-----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, Ll1DTGYg0ELjPMa49GKQvUoKYFRqxdMG412MCc5/fZxjyRODsZevkRoEDT1G2fKn 8Gw2s9nXL8gtV9kI0xEJTw== 0000950135-98-000073.txt : 19980112 0000950135-98-000073.hdr.sgml : 19980112 ACCESSION NUMBER: 0000950135-98-000073 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980109 SROS: NASD GROUP MEMBERS: EISEN WILLIAM J AGENT FOR THE BLIND GROUP MEMBERS: JOSEPH J. O'DONNELL GROUP MEMBERS: JOSEPH J. O'DONNELL CUST. FOR CASEY L. O'DONNELL GROUP MEMBERS: JOSEPH J. O'DONNELL CUST. FOR KATE A. O'DONNEL GROUP MEMBERS: KATHERINE O'DONNELL GROUP MEMBERS: WILLIAM J EISEN SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: UNIFY CORP CENTRAL INDEX KEY: 0000880562 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 770427069 STATE OF INCORPORATION: DE FISCAL YEAR END: 0430 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: SEC FILE NUMBER: 005-50205 FILM NUMBER: 98503619 BUSINESS ADDRESS: STREET 1: 181 METRO DR STREET 2: 3RD FL CITY: SAN JOSE STATE: CA ZIP: 95110 BUSINESS PHONE: 4084674500 MAIL ADDRESS: STREET 1: 181 METRO DRIVE CITY: SAN JOSE STATE: CA ZIP: 95110 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: EISEN WILLIAM J AGENT FOR THE BLIND CENTRAL INDEX KEY: 0001036803 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 60 STATE ST CITY: BOSTON STATE: MA ZIP: 02109 SC 13D/A 1 UNIFY CORP. 1 SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D Under the Securities Act of 1934 (Amendment No. 2) Unify Corp. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock - -------------------------------------------------------------------------------- (Title of Class of Securities) 904743101000 - -------------------------------------------------------------------------------- (CUSIP Number) Kenneth A. Korb, Esq. Perkins, Smith & Cohen, LLP, One Beacon Street, Boston, MA 02108 (617) 854-4000 - -------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) January 2, 1998 - -------------------------------------------------------------------------------- (Date of Event which Requires Filing of This Statement) 2 CUSIP No. 904743101000 Page 2 of 11 SCHEDULE 13D - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Katherine O'Donnell - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) X --- (b) --- - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* PF - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) --- - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION U.S. - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER NUMBER OF 4,600 SHARES --------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY EACH --------------------------------------------------------- REPORTING 9 SOLE DISPOSITIVE POWER PERSON 4,600 WITH --------------------------------------------------------- 10 SHARED DISPOSITIVE POWER - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 4,600 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) Less than 0.1% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION 3 CUSIP No. 904743101000 Page 3 of 11 SCHEDULE 13D - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Joseph J. O'Donnell as custodian for Casey L. O'Donnell (a minor) - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) X --- (b) --- - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* PF - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) --- - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION U.S. - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER NUMBER OF 13,500 SHARES --------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY EACH --------------------------------------------------------- REPORTING 9 SOLE DISPOSITIVE POWER PERSON 13,500 WITH --------------------------------------------------------- 10 SHARED DISPOSITIVE POWER - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 13,500 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) Less than 0.2% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION 4 CUSIP No. 904743101000 Page 4 of 11 SCHEDULE 13D - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Joseph J. O'Donnell as custodian for Kate A. O'Donnell (a minor) - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) X --- (b) --- - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* PF - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) --- - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION U.S. - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER NUMBER OF 13,300 SHARES --------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY EACH --------------------------------------------------------- REPORTING 9 SOLE DISPOSITIVE POWER PERSON 13,300 WITH --------------------------------------------------------- 10 SHARED DISPOSITIVE POWER - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 13,300 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) Less than 0.2% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION 5 CUSIP No. 904743101000 Page 5 of 11 SCHEDULE 13D - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON William J. Eisen, Agent for the Blind Trust u/d/t dated 3/26/93, Katherine O'Donnell, as Settlor (hereinafter the "Blind Trust") 04-6728218 - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) X --- (b) --- - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* PF - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) --- - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Organized under the laws of the Cook Islands, South Pacific - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER NUMBER OF 582,150 SHARES --------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY EACH --------------------------------------------------------- REPORTING 9 SOLE DISPOSITIVE POWER PERSON 582,150 WITH --------------------------------------------------------- 10 SHARED DISPOSITIVE POWER - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 582,150 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 7.1% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* OO - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION 6 CUSIP No. 904743101000 Page 6 of 11 SCHEDULE 13D - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Joseph J. O'Donnell, Investment Retirement Account - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) X --- (b) --- - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* PF - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) --- - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION U.S. - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER NUMBER OF 400 SHARES --------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY EACH --------------------------------------------------------- REPORTING 9 SOLE DISPOSITIVE POWER PERSON 400 WITH --------------------------------------------------------- 10 SHARED DISPOSITIVE POWER - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 400 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) Less than 0.1% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* EP - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION 7 CUSIP No. 904743101000 Page 7 of 11 SCHEDULE 13D ITEM 1. SECURITY AND ISSUER Class of Securities: Common Stock Unify Corp. 181 Metro Drive, Suite 300 San Jose, CA 95110 ITEM 2. IDENTITY AND BACKGROUND (a) Name: Katherine O'Donnell Joseph O'Donnell as custodian for Casey L. O'Donnell under Massachusetts Uniform Transfers to Minor Act Joseph O'Donnell as custodian for Kate A. O'Donnell under Massachusetts Uniform Transfers to Minor Act William J. Eisen, Agent for The Blind Trust u/d/t 3/26/93 Joseph J. O'Donnell Investment Retirement Account (b) Residence or business address: Katherine O'Donnell Joseph O'Donnell as custodian for Casey L. O'Donnell Joseph O'Donnell as custodian for Kate A. O'Donnell 15 Clairmont Road, Belmont, MA 02178 William J. Eisen, Agent for The Blind Trust u/d/t 3/26/93 ("The Blind Trust") c/o Lourie & Cutler, P.C., 60 State Street, Boston, MA 02109 Joseph J. O'Donnell Investment Retirement Account 15 Clairmont Road, Belmont, MA 02178 (c) Katherine O'Donnell: housewife Joseph O'Donnell: business executive (d) Not applicable to any member of the group. (e) Not applicable to any member of the group. (f) U.S. for each reporting person other than The Blind Trust which was organized under the laws of the Cook Islands, South Pacific. 8 CUSIP No. 904743101000 Page 8 of 11 SCHEDULE 13D ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION Katherine O'Donnell: $21,850.00; source of funds is personal and not borrowed or otherwise obtained; securities were acquired by purchase. Joseph O'Donnell a/c/f Casey L. O'Donnell: $49,232.00; source of funds is personal and not borrowed or otherwise obtained; securities were acquired by purchase. Joseph O'Donnell a/c/f Kate A. O'Donnell: $46,637.00; source of funds is personal and not borrowed or otherwise obtained; securities were acquired by purchase. The Blind Trust: $2,446,245.75; source of funds is personal and not borrowed or otherwise obtained; securities were acquired by purchase. Joseph J. O'Donnell Investment Retirement Account: $2,502.60; source of funds is personal and not borrowed or otherwise obtained; securities were acquired by purchase. ITEM 4. PURPOSE OF TRANSACTION The purpose of the transactions for each reporting person was solely for investment. ITEM 5. INTEREST IN SECURITIES OF THE ISSUER (a) Katherine O'Donnell aggregate number of shares: 4,600 percentage of class of securities: Less than 0.1% Joseph J. O'Donnell a/c/f Casey L. O'Donnell aggregate number of shares: 13,500 percentage of class of securities: less than 0.2 % Joseph J. O'Donnell a/c/f Kate A. O'Donnell aggregate number of shares: 13,300 percentage of class of securities: less than 0.2 % The Blind Trust aggregate number of shares: 582,150 percentage of class of securities: 7.1% Joseph J. O'Donnell Investment Retirement Account aggregate number of shares: 400 percentage of class of securities: less than 0.1% 9 CUSIP No. 904743101000 Page 9 of 11 SCHEDULE 13D (b) Katherine O'Donnell Sole voting power: 4,600 Shared voting power: 0 Sole dispositive power: 4,600 Shared dispositive power: 0 Joseph J. O'Donnell a/c/f Casey L. O'Donnell Sole voting power: 13,500 Shared voting power: 0 Sole dispositive power: 13,500 Shared dispositive power: 0 Joseph J. O'Donnell a/c/f Kate A. O'Donnell Sole voting power: 13,300 Shared voting power: 0 Sole dispositive power: 13,300 Shared dispositive power: 0 The Blind Trust Sole voting power: 582,150 Shared voting power: 0 Sole dispositive power: 582,150 Shared dispositive power: 0 Joseph J. O'Donnell Investment Retirement Account Sole voting power: 400 Shared voting power: 0 Sole dispositive power: 400 Shared dispositive power: 0 (c) Katherine O'Donnell: N/A Joseph J. O'Donnell a/c/f Casey L. O'Donnell: 10,000 shares Joseph J. O'Donnell a/c/f Kate A. O'Donnell: 10,000 shares The Blind Trust: 85,000 shares Joseph J. O'Donnell Investment Retirement Account: N/A (d) No other person has such rights other than the respective reporting person. (e) Not applicable. 10 CUSIP No. 904743101000 Page 10 of 11 SCHEDULE 13D ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT TO SECURITIES OF THE ISSUER The reporting persons are members of a family and its legal affiliates who have no arrangement or other understanding among them, with respect to the securities of the issuer, other than to make an investment in such securities. ITEM 7. MATERIAL TO BE FILED AS EXHIBITS Not applicable. NOTE: Please see the copy of Agency Agreement dated August 16, 1994, which was submitted as an Exhibit with the original paper filing of Schedule 13D, on or about February 21, 1997, and is incorporated herein by this reference, as evidence of the authority of the agent to sign this statement on behalf of The Blind Trust. 11 CUSIP No. 904743101000 Page 11 of 11 SCHEDULE 13D 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: January 9, 1998 /S/ Katherine O'Donnell ----------------------------------------------- Signature Name/Title: Katherine O'Donnell Date: January 9, 1998 /S/ Joseph O'Donnell ----------------------------------------------- Signature Name/Title: Joseph O'Donnell as custodian for Casey L. O'Donnell U/MA/UTMA Date: January 9, 1998 /S/ Joseph O'Donnell ----------------------------------------------- Signature Name/Title: Joseph O'Donnell as custodian for Kate A. O'Donnell U/MA/UTMA The Blind Trust u/d/t dated 3/26/93 Date: January 9, 1998 /S/ William J. Eisen ----------------------------------------------- Signature Name/Title: William J. Eisen, Agent Date: January 9, 1998 /S/ Joseph J. O'Donnell ----------------------------------------------- Signature Name/Title: Joseph J. O'Donnell IRA -----END PRIVACY-ENHANCED MESSAGE-----