-----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, I/hx59nL8lE5GzPNdYuFUy88ljaL1pI7RTlQWc3s4VT08yvGOmVz2TIWaruDU5IW 7GH4+xy8Sl+ElK9q3GODZQ== 0001047469-98-009216.txt : 19980311 0001047469-98-009216.hdr.sgml : 19980311 ACCESSION NUMBER: 0001047469-98-009216 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 3 FILED AS OF DATE: 19980310 SROS: NASD GROUP MEMBERS: MUTUAL MANAGEMENT CORP. GROUP MEMBERS: SALOMON SMITH BARNEY HOLDINGS INC. GROUP MEMBERS: SMITH BARNEY INC. GROUP MEMBERS: TRAVELERS GROUP INC SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: GEOWORKS /CA/ CENTRAL INDEX KEY: 0000922285 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 942920371 STATE OF INCORPORATION: CA FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-43791 FILM NUMBER: 98561163 BUSINESS ADDRESS: STREET 1: 960 ATLANTIC AVE CITY: ALAMEDIA STATE: CA ZIP: 94501 BUSINESS PHONE: 5108141660 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: TRAVELERS GROUP INC CENTRAL INDEX KEY: 0000831001 STANDARD INDUSTRIAL CLASSIFICATION: FIRE, MARINE & CASUALTY INSURANCE [6331] IRS NUMBER: 521568099 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 388 GREENWICH ST STREET 2: LEGAL DEPT 20TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10013 BUSINESS PHONE: 2128168000 MAIL ADDRESS: STREET 1: 388 GREENWICH ST STREET 2: LEGAL DEPT 20TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10013 FORMER COMPANY: FORMER CONFORMED NAME: TRAVELERS INC DATE OF NAME CHANGE: 19940103 FORMER COMPANY: FORMER CONFORMED NAME: PRIMERICA CORP /NEW/ DATE OF NAME CHANGE: 19920703 FORMER COMPANY: FORMER CONFORMED NAME: COMMERCIAL CREDIT GROUP INC DATE OF NAME CHANGE: 19890102 SC 13G/A 1 SCHEDULE 13G SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2 ) --- GEOWORKS CORPORATION --------------------------------------- (Name of Issuer) Common Stock ------------------------------------------------- (Title of Class of Securities) 373692-10-2 ------------------ (CUSIP Number) *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 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). (Continued on following pages(s)) SCHEDULE 13G CUSIP NO. 373692-10-2 - -------------------------------------------------------------------------------- 1) Name of Reporting Person Smith Barney Inc. S.S. or I.R.S Identification 13-1912900 No. of Above Person - -------------------------------------------------------------------------------- 2) Check the Appropriate Box (a) if a Member of a Group ---------------------------- (See Instructions) (b) ---------------------------- - -------------------------------------------------------------------------------- 3) SEC Use Only - -------------------------------------------------------------------------------- 4) Citizenship or Place of Organization Delaware - -------------------------------------------------------------------------------- Number of Shares (5) Sole Voting Power 0 Beneficially Owned (6) Shared Voting Power 1,886,810 by Each Reporting (7) Sole Dispositive Power 0 Person with (8) Shared Dispositive Power 1,886,810 - ------------------------------------------------------------------------------- 9) Aggregate Amount Beneficially 1,886,810 Owned by Each Reporting Person - -------------------------------------------------------------------------------- 10) Check if the Aggregate Amount in Row 9 Excludes Certain Shares (See Instructions) - -------------------------------------------------------------------------------- 11) Percent of Class Represented 11.9% by Amount in Row 9 - -------------------------------------------------------------------------------- 12) Type of Reporting Person BD (See Instructions) - -------------------------------------------------------------------------------- SCHEDULE 13G CUSIP NO. 373692-10-2 - -------------------------------------------------------------------------------- 1) Name of Reporting Person Mutual Management Corp. S.S. or I.R.S Identification 13-2616913 No. of Above Person - -------------------------------------------------------------------------------- 2) Check the Appropriate Box (a) ---------------------------- if a Member of a Group (See Instructions) (b) ---------------------------- - -------------------------------------------------------------------------------- 3) SEC Use Only - -------------------------------------------------------------------------------- 4) Citizenship or Place of Organization Delaware - -------------------------------------------------------------------------------- Number of Shares (5) Sole Voting Power 0 Beneficially Owned (6) Shared Voting Power 1,011,700 by Each Reporting (7) Sole Dispositive Power 0 Person with (8) Shared Dispositive Power 1,011,700 - -------------------------------------------------------------------------------- 9) Aggregate Amount Beneficially 1,011,700 Owned by Each Reporting Person - -------------------------------------------------------------------------------- 10) Check if the Aggregate Amount in Row 9 Excludes Certain Shares (See Instructions) - -------------------------------------------------------------------------------- 11) Percent of Class Represented 6.4% by Amount in Row 9 - -------------------------------------------------------------------------------- 12) Type of Reporting Person IA (See Instructions) - -------------------------------------------------------------------------------- SCHEDULE 13G CUSIP NO. 373692-10-2 - -------------------------------------------------------------------------------- 1) Name of Reporting Person Salomon Smith Barney Holdings Inc. S.S. or I.R.S Identification 22-1660266 No. of Above Person - -------------------------------------------------------------------------------- 2) Check the Appropriate Box (a) if a Member of a Group ---------------------------- (See Instructions) (b) ---------------------------- - -------------------------------------------------------------------------------- 3) SEC Use Only - -------------------------------------------------------------------------------- 4) Citizenship or Place of Organization Delaware - -------------------------------------------------------------------------------- Number of Shares (5) Sole Voting Power 0 Beneficially Owned (6) Shared Voting Power 2,898,510 by Each Reporting (7) Sole Dispositive Power 0 Person with (8) Shared Dispositive Power 2,898,510 - -------------------------------------------------------------------------------- 9) Aggregate Amount Beneficially 2,898,510 Owned by Each Reporting Person - -------------------------------------------------------------------------------- 10) Check if the Aggregate Amount in Row 9 Excludes Certain Shares (See Instructions) - -------------------------------------------------------------------------------- 11) Percent of Class Represented 18.4% by Amount in Row 9 - -------------------------------------------------------------------------------- 12) Type of Reporting Person CO (See Instructions) - -------------------------------------------------------------------------------- SCHEDULE 13G CUSIP NO. 373692-10-2 - -------------------------------------------------------------------------------- 1) Name of Reporting Person Travelers Group Inc. S.S. or I.R.S Identification 52-1568099 No. of Above Person - -------------------------------------------------------------------------------- 2) Check the Appropriate Box (a) if a Member of a Group ---------------------------- (See Instructions) (b) ---------------------------- - -------------------------------------------------------------------------------- 3) SEC Use Only - -------------------------------------------------------------------------------- 4) Citizenship or Place of Organization Delaware - -------------------------------------------------------------------------------- Number of Shares (5) Sole Voting Power 0 Beneficially Owned (6) Shared Voting Power 2,898,510 by Each Reporting (7) Sole Dispositive Power 0 Person with (8) Shared Dispositive Power 2,898,510 - -------------------------------------------------------------------------------- 9) Aggregate Amount Beneficially 2,898,510 Owned by Each Reporting Person - -------------------------------------------------------------------------------- 10) Check if the Aggregate Amount in Row 9 Excludes Certain Shares (See Instructions) - -------------------------------------------------------------------------------- 11) Percent of Class Represented 18.4% by Amount in Row 9 - -------------------------------------------------------------------------------- 12) Type of Reporting Person HC (See Instructions) - -------------------------------------------------------------------------------- Item 1(a) Name of Issuer: Geoworks Corporation Item 1(b) Address of Issuer's Principal Executive Offices: 960 Atlantic Avenue Alameda, CA 94501 Item 2(a) Names of Persons Filing: Smith Barney Inc. ("SB") Mutual Management Corp. ("MMC") Salomon Smith Barney Holdings Inc. ("SSB Holdings") Travelers Group Inc. ("TRV") Item 2(b) Address of Principal Business Office or, if none, Residence: The address of the principal business office of each of SB, MMC, SSB Holdings and TRV is: 388 Greenwich Street New York, NY 10013 Item 2(c) Citizenship: SB, MMC, SSB Holdings and TRV are Delaware corporations. Item 2(d) Title of Class of Securities: Common Stock Item 2(e) CUSIP Number: 373692-10-2 Item 3. If this statement is filed pursuant to Rules 13d-1(b), or 13d-2(b), check whether the person filing is a: (a) [ X ] Broker or Dealer registered under Sec. 15 of the Act (b) [ ] Bank as defined in Sec. 3(a)(6) of the Act (c) [ ] Insurance Company as defined in Sec. 3(a)(19) of the Act (d) [ ] Investment Company registered under Sec. 8 of the Investment Company Act (e) [ X ] Investment Adviser registered under Sec. 203 of the Investment Advisers Act of 1940 (f) [ ] Employee Benefit Plan, Pension Fund which is subject to the provisions of the Employee Retirement Income Security Act of 1974 or Endowment Fund; see Sec. 240.13d-1(b)(1)(ii)(F) (g) [ X ] Parent Holding Company, in accordance with Sec. 240.13d- 1(b)(ii)(G) (Note: See Item 7) (h) [ ] Group, in accordance with Sec. 240.13d-1(b)(1)(ii)(H) Item 4. Ownership (as of February 28, 1998) (a) Amount Beneficially Owned: See Item 9 of cover pages (b) Percent of Class: See Item 11 of cover pages (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote (ii) shared power to vote or to direct the vote (iii) sole power to dispose or to direct the disposition of (iv) shared power to dispose or to direct the disposition of See Items 5-8 of cover pages 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 than five percent of the class of securities, check the following [ ]. Item 6. Ownership of More than Five Percent on Behalf of Another Person Not Applicable. Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company SSB Holdings is the sole stockholder of MMC and the sole common stockholder of SB. TRV is the sole stockholder of SSB Holdings. Item 8. Identification and Classification of Members of the Group Not Applicable. Item 9. Notice of Dissolution of Group Not Applicable. Item 10. Certification By signing below I certify that, to the best of my knowledge, 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 purposes 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. Date: March 9, 1998 SMITH BARNEY INC. By: /s/ Howard M. Darmstadter --------------------------- Name: Howard M. Darmstadter Title: Assistant Secretary MUTUAL MANAGEMENT CORP. By: /s/ Christina T. Sydor ------------------------------ Name: Christina T. Sydor Title: Secretary SALOMON SMITH BARNEY HOLDINGS INC. By: /s/ Howard M. Darmstadter --------------------------- Name: Howard M. Darmstadter Title: Assistant Secretary TRAVELERS GROUP INC. By: /s/ Charles J. Gallo, Jr. --------------------------- Name: Charles J. Gallo, Jr. Title: Assistant Controller EXHIBIT INDEX TO SCHEDULE 13G ----------------------------- EXHIBIT 1 - --------- Agreement among SB, MMC, SSB Holdings and TRV as to joint filing of Schedule 13G EXHIBIT 2 - --------- Disclaimer of beneficial ownership by SSB Holdings and TRV EX-99.1 2 EXHIBIT 99.1 EXHIBIT 1 --------- AGREEMENT AS TO JOINT FILING OF SCHEDULE 13G -------------------------------------------- Each of the undersigned hereby affirms that it is individually eligible to use Schedule 13G, and agrees that this Schedule 13G is filed on its behalf. Date: March 9, 1998 SMITH BARNEY INC. By: /s/ Howard M. Darmstadter --------------------------- Name: Howard M. Darmstadter Title: Assistant Secretary MUTUAL MANAGEMENT CORP. By: /s/ Christina T. Sydor ------------------------------ Name: Christina T. Sydor Title: Secretary SALOMON SMITH BARNEY HOLDINGS INC. By: /s/ Howard M. Darmstadter --------------------------- Name: Howard M. Darmstadter Title: Assistant Secretary TRAVELERS GROUP INC. By: /s/ Charles J. Gallo, Jr. --------------------------- Name: Charles J. Gallo, Jr. Title: Assistant Controller EX-99.2 3 EXHIBIT 99.2 EXHIBIT 2 --------- DISCLAIMER OF BENEFICIAL OWNERSHIP ---------------------------------- Each of the undersigned disclaims beneficial ownership of the securities referred to in the Schedule 13G to which this exhibit is attached, and the filing of this Schedule 13G shall not be construed as an admission that any of the undersigned is, for the purpose of Section 13(d) or 13(g) of the Securities Exchange Act of 1934, as amended, the beneficial owner of any securities covered by this Schedule 13G. Date: March 9, 1998 SALOMON SMITH BARNEY HOLDINGS INC. By: /s/ Howard M. Darmstadter --------------------------- Name: Howard M. Darmstadter Title: Assistant Secretary TRAVELERS GROUP INC. By: /s/ Charles J. Gallo, Jr. --------------------------- Name: Charles J. Gallo, Jr. Title: Assistant Controller -----END PRIVACY-ENHANCED MESSAGE-----