-----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, LuaCunJJ2QoS2o05PSyM9ZInD2YkN8ckhHsrI3zfoE91HEfzA/GBn+qkImtkF3q4 B75vlfM+lw5i12nCwZkd/w== 0000950157-97-000499.txt : 19971008 0000950157-97-000499.hdr.sgml : 19971008 ACCESSION NUMBER: 0000950157-97-000499 CONFORMED SUBMISSION TYPE: SC 13D PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19971007 SROS: NYSE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: UNISON SOFTWARE INC CENTRAL INDEX KEY: 0000945837 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 942696878 STATE OF INCORPORATION: DE FISCAL YEAR END: 0531 FILING VALUES: FORM TYPE: SC 13D SEC ACT: SEC FILE NUMBER: 005-44913 FILM NUMBER: 97691517 BUSINESS ADDRESS: STREET 1: 5101 PATRICK HENRY DR STREET 2: STE 200 CITY: SANTA CLARA STATE: CA ZIP: 95054 BUSINESS PHONE: 4089882800 MAIL ADDRESS: STREET 1: 5101 PATRICK HENRY DRIVE STREET 2: STE 200 CITY: SANTA CLARA STATE: CA ZIP: 95054 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: INTERNATIONAL BUSINESS MACHINES CORP CENTRAL INDEX KEY: 0000051143 STANDARD INDUSTRIAL CLASSIFICATION: COMPUTER & OFFICE EQUIPMENT [3570] IRS NUMBER: 130871985 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D BUSINESS ADDRESS: STREET 1: ONE OLD ORCHARD RD CITY: ARMONK STATE: NY ZIP: 10504 BUSINESS PHONE: 9147651900 MAIL ADDRESS: STREET 1: ONE OLD ORCHARD RD CITY: ARMONK STATE: NY ZIP: 10504 SC 13D 1 SCHEDULE 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (AMENDMENT NO. 1) UNISON SOFTWARE, INC. ------------------------------------- (Name of Issuer) COMMON STOCK, PAR VALUE $.001 PER SHARE - ------------------------------------------------------------------------ (Title of Class of Securities) 90919P105 -------------- (CUSIP Number) Donald D. Westfall, Esq. Associate General Counsel International Business Machines Corporation New Orchard Road Armonk, NY 10504-1783 (914) 499-4478 (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) OCTOBER 3, 1997 -------------------------------- (Date of Event which Requires Filing of this Statement) If the filing person has previously filed a statement on Schedule 13G to report the acquisition which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(b)(3) or (4), check the following box [ ]. Note: Six copies of this statement, including all exhibits, should be filed with the Commission. See Rule 13d-1(a) for other parties to whom copies are to be sent. *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 purposes 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 (however, see the Notes). CUSIP No. 90919P105 1. Name of Reporting Person: International Business Machines Corporation S.S. or I.R.S. Identification 13-0871985ve Person: 2. Check the appropriate Box if a Me(a)r[ ] of a Group (b) [X] 3. SEC Use Only 4. Source of Funds: 00 5. Check Box if Disclosure of Legal Proceedings is Required Pursuant to Item 2(d) or 2(e): [ ] 6. Citizenship or Place of Organization: New York Number of Shares Beneficially Owned by Reporting Person With: 7. Sole Voting Power: 156,500 8. Shared Voting Power: 3,723,601 9. Sole Dispositive Power: 156,500 10. Shared Dispositive Power: [ ] 11. Aggregate Amount Beneficially Owned by Reporting Person: 3,880,101 12. Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares:[ ] 13. Percent of Class Represented by Amount in Row (11): 32% 14. Type of Reporting Person: CO I. Item 3 of the Schedule 13D, "Source and Amount of Funds or Other Consideration," is hereby amended by adding the following paragraph at the end thereto: "Since September 22, 1997 (the date that IBM filed the Schedule 13D to which this amendment relates), IBM has acquired 156,500 shares of Unison Common Stock in the open market at a total cost of $2,293,968.42. Such amount was funded out of IBM's working capital, which may at any given time include margin loans made by brokerage firms in the ordinary course of business." II. Items 5(c) of the Schedule 13D, "Interest in Securities of the Issuer," is hereby amended by adding the following at the end thereof: "Since September 22, 1997, IBM has acquired 156,500 shares of Unison Common Stock through open market purchases (as set forth in Shedule II annexed hereto). As a result, IBM beneficially owns an aggregate of 3,880,101 shares of Unison Common Stock representing approximately 32% of the shares of Unison Common Stock outstanding. Except for the purchases set forth on Schedule II annexed hereto, none of the persons identified in Item 2 has effected any transactions with respect to Unison Common Stock during the past 60 days. All such purchases were effected in the open market." (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: October 6, 1997 INTERNATIONAL BUSINESS MACHINES CORPORATION By: /s/ LEE A. DAYTON Lee A. Dayton Vice President, Corporate Development and Real Estate SCHEDULE II Shares of Unison Common Stock Purchased by IBM since September 12, 1997 Date Number Price Payment Commission Total of Shares Payment 09/25/97 25,000 $14.61 $365,235.00 $1,250.00 $366,485.00 09/26/97 33,000 $14.61 $482,110.20 $1,650.00 $483,760.20 09/29/97 10,200 $14.61 $149,015.88 $ 510.00 $149,525.88 09/30/97 11,900 $14.61 $173,851.86 $ 595.00 $174,446.86 10/01/97 11,400 $14.60 $166,390.63 $ 570.35 $166,960.98 10/02/97 65,000 $14.61 $949,539.50 $3,250.00 $952,789.50 Total 156,500 $14.61 $2,286,143.07 $2,293,968.42 -----END PRIVACY-ENHANCED MESSAGE-----