-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: keymaster@town.hall.org Originator-Key-Asymmetric: MFkwCgYEVQgBAQICAgADSwAwSAJBALeWW4xDV4i7+b6+UyPn5RtObb1cJ7VkACDq pKb9/DClgTKIm08lCfoilvi9Wl4SODbR1+1waHhiGmeZO8OdgLUCAwEAAQ== MIC-Info: RSA-MD5,RSA, AwvqwYyHH1CCzIFAFbVKFADonCUxwaYE8k2eEjmApG3Ii9w7MA652yHgKZPktLAC +IWqokpneZolaHlFEoaSTg== 0000930661-95-000039.txt : 199507120000930661-95-000039.hdr.sgml : 19950711 ACCESSION NUMBER: 0000930661-95-000039 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 19950328 SROS: NYSE GROUP MEMBERS: CHARLES J. WYLY, JR GROUP MEMBERS: MAVERICK ENTREPRENEURS FUND, LTD. GROUP MEMBERS: SAM WYLY GROUP MEMBERS: WYLY SAMUEL EVANS SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: STERLING SOFTWARE INC CENTRAL INDEX KEY: 0000716714 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 751873956 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-35017 FILM NUMBER: 95523831 BUSINESS ADDRESS: STREET 1: 8080 N CENTRAL EXPWY STE 1100 CITY: DALLAS STATE: TX ZIP: 75206 BUSINESS PHONE: 2148918600 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: WYLY SAMUEL EVANS CENTRAL INDEX KEY: 0000909761 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 8080 N CENTRAL EXPRESSWAY STREET 2: LB 31 CITY: DALLAS STATE: TX ZIP: 75206 FORMER COMPANY: FORMER CONFORMED NAME: WYLY SAM DATE OF NAME CHANGE: 19930726 SC 13D/A 1 SCHEDULE 13D SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 22) Sterling Software, Inc. - -------------------------------------------------------------------------------- (NAME OF ISSUER) Common Stock, par value $0.10 per share - -------------------------------------------------------------------------------- (TITLE OF CLASS OF SECURITIES) 859547-10-1 ------------------------------------------------ (CUSIP NUMBER) Charles D. Maguire, Jr. 901 Main Street, Suite 6000 Dallas, Texas 75202 (214) 953-6000 - -------------------------------------------------------------------------------- (NAME, ADDRESS AND TELEPHONE NUMBER OF PERSON AUTHORIZED TO RECEIVE NOTICES AND COMMUNICATIONS) March 24, 1995 ------------------------------------------------ (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 [_]. Check the following box if a fee is being paid with the statement[_]. (A fee is not required only if the reporting 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 or less of such class.) (See Rule 13d-7.) 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 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 (however, see the Notes). CUSIP NO. 859547-10-1 13D PAGE 2 - -------------------------------------------------------------------------------- NAME OF REPORTING PERSON 1 S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Sam Wyly ###-##-#### - -------------------------------------------------------------------------------- CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [x] (b) [_] - -------------------------------------------------------------------------------- SEC USE ONLY 3 - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* 00 - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [_] - -------------------------------------------------------------------------------- 6 CITIZEN OR PLACE OF ORGANIZATION United States - -------------------------------------------------------------------------------- SOLE VOTING POWER 7 NUMBER OF 395,954 SHARES ------------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 8 300,000 OWNED BY ------------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 9 REPORTING 1,495,954 PERSON ------------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 10 300,000 - -------------------------------------------------------------------------------- AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 11 1,795,954 - -------------------------------------------------------------------------------- CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [_] 12 - -------------------------------------------------------------------------------- PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 13 7.2% - -------------------------------------------------------------------------------- TYPE OF REPORTING PERSON* 14 IN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP NO. 859547-10-1 13D PAGE 3 - -------------------------------------------------------------------------------- NAME OF REPORTING PERSON 1 S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Charles J. Wyly, Jr. ###-##-#### - -------------------------------------------------------------------------------- CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [x] (b) [_] - -------------------------------------------------------------------------------- SEC USE ONLY 3 - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* 00 - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [_] - -------------------------------------------------------------------------------- 6 CITIZEN OR PLACE OF ORGANIZATION United States - -------------------------------------------------------------------------------- SOLE VOTING POWER 7 NUMBER OF 563,590 SHARES ------------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 8 300,000 OWNED BY ------------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 9 REPORTING 1,113,590 PERSON ------------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 10 300,000 - -------------------------------------------------------------------------------- AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 11 1,413,590 - -------------------------------------------------------------------------------- CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [_] 12 - -------------------------------------------------------------------------------- PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11 13 5.8% - -------------------------------------------------------------------------------- TYPE OF REPORTING PERSON* 14 IN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP NO. 859547-10-1 13D PAGE 4 - -------------------------------------------------------------------------------- NAME OF REPORTING PERSON 1 S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Maverick Entrepreneurs Fund, Ltd. (f/k/a First Dallas Limited) 75-231-9145 - -------------------------------------------------------------------------------- CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [x] (b) [_] - -------------------------------------------------------------------------------- SEC USE ONLY 3 - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* N/A - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [_] - -------------------------------------------------------------------------------- 6 CITIZEN OR PLACE OF ORGANIZATION Texas - -------------------------------------------------------------------------------- SOLE VOTING POWER 7 NUMBER OF 300,000 SHARES ------------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 8 OWNED BY 0 ------------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 9 REPORTING 300,000 PERSON ------------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 10 0 - -------------------------------------------------------------------------------- AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 11 300,000 - -------------------------------------------------------------------------------- CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [_] 12 - -------------------------------------------------------------------------------- PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11 13 1.3% - -------------------------------------------------------------------------------- TYPE OF REPORTING PERSON* 14 PN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP NO. 859547-10-1 13D PAGE 5 - -------------------------------------------------------------------------------- NAME OF REPORTING PERSON 1 S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON The Wyly Group - -------------------------------------------------------------------------------- CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [x] (b) [_] - -------------------------------------------------------------------------------- SEC USE ONLY 3 - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* N/A - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [_] - -------------------------------------------------------------------------------- 6 CITIZEN OR PLACE OF ORGANIZATION Texas - -------------------------------------------------------------------------------- SOLE VOTING POWER 7 NUMBER OF 1,259,544 SHARES ------------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 8 OWNED BY 0 ------------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 9 REPORTING 2,909,544 PERSON ------------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 10 0 - -------------------------------------------------------------------------------- AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 11 2,909,544 - -------------------------------------------------------------------------------- CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [_] 12 - -------------------------------------------------------------------------------- PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11 13 11.4% - -------------------------------------------------------------------------------- TYPE OF REPORTING PERSON* 14 IN,PN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP NO. 859547-10-1 13D PAGE 6 Item 1. Security and Issuer. ------------------- Not amended. Item 2. Identity and Background. ----------------------- Not amended. Item 3. Source and Amount of Funds or Other Consideration. ------------------------------------------------- Item 3 is hereby amended to read in its entirety as follows: The options described in Item 5 as held by Sam Wyly and Charles J. Wyly, Jr. were granted to them under stock option plans of the Company. Item 4. Purpose of Transaction. ---------------------- Not amended. Item 5. Interest in Securities of the Issuer. ------------------------------------ Item 5 is hereby amended to read in its entirety as follows: On November 23, 1994, Sam Wyly was granted options to purchase an aggregate of 800,000 shares of Common Stock, which options will become fully exercisable on May 23, 1995. As a result, Sam Wyly is deemed to have become the beneficial owner of an additional 800,000 shares of Common Stock on March 24, 1995. On November 23, 1994, Charles J. Wyly, Jr. was granted an option to purchase 400,000 shares of Common Stock, which option will become fully exercisable on May 23, 1995. As a result, Charles J. Wyly, Jr. is deemed to have become the beneficial owner of an additional 400,000 shares of Common Stock on March 24, 1995. Sam Wyly beneficially owns 1,795,954 shares, or 7.2%, of the Common Stock of the Company. Sam Wyly beneficially owns 1,100,000 of such shares by virtue of his ownership of options, beneficially owns 138,612 of such shares as sole general partner of Tallulah, Ltd., beneficially owns 300,000 of such shares as a general partner of Maverick Entrepreneurs and beneficially owns an aggregate of 257,342 of such shares as trustee of the trusts listed below: CUSIP NO. 859547-10-1 13D PAGE7
NAME OF TRUST NUMBER OF SHARES ------------- BENEFICIALLY OWNED ------------------ 1. The Christiana Parker Wyly Trust 34,890 2. The Andrew David Sparrow Wyly Trust 34,890 3. The Laurie L. Wyly Revocable Trust 63,954 4. The Lisa Wyly Revocable Trust 61,754 5. The Kelly Wyly Elliott Trust 61,854
Sam Wyly possesses sole voting power with respect to 394,954 shares of Common Stock, sole dispositive power with respect to 1,495,954 shares of Common Stock and shared voting and dispositive power with respect to 300,000 shares of Common Stock. Charles J. Wyly, Jr. beneficially owns 1,413,590 shares, or 5.8%, of the Common Stock of the Company. Charles Wyly beneficially owns 550,000 of such shares by virtue of his ownership of options, beneficially owns 256,574 of such shares as sole general partner of Brush Creek, Ltd., beneficially owns 300,000 of such shares as a general partner of Maverick Entrepreneurs, and beneficially owns an aggregate of 307,016 of such shares as trustee of the trusts listed below:
NUMBER OF SHARES NAME OF TRUST BENEFICIALLY OWNED ------------- ------------------ 1. The Martha Caroline Wyly Trust 76,754 2. The Charles J. Wyly, III Trust 76,754 3. The Emily Ann Wyly Trust 76,754 4. The Jennifer Lynn Wyly Trust 76,754
Charles J. Wyly, Jr. possesses sole voting power with respect to 563,590 shares of Common Stock, sole dispositive power with respect to 1,113,590 shares of Common Stock and shared voting and dispositive power with respect to 300,000 shares of Common Stock. Maverick Entrepreneurs beneficially owns and possesses sole voting and dispositive power with respect to 300,000 shares, or 1.3%, of the Common Stock of the Company. The Reporting Persons as a group beneficially own 2,909,544 shares, or 11.4%, of the Common Stock of the Company. The Reporting Persons as a group possess sole voting power with respect to 1,259,544 shares of Common Stock and sole dispositive power with respect to 2,909,544 shares of Common Stock. Except as otherwise reflected in this Item 5, no transactions in the Common Stock were effected by any of the Reporting Persons during the last 60 days or since the most recent filing on Schedule 13D, whichever is less. CUSIP NO. 859547-10-1 13D PAGE 8 Item 6. Contracts, Arrangements, Understandings or Relationships with Respect --------------------------------------------------------------------- to Securities of the Issuer. - --------------------------- Not amended. Item 7. Material to be Filed as Exhibits. -------------------------------- Exhibit 1. Agreement pursuant to Rule 13d-1(f)(1)(iii).(1) Exhibit 2. Form of Loan Agreement dated as of February 23, 1995 between Maverick Entrepreneurs Fund, Ltd. and Lehman Brothers Finance, S.A., including Form of Promissory Note.(2) Exhibit 3. Option Transaction dated February 23, 1995 between Maverick Entrepreneurs Fund, Ltd. and Lehman Brothers Finance S.A.(2) Exhibit 4. Option Transaction dated February 23, 1995 between Maverick Entrepreneurs Fund, Ltd. and Lehman Brothers Finance S.A.(2) Exhibit 5. Form of Guarantee of Lehman Brothers Holdings Inc.(2) Exhibit 6. Form of Pledge Agreement, dated as of February 23, 1995, between Maverick Entrepreneurs Fund, Ltd. and Lehman Brothers Finance S.A.(2) _________________ (1) Filed herewith. (2) Previously filed with Amendment No. 21 to this Schedule 13D. CUSIP NO. 859547-10-1 13D PAGE 9 SIGNATURES After reasonable inquiry, and to the best of our knowledge and belief, we certify that the information set forth in this statement is true, complete and correct. Date: March 28, 1995 /s/ Sam Wyly ----------------------------------------------- Sam Wyly /s/ Charles J. Wyly, Jr. ----------------------------------------------- Charles J. Wyly, Jr. MAVERICK ENTREPRENEURS FUND, LTD. (formerly FIRST DALLAS LIMITED) By: /s/ Sam Wyly -------------------------------------------- Sam Wyly, General Partner By: /s/ Charles J. Wyly, Jr. --------------------------------------------- Charles J. Wyly, Jr., General Partner EX-1 2 AGREEMENT CUSIP NO. 859547-10-1 13D EXHIBIT 1 Pursuant to Rule 13d-1(f)(1)(iii) of Regulation 13D-G of the General Rules and Regulations of the Securities and Exchange Commission under the Securities Exchange Act of 1934, as amended, the undersigned agree that the statement to which this Exhibit is attached is filed on behalf of each of them. Date: March 28, 1995 /s/ Sam Wyly ---------------------------------------------- Sam Wyly /s/ Charles J. Wyly, Jr. ---------------------------------------------- Charles J. Wyly, Jr. MAVERICK ENTREPRENEURS FUND, LTD. (formerly FIRST DALLAS LIMITED) By: /s/ Sam Wyly -------------------------------------------- Sam Wyly, General Partner By: /s/ Charles J. Wyly, Jr. -------------------------------------------- Charles J. Wyly, Jr., General Partner -----END PRIVACY-ENHANCED MESSAGE-----