-----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, VSib+/CA643t8Vgf3RdaznRAWCW7CasreS7kJTLOofg1GyRgq1cOK/tN+WgF5IsC EN7M/m2umEiMdr/ReEQsag== 0000842325-98-000004.txt : 19980217 0000842325-98-000004.hdr.sgml : 19980217 ACCESSION NUMBER: 0000842325-98-000004 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 19980212 SROS: NASD GROUP MEMBERS: BLAIR D H & CO INC/NY/ GROUP MEMBERS: KALMAN RENOV GROUP MEMBERS: KENTON E. WOOD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: NOTIFY CORP CENTRAL INDEX KEY: 0001031980 STANDARD INDUSTRIAL CLASSIFICATION: TELEPHONE & TELEGRAPH APPARATUS [3661] IRS NUMBER: 770382248 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-52797 FILM NUMBER: 98535636 BUSINESS ADDRESS: STREET 1: 1054 S DE ANZA BLVD., STE 105 CITY: SAN JOSE STATE: CA ZIP: 95129 BUSINESS PHONE: 4087777927 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: BLAIR D H & CO INC/NY/ CENTRAL INDEX KEY: 0000842325 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 132797175 STATE OF INCORPORATION: NY FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 44 WALL ST CITY: NEW YORK STATE: NY ZIP: 10005 BUSINESS PHONE: 2129682000 SC 13G 1 SCHEDULE 13G SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.___________)* Notify Corporation ----------------------------------------------------- (Name of Issuer) Common Stock, $.001 par value ------------------------------------------------------------- (Title of Class of Securities) 669956104 ----------------------------------------------------- (CUSIP Number) Check the following box if a fee is being paid with this statement [ ]. (A fee is not required only if the filing 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.) *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). CUSIP No. 669956104 13G Page 2 of 7 Pages - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON D.H. Blair & Co., Inc. - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION New York - -------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES 381,030 BENEFICIALLY -------------------------------------------------------------- OWNED BY 6 SHARED VOTING POWER EACH 0 REPORTING -------------------------------------------------------------- PERSON 7 SOLE DISPOSITIVE POWER WITH 381,030 -------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 0 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 381,030 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 9.7% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* BD - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT CUSIP No. 669956104 13G Page 3 of 7 Pages - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Kenton Wood - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Great Britain - -------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES 4,000 BENEFICIALLY -------------------------------------------------------------- OWNED BY 6 SHARED VOTING POWER EACH 381,030 REPORTING -------------------------------------------------------------- PERSON 7 SOLE DISPOSITIVE POWER WITH 4,000 -------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 381,030 - ---------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 385,030 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 9.8% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT CUSIP No. 669956104 13G Page 4 of 7 Pages - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Kalman Renov - -------------------------------------------------------------------------------- 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 - -------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES 10,000 BENEFICIALLY -------------------------------------------------------------- OWNED BY 6 SHARED VOTING POWER EACH 381,030 REPORTING -------------------------------------------------------------- PERSON 7 SOLE DISPOSITIVE POWER WITH 10,000 -------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 381,030 - ---------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 391,030 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* X - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 9.9% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT Page 5 of 7 pages Item 1. (a) Name of Issuer: Notify Corporation (b) Address of Issuer's Principal Executive Offices: 1054 S. DeAnza Blvd. Suite 105 San Jose, California 95129 Item 2. (a) Name of Person Filing: This statement is filed jointly by D.H. Blair & Co., Inc. ("Blair"), Kenton E. Wood ("Wood"), and Kalman Renov ("Renov") (collectively, the "Reporting Parties"). Wood is Chairman and Chief Executive Officer of Blair. Renov is a Vice Chairman of Blair. See attached Exhibit A which is a copy of their agreement in writing to file this statement on behalf of each of them. (b) Address of Principal Business Office or, if None, Residence: The Reporting Parties' business address is 44 Wall Street, New York, NY 10005. (c) Citizen: Blair is incorporated in the State of New York, Wood is a citizen of Great Britain, and Renov is a citizen of the United States. (d) Title of Class of Securities: Common Stock, $.001 par value ("shares"). (e) CUSIP#: 669956104 Item 3. (a) Blair is a broker-dealer registered under Section 15 of the Securities Exchange Act. Item 4. Ownership: (a) (b) (i) As of December 31, 1997, Blair may be deemed to beneficially own 381,030 shares or 9.7% of the Issuer's shares issued and outstanding as follows: 60,515 shares, 24,675 Class A Warrants (1), and 147,920 Units (1) held by Blair as market- maker. (ii) As of December 31, 1997, Wood may be deemed to beneficially own 385,030 shares or 9.8% of the Issuer's shares issued and outstanding as follows: 381,030 shares held by Blair as market-maker as described in (i) above, and 2,000 Units held in a custodial account pursuant to the Uniform Gifts to Minors Act (New York). (iii) As of December 31, 1997, Renov may be deemed to beneficially own 391,030 (2) shares or 9.9% of the Issuer's shares issued and outstanding as follows: 381,030 shares held by Blair as market-maker as described in (i) above, and 10,000 shares owned directly by him. _____________________________________________________________________________ (1) Each Unit consists of one share and one Class A Warrant. Each Class A Warrant entitles the holder to purchase one share at a price of $6.50, subject to adjustment, until August 28, 2002. (2) Not included are 2,000 Units owned by a partnership, some of whose limited partners are Renov's wife and some of his children. Renov does not have voting or dispositive power over securities owned by this partnership. Page 6 of 7 pages (c) Wood, as Chairman of the Board of Directors of Blair, shares voting and dispositive power over securities owned by Blair with its Board of Directors, of which Renov is a member. Wood and Renov each has sole voting and dispositive power over securities owned directly by either of them. Item 5. Ownership of Five Percent or Less of a Class: Not applicable. 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: Not applicable. 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 we certify that to the best of our 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 participant in any transaction having such purpose of effect. EXHIBIT INDEX ------------- EXHIBIT A - Agreement by the Reporting Parties to file this Schedule 13G on behalf of each of them. SIGNATURES After reasonable inquiry and to the best knowledge and belief of the Reporting Persons, each such person or entity certifies that the information set forth in this statement is true, complete and correct. D.H. BLAIR & CO., INC. /s/ Kenton E. Wood Dated: February 10, 1998 By:________________________________ New York, New York Kenton E. Wood Chairman /s/ Kenton E. Wood Dated: February 10, 1998 _________________________________ New York, New York Kenton E. Wood /s/ Kalman Renov Dated: February 10, 1998 _________________________________ New York, New York Kalman Renov EX-99 2 AGREEMENT Page 7 of 7 Pages EXHIBIT A AGREEMENT JOINT FILING OF SCHEDULE 13G The undersigned hereby agree to jointly prepare and file with regulatory authorities a Schedule 13G and any future amendments thereto reporting each of the undersigned's ownership of securities of Notify Corporation, and hereby affirm that such Schedule 13G is being filed on behalf of each of the undersigned. D.H. BLAIR & CO., INC. /s/ Kenton E. Wood Dated: February 10, 1998 By:________________________________ New York, New York Kenton E. Wood Chairman /s/ Kenton E. Wood Dated: February 10, 1998 _________________________________ New York, New York Kenton E. Wood /s/ Kalman Renov Dated: February 10, 1998 _________________________________ New York, New York Kalman Renov -----END PRIVACY-ENHANCED MESSAGE-----