-----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, VmoFLl6rPMafS5KbRfODjHBq3vBmPDViyAIV9k7iRK1rbmnIVlSf4Z2ixcl4XEey e00q9F5V5n6z5uCFF4S9iQ== /in/edgar/work/20000609/0000929624-00-000822/0000929624-00-000822.txt : 20000919 0000929624-00-000822.hdr.sgml : 20000919 ACCESSION NUMBER: 0000929624-00-000822 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20000609 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: PEERLESS SYSTEMS CORP CENTRAL INDEX KEY: 0000897893 STANDARD INDUSTRIAL CLASSIFICATION: [5045 ] IRS NUMBER: 953732595 STATE OF INCORPORATION: DE FISCAL YEAR END: 0131 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-48579 FILM NUMBER: 651804 BUSINESS ADDRESS: STREET 1: 2381 ROSECRANS AVE CITY: EL SEGUNDO STATE: CA ZIP: 90245 BUSINESS PHONE: 3105360908 MAIL ADDRESS: STREET 1: 2381 ROSECRANS AVE CITY: EL SEGUNDO STATE: CA ZIP: 90245 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: AU ADAM CENTRAL INDEX KEY: 0001115898 STANDARD INDUSTRIAL CLASSIFICATION: [ ] FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 386 MAIN STREET CITY: REDWOOD CITY STATE: CA ZIP: 94063 MAIL ADDRESS: STREET 1: 386 MAIN STREET CITY: REDWOOD CITY STATE: CA ZIP: 94063 SC 13G 1 0001.txt SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO._____)* Peerless Systems Corp. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock - -------------------------------------------------------------------------------- (Title of Class of Securities) 705536100 ------------------------------ (CUSIP Number) Check the following box if a fee is being paid with this statement [_]. (A fee is not required only if the filing person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of five percent to less of such class). See Rule 13d-7) *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 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act. Page 1 of 5 Pages - ------------------------------------------------------------------------------ NAME OF REPORTING PERSON 1 S.S OR I.R.S. IDENTIFICATION NO OF ABOVE PERSON Adam Au ###-##-#### - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP 2 (a) [_] N.A. (b) [_] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 United States - ------------------------------------------------------------------------------ SOLE VOTING POWER 5 NUMBER OF (A) 972,736 as of June 11, 1999 (B) 872,736 as of September 29, 1999 SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 6 -0- OWNED BY ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7 REPORTING (A) 972,736 as of June 11, 1999 (B) 872,736 as of September 29, 1999 PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 8 -0- - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 (A) 972,736 as of June 11, 1999 (B) 872,736 as of September 29, 1999 - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* 10 N.A. [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 11 (A) 7.24% as of June 11, 1999 (B) 6.50% as of September 29, 1999 - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* 12 IN - ------------------------------------------------------------------------------ Page 2 of 5 Pages Item 1 (a) Name of Issuer Peerless Systems Corp. (b) Address of Issuer's Principal Executive Offices 2381 Rosecrans Avenue, El Segundo, California 90245 Item 2 (a) Name of Person(s) Filing Adam Au (b) Address of Principal Business Office 386 Main Street, Redwood City, California 94063 (c) Citizenship or Place of Organization United States (d) Title of Class of Securities Common Stock (e) CUSIP Number 705536100 Item 3. Filings Pursuant to (S)(S)240.13d-1(b) or 240.13d-2(b) or (c) N.A. Item 4. Ownership (a) Amount Beneficially Owned: (A) 972,736 as of June 11, 1999 (B) 872,736 as of September 29, 1999 (b) Percent of Class: (A) 7.24% as of June 11, 1999 (B) 6.50% as of September 29, 1999 (c) Number of shares as to which the person has: (i) sole power to vote or to direct the vote: (A) 972,736 as of June 11, 1999 (B) 872,736 as of September 29, 1999 (ii) shared power to vote or to direct the vote: -0- (iii) sole power to dispose or to direct the disposition of: (A) 972,736 as of June 11, 1999 (B) 872,736 as of September 29, 1999 (iv) shared power to dispose or to direct the disposition of: -0- Item 5. Ownership of Five Percent or Less of a Class. N.A. Page 3 of 5 Pages Item 6. Ownership of More than Five Percent on Behalf of Another Person. N.A. Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on 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 a Group N.A. Item 10. Certification By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not 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. Page 4 of 5 Pages 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: May 19, 2000 /s/ Adam Au ---------------------------------- Adam Au ATTENTION: INTENTIONAL MISSTATEMENTS OR OMISSIONS OF FACT CONSTITUTE FEDERAL CRIMINAL VIOLATIONS (SEE 18 U.S.C. 1001) Page 5 of 5 Pages -----END PRIVACY-ENHANCED MESSAGE-----