-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, Ct7/U/TaV+emxu1haucsaOqRzxOqEyWYdQDUQKaYcdu1zBM77BDNDYryIknWWZml NC1K5MQijtJ+83y2H97UdQ== 0000950172-00-000268.txt : 20000215 0000950172-00-000268.hdr.sgml : 20000215 ACCESSION NUMBER: 0000950172-00-000268 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20000214 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: TUMBLEWEED COMMUNICATIONS CORP CENTRAL INDEX KEY: 0001022509 STANDARD INDUSTRIAL CLASSIFICATION: COMMUNICATION SERVICES, NEC [4899] IRS NUMBER: 943183329 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-56683 FILM NUMBER: 543310 BUSINESS ADDRESS: STREET 1: 700 SAGINAW DR CITY: REDWOOD CITY STATE: CA ZIP: 94063 BUSINESS PHONE: 6502162000 MAIL ADDRESS: STREET 1: 700 SAGINAW DR CITY: REDWOOD CITY STATE: CA ZIP: 94063 FORMER COMPANY: FORMER CONFORMED NAME: TUMBLEWEED SOFTWARE CORP DATE OF NAME CHANGE: 19990517 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: SMITH JEFFREY C CENTRAL INDEX KEY: 0001106720 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: C/O TUMBLEWEED COMMUNICATIONS CORP STREET 2: 700 SAGINAW DRIVE CITY: REDWOOD CITY STATE: CA ZIP: 94063 BUSINESS PHONE: 6502162000 MAIL ADDRESS: STREET 1: C/O TUMBLEWEED COMMUNICATIONS CORP STREET 2: 700 SAGINAW DRIVE CITY: REDWOOD CITY STATE: CA ZIP: 94063 SC 13G 1 SCHEDULE 13G SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 --------------------- SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13D-1(B), (C), AND (D) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13D-2(B) (AMENDMENT NO. ____________)1 TUMBLEWEED COMMUNICATIONS CORP. - -------------------------------------------------------------------------------- (Name of Issuer) COMMON STOCK - -------------------------------------------------------------------------------- (Title of Class of Securities) 899690101 - -------------------------------------------------------------------------------- (CUSIP Number) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [ ] Rule 13d-1(b) [ ] Rule 13d-1(c) [x] Rule 13d-1(d) - --------------- 1 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 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. 899690101 13G PAGE 2 OF 5 PAGES - -------------------------------------------------------------------------------- 1. NAMES OF REPORTING PERSONS. I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Jeffrey C. Smith - -------------------------------------------------------------------------------- 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 - -------------------------------------------------------------------------------- 5. SOLE VOTING POWER 2,026,877 1/ ----------------------------------------------------------------- NUMBER OF 6. SHARED VOTING POWER Not Applicable 1/ SHARES BENEFICIALLY ----------------------------------------------------------------- OWNED BY 7. SOLE DISPOSITIVE POWER 2,026,877 1/ EACH REPORTING ----------------------------------------------------------------- PERSON WITH 8. SHARED DISPOSITIVE POWER Not Applicable 1/ - -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,026,877 - -------------------------------------------------------------------------------- 10. CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES [ ] CERTAIN SHARES* - -------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 8.0% - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- 1/ Subject to applicable community property laws. * SEE INSTRUCTIONS BEFORE FILLING OUT! 2 Item 1(a). Name of Issuer: - ---------- -------------- Tumbleweed Communications Corp. Item 1(b). Address of Issuer's Principal Executive Offices: - ---------- ----------------------------------------------- 700 Saginaw Drive Redwood City, CA 94063 Item 2(a). Name of Person Filing: - ---------- --------------------- Jeffrey C. Smith Item 2(b). Address of Principal Business Office or, if none, Residence: - ---------- ----------------------------------------------------------- 700 Saginaw Drive Redwood City, CA 94063 Item 2(c). Citizenship: - ---------- ----------- United States Item 2(d). Title of Class of Securities: - ---------- ---------------------------- Common Stock of Tumbleweed Communications Corp. Item 2(e). CUSIP Number: - ---------- ------------ 899690101 Item 3. If this statement is filed pursuant to Rule 13d-1(b), or Rule - ------- ------------------------------------------------------------- 13d-2(b) or (c), check whether the person filing is a: ----------------------------------------------------- (a) [ ] Broker or dealer registered under Section 15 of the Exchange Act; (b) [ ] Bank as defined in Section 3(a)(6) of the Exchange Act; (c) [ ] Insurance company as defined in Section 3(a)(19) of the Exchange Act; (d) [ ] Investment company registered under Section 8 of the Investment Company Act; (e) [ ] An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E); (f) [ ] An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F); (g) [ ] A parent holding company or control person in accordance with Rule 13d-1(b)(ii)(G); (h) [ ] A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act; (i) [ ] A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act; or (j) [ ] Group, in accordance with Rule 13d-1(b)(1)(ii)(J). 3 If this statement is filed pursuant to Rule 13d-1(c), check this box [ ]. Item 4. Ownership. - ------- --------- (a) Amount Beneficially Owned: ------------------------- 2,026,877 shares (b) Percent of Class: ---------------- 8.0% (c) Number of shares as to which such person has: -------------------------------------------- (i) Sole power to vote or to direct the vote: ---------------------------------------- 2,026,877 shares (subject to applicable community property laws) (ii) Shared power to vote or to direct the vote: ------------------------------------------ 0 shares (subject to applicable community property laws) (iii) Sole power to dispose or to direct the disposition of: ----------------------------------------------------- 2,026,877 shares (subject to applicable community property laws) (iv) Shared power to dispose or to direct the disposition of: ------------------------------------------------------- 0 shares (subject to applicable community property laws) 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 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. Certifications. - -------- -------------- Not Applicable 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. Dated: February 14, 2000 By: /s/ Jeffrey C. Smith ----------------------------------- Jeffrey C. Smith 5 -----END PRIVACY-ENHANCED MESSAGE-----