHEDULE 13G
CUSIP No. 001930205 |
| Page 3 of 7 |
10. | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] | |
|
|
|
|
| Not Applicable |
|
|
|
11. | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | |
|
|
|
|
| 5.2 |
|
|
|
12. | TYPE OF REPORTING PERSON | |
|
|
|
|
| IN |
SCHEDULE 13G
CUSIP No. 001930205 |
| Page 4 of 7 |
|
|
| ||
ITEM 1. | (a) | NAME OF ISSUER | ||
|
| |||
| ARI NETWORK SERVICES, INC. | |||
|
| |||
| (b) | ADDRESS OF ISSUERS PRINCIPAL EXECUTIVE OFFICES | ||
|
| |||
| 10850 West Park Place, Suite 1200, Milwaukee, Wisconsin 53224 | |||
|
| |||
ITEM 2. | (a) | NAME OF PERSON FILING | ||
|
| |||
| ROY W. OLIVIER | |||
|
| |||
| (b) | ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE | ||
|
| |||
| 10850 West Park Place, Suite 1200, Milwaukee, Wisconsin 53224 | |||
|
| |||
| (c) | CITIZENSHIP | ||
|
| |||
| WISCONSIN, USA | |||
|
| |||
| (d) | TITLE OF CLASS OF SECURITIES | ||
|
| |||
| COMMON STOCK | |||
|
| |||
| (e) | CUSIP NUMBER | ||
|
| |||
| 001930205 | |||
|
| |||
ITEM 3. | IF THIS STATEMENT IS FILED PURSUANT TO SECTIONS 13d-1(b) OR 13d-2(b) or (c), CHECK WHETHER THE PERSON FILING IS A: | |||
|
| |||
| (a) | [ ] | Broker or dealer registered under Section 15 of the Act (15 U.S.C. 78o); | |
| (b) | [ ] | Bank as defined in Section 3(a)(6) of the Act (15 U.S.C. 78c); | |
| (c) | [ ] | Insurance company as defined in Section 3(a)(19) of the Act (15 U.S.C. 78c); | |
| (d) | [ ] | Investment company registered under Section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8); | |
| (e) | [ ] | An investment adviser in accordance with Section 13d-1(b)(1)(ii)(E); | |
| (f) | [ ] | An employee benefit plan or endowment fund in accordance with Section 13d-1(b)(1)(ii)(F); |
SCHEDULE 13G
CUSIP No. 001930205 |
| Page 5 of 7 |
ITEM 3. | (g) | [ ] | A parent holding company or control person in accordance with Section 13d-1(b)(1)(ii)(G); | ||
| (h) | [ ] | A savings association defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); | ||
| (i) | [ ] | A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3); | ||
| (j) | [ ] | A non-U.S. institution in accordance with Section 13d-1(b)(ii)(J); | ||
| (k) | [ ] | Group, in accordance with Section 13d-1(b)(1)(ii)(K). | ||
|
|
| |||
ITEM 4. | OWNERSHIP | ||||
|
| ||||
| (a) | Amount Beneficially Owned | 913,946 | ||
|
| ||||
| (b) | Percent of Class | 5.2% | ||
|
| ||||
| (c) | Number of Shares as to which the person has: | |||
|
|
| |||
|
| (i) | Sole power to vote or to direct the vote: | 771,992 | |
|
|
|
|
| |
|
|
|
|
| |
|
| (ii) | Shared power to vote or to direct the vote: | 141,954 | |
|
|
|
|
| |
|
|
|
|
| |
|
| (iii) | Sole power to dispose or to direct the disposition of: | 771,992 | |
|
|
|
|
| |
|
|
|
|
| |
|
| (iv) | Shared power to dispose or to direct the disposition of: | 141,954 |
The detail of Mr. Oliviers beneficial ownership as of December 31, 2015 is as follows: | |||||||||
| |||||||||
| Sole Voting/Dispositive Power | Shared Voting/Dispositive Power | Total | ||||||
Shares owned outright | 358,746 |
| |||||||
Shares held in Mr. Oliviers 401(k) (vested) | 13,246 |
|
| ||||||
Total shares owned | 371,992 |
|
| ||||||
Shares owned by spouse |
| 0 |
| ||||||
|
|
|
| ||||||
Options exercisable within 60 days | 400,000 |
|
| ||||||
|
|
|
| ||||||
Total shares and options owned |
|
|
| ||||||
|
|
|
| ||||||
Total shares in ARI 401(k) Plan (Note 1) |
| 155,200 |
| ||||||
Less: Mr. Oliviers 401(k) shares included above |
| 13,246 |
| ||||||
|
|
|
| ||||||
Total reported shares and options | 771,992 | 141,954 | 913,946 | ||||||
|
|
|
|
|
|
|
|
|
|
(1) Mr. Olivier is one of two trustees of ARIS 401(k) Plan. |
SCHEDULE 13G
CUSIP No. 001930205 |
| Page 6 of 7 | |
|
| ||
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 | ||
|
| ||
| Not Applicable. | ||
|
|
SCHEDULE 13G
CUSIP No. 001930205 |
| Page 7 of 7 |
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 I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are 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. |
SIGNATURE
After reasonable inquiry and to the best of our knowledge and belief, the undersigned certifies that the information set forth in this statement is true, complete and correct.
Dated as of the 6th day of February, 2017
| /s/ Roy W. Olivier |
| Signature |
|
|
| Roy W. Olivier, President and Chief Executive Officer |
| Name/Title |