-----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, R7K+AIPUTZyZhZoI+LV7+AuuubD3df14FnLY5k44oBRRsZ32zwH4Yfxw/DDGDM2F 7UYVJ+XFj1Y/OAjlHJ969A== 0000891618-97-000746.txt : 19970222 0000891618-97-000746.hdr.sgml : 19970222 ACCESSION NUMBER: 0000891618-97-000746 CONFORMED SUBMISSION TYPE: SC 13G/A CONFIRMING COPY: PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970219 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: BRODERBUND SOFTWARE INC /DE/ CENTRAL INDEX KEY: 0000812490 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 942768218 STATE OF INCORPORATION: DE FISCAL YEAR END: 0831 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-41968 FILM NUMBER: 00000000 BUSINESS ADDRESS: STREET 1: 500 REDWOOD BLVD CITY: NOVATO STATE: CA ZIP: 94948-6121 BUSINESS PHONE: 4153824400 MAIL ADDRESS: STREET 1: 500 REDWOOD BLVD CITY: NOVATO STATE: CA ZIP: 94948-6121 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: CARLSTON DOUGLAS G CENTRAL INDEX KEY: 0000902766 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: BRODERBUND SOFTWARE STREET 2: 500 REDWOOD BLVD CITY: NOVATO STATE: CA ZIP: 94947 BUSINESS PHONE: 4153824652 SC 13G/A 1 AMENDMENT NO. 5 TO SCHEDULE 13G 1 THIS DOCUMENT IS A COPY OF THE SCHEDULE 13G PREVIOUSLY FILED ON FEBRUARY 14, 1997 PURSUANT TO A RULE 201 TEMPORARY HARDSHIP EXEMPTION. -------------------------- OMB APPROVAL -------------------------- OMB NUMBER: 3235-0145 Expires: December 31, 1997 Estimated average burden hours per response...14.90 -------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 5 )* Broderbund Software, Inc. ----------------------------------------- (Name of Issuer) Common Stock ----------------------------------------- (Title of Class of Securities) 112014 10 5 ----------------------------------------- (CUSIP Nummber) *The remainder of this cover page shall be filled out for a reporting person's initial filing of this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in 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). SEC 1745 (2-95) Page 1 of 5 Pages 2 CUSIP NO. 112014 10 5 13G PAGE 2 OF 5 PAGES 1 NAME OF REPORTING PERSON S.S OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Douglas G. Carlston SSN####-##-#### 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] 3 SEC USE ONLY 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States of America 5 SOLE VOTING POWER 2,040,041** NUMBER OF 6 SHARED VOTING POWER SHARES BENEFICIALLY OWNED BY 0 EACH REPORTING 7 SOLE DISPOSITIVE POWER PERSON WITH 2,040,041** 8 SHARED DISPOSITIVE POWER 0 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,047,541** 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES * 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 9.9% 12 TYPE OF REPORTING PERSON* IN *SEE INSTRUCTION BEFORE FILLING OUT **See Item 4(c) 3 CUSIP No. 112014 10 5 Page 3 of 5 Pages Item 1. (a) Broderbund Software, Inc. (b) 500 Redwood Boulevard, Novato, CA 94947 Item 2. (a) Douglas G. Carlston (b) Broderbund Software, Inc., 500 Redwood Boulevard, Novato, CA 94947 (c) United States of America (d) Common Stock (e) 112014 10 5 Item 3. If this statement is filed pursuant to Rule 13-1(b), or 13d-2(b), check whether the person is a: This statement is not being filed pursuant to Rule 13d-1(b) or 13d-2(b). Item 4. Ownership. (a) 2,047,541 Shares of Common Stock (b) 9.9% of the outstanding shares of Common Stock of the Issuer based on 20,698,509 shares of the Issuer's Common Stock outstanding as of November 29, 1996, according to the Issuer's quarterly report on Form 10-Q for the quarter ended November 30, 1996, filed January 14, 1997. 4 CUSIP No. 112014 10 5 Page 4 of 5 Pages (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: 2,040,041 shares (ii) shared power to vote or to direct the vote: 0 shares (iii) sole power to dispose or to direct the disposition of: 2,040,041 shares (iv) shared power to dispose or to direct the disposition of: 0 shares **Aggregate number of shares beneficially owned includes 7,500 option shares exercisable within 60 days after December 31, 1996, which shares have not been included in the calculations with regard to number of shares beneficially owned with voting or dispositive power. Item 5. Ownership of Five Percent or Less of a Class If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more that five percent of the class of securites, check the following. [ ] Item 6. Ownership of More Than Five Percent on Behalf of Another Person. N/A. Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company. N/A. Item 8. Identification and Classification of Members of the Group N/A. Item 9. Notice of Dissolution of Group N/A. 5 CUSIP No. 112014 10 5 Page 5 of 5 Pages Item 10. N/A. 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. February 13, 1997 ------------------------------------------ Date /s/ Douglas G. Carlston ------------------------------------------ Signature Douglas G. Carlston, Chairman of the Board ------------------------------------------ Name/Title 6 Item 9. Notice of Dissolution of Group: Item 10. Certification: By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purpose or effect. 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. By: ------------------------ Title: Dated: Page 6 of 6 Pages -----END PRIVACY-ENHANCED MESSAGE-----