-----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, oOcetcF7j2jFfl9TrH9Tz+H7ZZcO/Up1qvYDR1FYiRkFUnwHXmFAfid3GJLdvi+s P1Z7axU/3+BWRDY1QlvRaw== 0000950109-94-002342.txt : 19941220 0000950109-94-002342.hdr.sgml : 19941220 ACCESSION NUMBER: 0000950109-94-002342 CONFORMED SUBMISSION TYPE: SC 13D PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19941219 SROS: NYSE 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 SEC ACT: 1934 Act SEC FILE NUMBER: 005-35017 FILM NUMBER: 94565279 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: WILLIAMS STERLING L CENTRAL INDEX KEY: 0000934361 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D BUSINESS ADDRESS: STREET 1: C/O STERLING SOFTWARE STREET 2: 8080 N CENTRAL EXPWY SUITE 1100 CITY: DALLAS STATE: TX ZIP: 75206 BUSINESS PHONE: 2149535664 MAIL ADDRESS: STREET 1: C/O STERLING SOFTWARE STREET 2: 8080 N CENTRAL EXPWY SUITE 1100 CITY: DALLAS STATE: TX ZIP: 75206 SC 13D 1 SCHEDULE 13D SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13D Under the Securities Exchange Act of 1934 (Amendment No. ) 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) November 23, 1994 ---------------------------------------------------- (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 [X]. (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). Page 1 of 5 Pages CUSIP NO. 859547-10-1 13D Page 2 of 5 Pages - ------------------------------------------------------------------------------ NAME OF REPORTING PERSON 1 S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Sterling L. Williams ###-##-#### - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [_] (b) [_] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ SOURCE OF FUNDS* 4 OO - ------------------------------------------------------------------------------ CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 5 2(d) or 2(e) [_] - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 6 United States - ------------------------------------------------------------------------------ NUMBER OF 7 SOLE VOTING POWER SHARES 4,000 BENEFICIALLY ----------------------------------------------------------- OWNED BY 8 SHARED VOTING POWER -0- EACH ----------------------------------------------------------- REPORTING SOLE DISPOSITIVE POWER 9 1,454,000 PERSON ----------------------------------------------------------- WITH SHARED DISPOSITIVE POWER 10 -0- ----------------------------------------------------------- - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 11 1,454,000 - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [_] 12 - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 13 5.9% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* 14 IN - ------------------------------------------------------------------------------ *SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP NO. 859547-10-1 13D Page 3 of 5 Pages Item 1. Security and Issuer. ------------------- This statement relates to the Common Stock, $.10 par value per share (the "Common Stock"), of Sterling Software, Inc., a Delaware corporation (the "Company"). The address of the principal executive offices of the Company is 8080 North Central Expressway, Suite 1100, Dallas, Texas 75206. Item 2. Identity and Background. ----------------------- The name of the person filing this statement is Sterling L. Williams. The business address of Mr. Williams is 8080 North Central Expressway, Suite 1100, Dallas, Texas 75206. Mr. Williams is President, Chief Executive Officer and a Director of the Company. Mr. Williams has not, during the last five years, been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors) or been a party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of such proceeding was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, federal or state securities laws or finding any violation with respect to such laws. Mr. Williams is a citizen of the United States. Item 3. Source and Amount of Funds or Other Consideration. ------------------------------------------------- Effective November 23, 1994, Mr. Williams acquired beneficial ownership of 650,000 shares of Common Stock by virtue of the grant to him of options to purchase such shares (the "Options") under the Company's 1992 Non-Statutory Stock Option Plan and 1994 Non-Statutory Stock Option Plan (collectively, the "Option Plans"). The Options have an exercise price of $29.00 per share, are immediately exercisable and will expire on November 23, 2004. Item 4. Purpose of Transaction. ---------------------- The Options were granted to Mr. Williams pursuant to the terms of the Option Plans. Depending on market conditions and other factors he may deem material to an investment decision, Mr. Williams may purchase additional shares of Common Stock or may dispose of all or a portion of the shares of Common Stock he now beneficially owns or may hereafter acquire. Except as set forth in this Item 4, Mr. Williams does not have any present plans or proposals that relate to or would result in any of the actions specified in clauses (a) through (j) of Item 4 of Schedule 13D. CUSIP NO. 859547-10-1 13D Page 4 of 5 Pages Item 5. Interest in Securities of the Issuer. ------------------------------------ Mr. Williams beneficially owns 1,454,000 shares, or 5.9%, of the Common Stock of the Company. Mr. Williams beneficially owns 1,450,000 of such shares by virtue of his ownership of options. Mr. Williams possesses sole voting power with respect to 4,000 shares of Common Stock and sole dispositive power with respect to 1,454,000 shares of Common Stock. Except as set forth in Item 3 above, no transactions in the Common Stock were effected by Mr. Williams during the last 60 days or since the most recent filing on Schedule 13D, whichever is less. Item 6. Contracts, Arrangements, Understandings or Relationships with Respect --------------------------------------------------------------------- to Securities of the Issuer. - --------------------------- None. Item 7. Material to be Filed as Exhibits. -------------------------------- None. CUSIP NO. 859547-10-1 13D Page 5 of 5 Pages SIGNATURES 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. /s/ Sterling L. Williams Date: December 19, 1994 --------------------------- Sterling L. Williams -----END PRIVACY-ENHANCED MESSAGE-----