-----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, WkVa6fe/f1OwqFOprbH7tQS2+8WSnwGoB9S8K9b4/gRavMhkblz09uUuTOy2V7vN WRqWdhKvVFwyF20UMm5Crg== 0001020488-01-000030.txt : 20010323 0001020488-01-000030.hdr.sgml : 20010323 ACCESSION NUMBER: 0001020488-01-000030 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20010322 GROUP MEMBERS: CANOPY GROUP INC GROUP MEMBERS: RALPH J. YARRO GROUP MEMBERS: THE CANOPY GROUP, INC. SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: CALDERA INTERNATIONAL INC/UT CENTRAL INDEX KEY: 0001102542 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 870662823 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-59433 FILM NUMBER: 1576342 BUSINESS ADDRESS: STREET 1: 240 W CENTER ST CITY: OREM STATE: UT ZIP: 84057 BUSINESS PHONE: 8017654999 FORMER COMPANY: FORMER CONFORMED NAME: CALDERA SYSTEMS INC DATE OF NAME CHANGE: 20000104 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: CANOPY GROUP INC CENTRAL INDEX KEY: 0000922758 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 870501112 STATE OF INCORPORATION: UT FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 240 W CENTER CITY: OREM STATE: UT ZIP: 84057 BUSINESS PHONE: 4082523800 MAIL ADDRESS: STREET 1: 899 WEST CENTER STREET CITY: OREM STATE: UT ZIP: 84057 FORMER COMPANY: FORMER CONFORMED NAME: NFT VENTURES INC ET AL DATE OF NAME CHANGE: 19940505 SC 13G 1 0001.txt SCHEDULE 13G UNITED STATES 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) UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. )(1) CALDERA INTERNATIONAL, INC. - -------------------------------------------------------------------------------- (Name of Issuer) COMMON STOCK - -------------------------------------------------------------------------------- (Title of Class of Securities) 801833 10 4 - -------------------------------------------------------------------------------- (CUSIP Number) December 31, 2000 - -------------------------------------------------------------------------------- (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-(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 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 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). (SC13G-07/99) CUSIP No. 801833 10 4 13G Page 2 of 6 Pages ________________________________________________________________________________ 1. NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) The Canopy Group, Inc. ________________________________________________________________________________ 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [_] (b) [X] ________________________________________________________________________________ 3. SEC USE ONLY ________________________________________________________________________________ 4. CITIZENSHIP OR PLACE OF ORGANIZATION Utah ________________________________________________________________________________ NUMBER OF 5. SOLE VOTING POWER SHARES _________________________________________________________________ BENEFICIALLY 6. SHARED VOTING POWER OWNED BY 27,857,307 shares of Issuer's Common Stock. _________________________________________________________________ EACH 7. SOLE DISPOSITIVE POWER REPORTING _________________________________________________________________ PERSON 8. SHARED DISPOSITIVE POWER WITH 27,857,307 shares of Issuer's Common Stock ________________________________________________________________________________ 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 27,857,307 shares of Issuer's Common Stock ________________________________________________________________________________ 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [_] ________________________________________________________________________________ 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 70% ________________________________________________________________________________ 12. TYPE OF REPORTING PERSON* CO ________________________________________________________________________________ *SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 801833 10 4 13G Page 3 of 6 Pages ________________________________________________________________________________ 1. NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) Ralph J. Yarro ________________________________________________________________________________ 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [_] (b) [X] ________________________________________________________________________________ 3. SEC USE ONLY ________________________________________________________________________________ 4. CITIZENSHIP OR PLACE OF ORGANIZATION United States of America ________________________________________________________________________________ NUMBER OF 5. SOLE VOTING POWER SHARES 700 Shares of Issuer's Common Stock Options to purchase 94,874 shares of Issuer's Common Stock _________________________________________________________________ BENEFICIALLY 6. SHARED VOTING POWER OWNED BY 27,857,307 shares of Issuer's Common Stock. _________________________________________________________________ EACH 7. SOLE DISPOSITIVE POWER REPORTING _________________________________________________________________ PERSON 8. SHARED DISPOSITIVE POWER WITH 27,857,307 shares of Issuer's Common Stock ________________________________________________________________________________ 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON Shared power over 27,857,307 shares of Issuer's Common Stock, and sole voting and dispositive power over 700 shares of Issuer's Common Stock and options to purchase 94,874 shares of Issuer's Common Stock ________________________________________________________________________________ 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [_] ________________________________________________________________________________ 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 70.4% ________________________________________________________________________________ 12. TYPE OF REPORTING PERSON* IN ________________________________________________________________________________ *SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 801833 10 4 13G Page 4 of 6 Pages ________________________________________________________________________________ Item 1(a). Name of Issuer: Caldera International, Inc. ________________________________________________________________________________ Item 1(b). Address of Issuer's Principal Executive Offices: 240 West Center Street Orem, Utah 84057 ________________________________________________________________________________ Item 2(a). Name of Person Filing: (a) This statement is being filed by The Canopy Group, Inc., a Utah corporation ("Canopy") and Ralph J. Yarro ("Mr. Yarro," and together with Canopy the "Reporting Persons"). Mr. Yarro serves as a director and President of Canopy. Mr. Yarro is a resident of the United States. Mr. Yarro also owns a significant amount of voting stock of Canopy. With respect to Mr. Yarro, this statement relates primarily to his indirect beneficial ownership of Issuer's Common Stock. The shares of Issuer's Common Stock reported herein have been acquired by Canopy or are beneficially owned by Canopy, except that Mr. Yarro is the owner of 700 shares of Issuer's Common Stock and is deemed a beneficial owner of 94,874 shares of Issuer's Common Stock that he is (or will be within 60 days of the date of this filing) entitled to purchase pursuant to options granted by the Company in consideration of Mr. Yarro's service on Issuer's Board of Directors. Management of the business affairs of Canopy, including decisions respecting disposition and voting of the shares of Issuer's Common Stock reported herein, resides with the executive officers and directors of Canopy. ________________________________________________________________________________ Item 2(b). Address of Principal Business Office, or if None, Residence: The Reporting Persons' business address is: 333 South 520 West, Suite 300, Lindon, Utah 84042. ________________________________________________________________________________ Item 2(c). Citizenship: Canopy is a Utah corporation, and Mr. Yarro is a citizen of the United States of America. ________________________________________________________________________________ Item 2(d). Title of Class of Securities: Common Stock ________________________________________________________________________________ Item 2(e). CUSIP Number: 278717103 ________________________________________________________________________________ Item 3. If This Statement is Filed Pursuant to Rule 13d-1(b), or 13d-2(b) or (c), Check Whether the Person Filing is a: NA (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)(1)(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; (j) [_] Group, in accordance with Rule 13d-1(b)(1)(ii)(J). If this statement is filed pursuant to Rule 13d-1(c), check this box. [_] CUSIP No. 801833 10 4 13G Page 5 of 6 Pages ________________________________________________________________________________ Item 4. Ownership. Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1. (a) Amount beneficially owned: 27,857,307 shares beneficially owned by each of Canopy, and 27,952,881 shares beneficially owned by Mr. Yarro (b) Percent of class: approximately 70% (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote: Canopy Group: 0 Mr. Yarro: 95,574, (ii) Shared power to vote or to direct the vote: 27,857,307, (iii) Sole power to dispose or to direct the disposition of Canopy Group: 0 Mr. Yarro: 95,574, (iv) Shared power to dispose or to direct the disposition of: 27,857,307 ________________________________________________________________________________ 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 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. ---------------------------------------- (Date) THE CANOPY GROUP, INC., By: /s/ Ralph J. Yarro ---------------------------------------- Ralph J. Yarro, President /s/ Ralph J. Yarro --------------------------------------- Ralph J. Yarro Note. Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Rule 13d-7(b) for other parties for whom copies are to be sent. Attention. Intentional misstatements or omissions of fact constitute federal criminal violations (see 18 U.S.C. 1001). EXHIBIT A AGREEMENT JOINT FILING OF SCHEDULE 13G The undersigned hereby agree to jointly prepare and file with regulatory authorities a Schedule 13G and any future amendments thereto reporting each of the undersigned's ownership of securities of Caldera International, Inc. and hereby affirm that such Schedule 13G is being filed on behalf of each of the undersigned. IN WITNESS WHEREOF, the parties hereto have executed this Joint Filing Agreement as of this ___ day of March, 2001. THE CANOPY GROUP, INC. By: /s/ Ralph J. Yarro ------------------------------ Ralph J. Yarro, President /s/ Ralph J. Yarro ------------------------------- Ralph J. Yarro -----END PRIVACY-ENHANCED MESSAGE-----