-----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, I5jrchMvUkdqZmPOFh2+vOnFQH1n2z5n1mlwgRLFhHFzom370nVSsxTUg2u31Y7O uqoQ/USKdKSy9nVKZGDTjw== 0000912057-97-004003.txt : 19970221 0000912057-97-004003.hdr.sgml : 19970221 ACCESSION NUMBER: 0000912057-97-004003 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19970131 FILED AS OF DATE: 19970211 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: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-12046 FILM NUMBER: 97523395 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 COMPANY DATA: COMPANY CONFORMED NAME: FONG NORMAN CENTRAL INDEX KEY: 0001024741 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] OWNER STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 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 4 1 FORM 4
- -------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION ----------------------------- FORM 4 WASHINGTON, D.C. 20549 OMB APPROVAL - -------- ----------------------------- /x/ CHECK THIS BOX IF NO STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OMB NUMBER: 3235-0287 LONGER SUBJECT TO EXPIRES: SEPTEMBER 30, 1998 SECTION 16. FORM 4 OR Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, ESTIMATED AVERAGE BURDEN FORM 5 OBLIGATIONS MAY Section 17(a) of the Public Utility Holding Company Act of 1935 or HOURS PER RESPONSE .... 0.5 CONTINUE. SEE Section 30(f) of the Investment Company Act of 1940 ----------------------------- INSTRUCTION 1(b). (Print or Type Responses) - ------------------------------------------------------------------------------------------------------------------------------------ 1. Name and Address of Reporting Person* 2. Issuer Name AND Ticker or Trading Symbol 6.Relationship of Reporting Person(s) FWB Software LLC(1) to Issuer (Check all applicable) FWB Software, Inc. StreamLogic Corporation - STLC Director X 10% Owner Fong, Norman ----- ----- - --------------------------------------------------------------------------------------------- Officer (give Other (Last) (First) (Middle) 3. IRS or Social Security 4. Statement for ----- title ----- (specify Number of Reporting Month/Year below) below 185 Constitution Drive, Suite A Person (Voluntary) January 1997 -------------------------------------- - -------------------------------------------- --------------------- 7. Individual or Joint/Group Filing (Street) 5. If Amendment, (Check Applicable Line) Date of Original Form filed by One Reportng Person (Month/Year) --- x Form filed by More than One Menlo Park, CA 94025 November 1996 ---Reporting Person - ------------------------------------------------------------------------------------------------------------------------------------ (City) (State) (Zip) TABLE I - NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED - ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of Security 2. Trans- 3. Trans- 4. Securities Acquired (A) 5. Amount of 6. Owner- 7. Nature (Instr. 3) action action or Disposed of (D) Securities ship of In- Date Code (Instr. 3, 4 and 5) Beneficially Form: direct (Instr. 8) Owned at Direct Bene- (Month/ End of (D) or ficial Day/ ------------------------------------------- Month Indirect Owner- Year) (A) or (I) ship Code V Amount (D) Price (Instr. 3 (Instr. 4) (Instr. 4) and 4) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 1/2/97 S 50,000 D $0.7037 - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 1/3/97 S 50,000 D $0.6875 - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 1/6/97 S 50,000 D $0.6875 - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 1/6/97 S 50,000 D $0.7188 842,123(2) D(3) - ------------------------------------------------------------------------------------------------------------------------------------ Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. * If the form is filed by more than one reporting person, SEE Instruction 4(b)(v). Page 1 of 2
FORM 4 (CONTINUED) TABLE II - DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED (E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES) - ------------------------------------------------------------------------------------------------------------------------ 1. Title of Derivative Security 2. Conver- 3. Trans- 4. Transac- 5. Number of Deriv- 6. Date Exer- (Instr. 3) sion or action tion Code ative Securities Ac- cisable and Ex- Exercise Date (Instr. 8) quired (A) or Dis- piration Date Price of (Month/ posed of (D) (Month/Day/ Deriv- Day/ (Instr. 3, 4, and 5) Year) ative Year) Security ---------------------------------------------------------- Code V (A) (D) Date Expira- Exer- tion cisable Date - ------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------ 7. Title and Amount of Under- 8. Price 9. Number 10. Owner- 11. Na- lying Securities of of deriv- ship ture (Instr. 3 and 4) Deriv- ative Form of In- ative Securi- of De- direct Secur- ties rivative Bene- ity Bene- Secu- ficial (Instr. ficially rity: Own- 5) Owned Direct ership - -------------------------------- at End (D) or (Instr. 4) Amount or of Indi- Title Number of Month rect (I) Shares (Instr. 4) (Instr. 4) - ------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------ Explanation of Responses: (1) FWB Software, LLC is the record holder of the securities. FWB Software, Inc. is the manager of FWB Software, LLC and the holder of 92.5% of the membership interests of FWB Software, LLC. Mr. Fong is the President of FWB Software, LLC and is President and the holder of 90% of the shares of FWB Software, Inc. (2) FWB Software, Inc. disclaims beneficial ownership of 63,159 shares. Mr. Fong disclaims beneficial ownership of 141,550 shares. (3) The beneficial ownership of FWB Software, Inc. and Mr. Fong is indirect. /s/Norman Fong 2/10/97 ----------------------------------- ----------- **Intentional misstatements or omissions of facts constitute Norman Fong, President Date Federal Criminal Violations. SEE 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). FWB Software, Inc., the manager of FWB Software, LLC Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, SEE Instruction 6 for procedure. /s/Norman Fong 2/10/97 ----------------------------------- ------------ Potential persons who are to respond to the collection of information contained Norman Fong, President, FWB Date in this form are not required to respond unless the form displays a currently Software, Inc. valid OMB Number. /s/Norman Fong 2/10/97 ----------------------------------- ------------ Norman Fong Page 2 of 2
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