-----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, ElnrSVUuphPJ0IOM1IPcR/8DLyoyaHvRjJ7hVSms6uhkBjhV0RVro0IWNfICDtqG qf+1bIsdc5yoP52tpAseVA== 0000912057-96-030386.txt : 19961231 0000912057-96-030386.hdr.sgml : 19961231 ACCESSION NUMBER: 0000912057-96-030386 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19961230 SROS: NONE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: STREAMLOGIC CORP CENTRAL INDEX KEY: 0000718865 STANDARD INDUSTRIAL CLASSIFICATION: COMPUTER STORAGE DEVICES [3572] IRS NUMBER: 953093858 STATE OF INCORPORATION: DE FISCAL YEAR END: 0329 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-35028 FILM NUMBER: 96687345 BUSINESS ADDRESS: STREET 1: 21329 NORDHOFF ST CITY: CHATSWORTH STATE: CA ZIP: 91311 BUSINESS PHONE: 8187093300 MAIL ADDRESS: STREET 1: 21329 NORDHOFF STREET CITY: CHATSWORTH STATE: CA ZIP: 91311 FORMER COMPANY: FORMER CONFORMED NAME: MICROPOLIS CORP DATE OF NAME CHANGE: 19920703 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: FONG NORMAN CENTRAL INDEX KEY: 0001024741 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: MCCUTCHEN DOYLE BROWN & ENERSEN LLP STREET 2: 3 EMBARCADERO CENTER CITY: SAN FRANCISCO STATE: CA ZIP: 94111 MAIL ADDRESS: STREET 1: MCCUTCHEN DOYLE BROWN & ENERSEN STREET 2: 3 EMBARCADERO CENTER CITY: SAN FRANCISCO STATE: CA ZIP: 94111 SC 13D/A 1 SCHEDULE 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 AMENDMENT NO. 5 TO SCHEDULE 13D Under the Securities Exchange Act of 1934 StreamLogic Corporation -------------------------------------------------------- (Name of Issuer) Common Stock, $1.00 par value -------------------------------------------------------- (Title of Class of Securities) 863238 10 1 -------------------------------------------------------- (CUSIP Number) Norman Fong 185 Constitution Drive, Suite A Menlo Park, CA 94025 Tel: (415) 463-3500 -------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) December 20, 23, 26, 1996 -------------------------------------------------------- (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 this 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. CUSIP Number 863238 10 1 - ------------------------------------------------------------------------------- (1) Names of Reporting Persons. Norman Fong S.S. or I.R.S. Identification (No social security or other IRS Nos. of Above Persons identification number required) - ------------------------------------------------------------------------------- (2) Check the Appropriate Box if a (a) / / Member of a Group (see (b) / / Instructions) Not Applicable - ------------------------------------------------------------------------------- (3) SEC Use Only - ------------------------------------------------------------------------------- (4) Source of Funds SC (See Instructions) - ------------------------------------------------------------------------------- (5) Check if Disclosure of Legal Proceedings is Required Not Applicable Pursuant to Items 2(d) or 2(e) - ------------------------------------------------------------------------------- (6) Citizenship or Place of United States Organization - ------------------------------------------------------------------------------- Number of Shares (7) Sole Voting Power None Beneficially Owned -------------------------------------------------- by Each Reporting Person With (8) Shared Voting Power 1,242,123 -------------------------------------------------- (9) Sole Dispositive Power None -------------------------------------------------- (10) Shared Dispositive Power 1,242,123 -------------------------------------------------- - ------------------------------------------------------------------------------- (11) Aggregate Amount Beneficially 1,242,123 Owned by Each Reporting Person - ------------------------------------------------------------------------------- (12) Check if the Aggregate Amount Not Applicable in Row (11) Excludes Certain Shares (See Instructions) - ------------------------------------------------------------------------------- (13) Percent of Class Represented 6.8% by Amount in Row (11) - ------------------------------------------------------------------------------- (14) Type of Reporting Person IN (See Instructions) - ------------------------------------------------------------------------------- 2 CUSIP Number 863238 10 1 - ------------------------------------------------------------------------------- (1) Names of Reporting Persons. FWB Software, Inc. S.S. or I.R.S. Identification (No social security or other IRS Nos. of Above Persons identification number required) - ------------------------------------------------------------------------------- (2) Check the Appropriate Box if a (a) / / Member of a Group (see (b) / / Instructions) Not Applicable - ------------------------------------------------------------------------------- (3) SEC Use Only - ------------------------------------------------------------------------------- (4) Source of Funds SC (See Instructions) - ------------------------------------------------------------------------------- (5) Check if Disclosure of Legal Proceedings is Required Not Applicable Pursuant to Items 2(d) or 2(e) - ------------------------------------------------------------------------------- (6) Citizenship or Place of California Organization - ------------------------------------------------------------------------------- Number of Shares (7) Sole Voting Power None Beneficially Owned -------------------------------------------------- by Each Reporting Person With (8) Shared Voting Power 1,242,123 -------------------------------------------------- (9) Sole Dispositive Power None -------------------------------------------------- (10) Shared Dispositive Power 1,242,123 -------------------------------------------------- - ------------------------------------------------------------------------------- (11) Aggregate Amount Beneficially 1,242,123 shares Owned by Each Reporting Person - ------------------------------------------------------------------------------- (12) Check if the Aggregate Amount Not Applicable in Row (11) Excludes Certain Shares (See Instructions) - ------------------------------------------------------------------------------- (13) Percent of Class Represented 6.8% by Amount in Row (11) - ------------------------------------------------------------------------------- (14) Type of Reporting Person CO (See Instructions) - ------------------------------------------------------------------------------- 3 CUSIP Number 863238 10 1 - ------------------------------------------------------------------------------- (1) Names of Reporting Persons. FWB Software, LLC S.S. or I.R.S. Identification (No social security or other IRS Nos. of Above Persons identification number required) - ------------------------------------------------------------------------------- (2) Check the Appropriate Box if a (a) / / Member of a Group (see (b) / / Instructions) Not Applicable - ------------------------------------------------------------------------------- (3) SEC Use Only - ------------------------------------------------------------------------------- (4) Source of Funds SC (See Instructions) - ------------------------------------------------------------------------------- (5) Check if Disclosure of Legal Proceedings is Required Not Applicable Pursuant to Items 2(d) or 2(e) - ------------------------------------------------------------------------------- (6) Citizenship or Place of California Organization - ------------------------------------------------------------------------------- Number of Shares (7) Sole Voting Power None Beneficially Owned -------------------------------------------------- by Each Reporting Person With (8) Shared Voting Power 1,242,123 -------------------------------------------------- (9) Sole Dispositive Power None -------------------------------------------------- (10) Shared Dispositive Power 1,242,123 -------------------------------------------------- - ------------------------------------------------------------------------------- (11) Aggregate Amount Beneficially 1,242,123 shares Owned by Each Reporting Person - ------------------------------------------------------------------------------- (12) Check if the Aggregate Amount Not Applicable in Row (11) Excludes Certain Shares (See Instructions) - ------------------------------------------------------------------------------- (13) Percent of Class Represented 6.8% by Amount in Row (11) - ------------------------------------------------------------------------------- (14) Type of Reporting Person OO (See Instructions) - ------------------------------------------------------------------------------- 4 ITEM 1. SECURITY AND ISSUER. The class of equity securities to which this Schedule 13D relates is the common stock, par value $1.00 (the "Common Stock"), issued by StreamLogic Corporation (the "Issuer"), whose executive offices are located at 21329 Nordhoff Street, Chatsworth, California 91311. ITEM 2. IDENTITY AND BACKGROUND. The undersigned are filing this Amendment No. 5 to Schedule 13D to report that the undersigned have sold 200,000 shares of the issuer on December 20, 125,000 shares on December 23, and 650,000 shares on December 19, 1996. ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION. No change from Amendment No. 1. ITEM 4. PURPOSE OF TRANSACTION. The Reporting Persons hold the Shares for investment. The Reporting Persons presently intend to continue to dispose of some or all of the Shares, and presently do not intend to acquire any further shares. The Reporting Persons do not have any plans or proposals which relate to or which would result in any of the actions specified in clauses (a) through (j) of Item 4 of Schedule 13D. ITEM 5. INTEREST IN SECURITIES OF THE ISSUER. (a) As of the date of this filing, the Reporting Persons beneficially own (as that term is defined in Rule 13d-3) 1,242,123 shares of Common Stock, representing approximately 6.8% of the total number of shares of Common Stock outstanding immediately following the contribution of the Shares to the LLC, according to information provided by Issuer. The record owner of such shares is the LLC. (b) The Reporting Persons together have sole voting and dispositive power with respect to the Shares. (c) None. (d) No other person is known to have the right to receive or the power to direct the receipt of dividends, from, or the proceeds from the sale of, the Shares. (e) Not applicable. ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDING OR RELATIONSHIPS WITH RESPECT TO SECURITIES OF THE ISSUER None ITEM 7. MATERIAL TO BE FILED AS EXHIBITS. None 5 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. This statement is filed on behalf of each of the undersigned. December 27, 1996 /s/ Norman Fong ---------------------------------------- FWB SOFTWARE, INC. By: /s/ Norman Fong ------------------------------------- Norman Fong Its: President ------------------------------------ FWB SOFTWARE, LLC By: FWB Software, Inc., its manager By: /s/ Norman Fong ------------------------------------- Its: President ------------------------------------ 6 JOINT FILING AGREEMENT The undersigned hereby agree that the attached statement on Schedule 13D is filed on behalf of each of them. December 27, 1996 /s/ Norman Fong ---------------------------------------- Norman Fong FWB SOFTWARE, INC. By: /s/ Norman Fong ------------------------------------- Its: President ------------------------------------ FWB SOFTWARE, LLC By: FWB Software, Inc., its manager By: /s/ Norman Fong ------------------------------------- Its: President ------------------------------------ 7 -----END PRIVACY-ENHANCED MESSAGE-----