-----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, PR69kmXXVY+h/XkIuQT59cW3nc+9qvkiZgEDExIK4EgWiYsaE78f6SpknMiPEYWc LpHL6i1OXGBY5XnhC63p/Q== 0000912057-97-000573.txt : 19970113 0000912057-97-000573.hdr.sgml : 19970113 ACCESSION NUMBER: 0000912057-97-000573 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970110 SROS: NONE GROUP MEMBERS: FONG NORMAN GROUP MEMBERS: FWB SOFTWARE, INC. GROUP MEMBERS: FWB SOFTWARE, LLC GROUP MEMBERS: NORMAN FONG 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: 97503508 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/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 AMENDMENT NO. 6 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 27, 30, 31, 1996; January 2, 3, 6, 8, 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 / /. 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. (Continued on following page(s)) Page 1 of 7 Pages --- CUSIP No. 863238 10 1 13D Page 2 of 7 Pages ----------- --- --- CUSIP Number 863238 10 1 - ------------------------------------------------------------------------------- (1) Names of Reporting Persons. S.S. or I.R.S. Identification Nos. of Above Persons Norman Fong (No social security or other IRS identification number required) - ------------------------------------------------------------------------------- (2) Check the Appropriate Box if a Member (a) / / of a Group (b) / / Not Applicable - ------------------------------------------------------------------------------- (3) SEC Use Only - ------------------------------------------------------------------------------- (4) Source of Funds SC - ------------------------------------------------------------------------------- (5) Check if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) Not Applicable - ------------------------------------------------------------------------------- (6) Citizenship or Place of Organization United States - ------------------------------------------------------------------------------- Number of Shares (7) Sole Voting Beneficially Owned Power None by Each Reporting -------------------------------------------------- Person With (8) Shared Voting Power 827,123 -------------------------------------------------- (9) Sole Dispositive Power None -------------------------------------------------- (10) Shared Dispositive Power 827,123 - ------------------------------------------------------------------------------- (11) Aggregate Amount Beneficially Owned by Each Reporting Person 827,123 shares - ------------------------------------------------------------------------------- (12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares Not Applicable - ------------------------------------------------------------------------------- (13) Percent of Class Represented by Amount in Row (11) 4.5% - ------------------------------------------------------------------------------- (14) Type of Reporting Person IN - ------------------------------------------------------------------------------- Page 3 of 7 Pages --- --- CUSIP Number 863238 10 1 - ------------------------------------------------------------------------------- (1) Names of Reporting Persons. S.S. or I.R.S. Identification Nos. of Above Persons FWB Software, Inc. (No social security or other IRS identification number required) - ------------------------------------------------------------------------------- (2) Check the Appropriate Box if a Member (a) / / of a Group (b) / / Not Applicable - ------------------------------------------------------------------------------- (3) SEC Use Only - ------------------------------------------------------------------------------- (4) Source of Funds SC - ------------------------------------------------------------------------------- (5) Check if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) Not Applicable - ------------------------------------------------------------------------------- (6) Citizenship or Place of Organization California - ------------------------------------------------------------------------------- Number of Shares (7) Sole Voting Beneficially Owned Power None by Each Reporting -------------------------------------------------- Person With (8) Shared Voting Power 827,123 -------------------------------------------------- (9) Sole Dispositive Power None -------------------------------------------------- (10) Shared Dispositive Power 827,123 - ------------------------------------------------------------------------------- (11) Aggregate Amount Beneficially Owned by Each Reporting Person 827,123 shares - ------------------------------------------------------------------------------- (12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares Not Applicable - ------------------------------------------------------------------------------- (13) Percent of Class Represented by Amount in Row (11) 4.5% - ------------------------------------------------------------------------------- (14) Type of Reporting Person CO - ------------------------------------------------------------------------------- Page 4 of 7 Pages --- --- CUSIP Number 863238 10 1 - ------------------------------------------------------------------------------- (1) Names of Reporting Persons. S.S. or I.R.S. Identification Nos. of Above Persons FWB Software, LLC (No social security or other IRS identification number required) - ------------------------------------------------------------------------------- (2) Check the Appropriate Box if a Member (a) / / of a Group (b) / / Not Applicable - ------------------------------------------------------------------------------- (3) SEC Use Only - ------------------------------------------------------------------------------- (4) Source of Funds SC - ------------------------------------------------------------------------------- (5) Check if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) Not Applicable - ------------------------------------------------------------------------------- (6) Citizenship or Place of Organization CALIFORNIA - ------------------------------------------------------------------------------- Number of Shares (7) Sole Voting Beneficially Owned Power None by Each Reporting -------------------------------------------------- Person With (8) Shared Voting Power 827,123 -------------------------------------------------- (9) Sole Dispositive Power None -------------------------------------------------- (10) Shared Dispositive Power 827,123 - ------------------------------------------------------------------------------- (11) Aggregate Amount Beneficially Owned by Each Reporting Person 827,123 shares - ------------------------------------------------------------------------------- (12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares Not Applicable - ------------------------------------------------------------------------------- (13) Percent of Class Represented by Amount in Row (11) 4.5% - ------------------------------------------------------------------------------- (14) Type of Reporting Person OO - ------------------------------------------------------------------------------- Page 5 of 7 Pages --- --- 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. 6 to Schedule 13D to report that the undersigned sold 100,000 shares of the issuer on December 27; 50,000 shares on December 30; 50,000 shares on December 31, 1996; 50,000 shares on January 2; 50,000 shares on January 3; 100,000 shares on January 6; and 15,000 shares on January 8, 1997. 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) 827,123 shares of Common Stock, representing approximately 4.5% 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. Accordingly, on January 6, 1997, the Reporting Persons ceased to be subject to reporting requirements as five percent shareholders. (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) The reporting persons ceased to be the beneficial owners of more than five percent of the class of securities on January 6, 1997. ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT TO SECURITIES OF THE ISSUER. None ITEM 7. MATERIAL TO BE FILED AS EXHIBITS. None Page 6 of 7 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. January 9, 1997 /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 --------------------------------- Page 7 of 7 Pages --- --- JOINT FILING AGREEMENT The undersigned hereby agree that the attached statement on Schedule 13D is filed on behalf of each of them. January 9, 1997 /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 -------------------------------- -----END PRIVACY-ENHANCED MESSAGE-----