-----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, UMRfGsllw0rhsMW/07q4ckllw42ttb5DMpoLFpvFB7p9tY8te00L/4unMHabwuDk puBu6kw22Z/HbfvnwRH0Cg== 0000842325-99-000002.txt : 19990217 0000842325-99-000002.hdr.sgml : 19990217 ACCESSION NUMBER: 0000842325-99-000002 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 19990216 GROUP MEMBERS: ALAN STAHLER GROUP MEMBERS: BLAIR D H & CO INC/NY/ SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: NOTIFY TECHNOLOGY CORP CENTRAL INDEX KEY: 0001031980 STANDARD INDUSTRIAL CLASSIFICATION: TELEPHONE & TELEGRAPH APPARATUS [3661] IRS NUMBER: 770382248 STATE OF INCORPORATION: CA FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-52797 FILM NUMBER: 99539864 BUSINESS ADDRESS: STREET 1: 1054 S DE ANZA BLVD., STE 105 CITY: SAN JOSE STATE: CA ZIP: 95129 BUSINESS PHONE: 4087777920 MAIL ADDRESS: STREET 1: 1054 S DE ANZA BLVD STREET 2: STE 105 CITY: SAN JOSE STATE: CA ZIP: 95129 FORMER COMPANY: FORMER CONFORMED NAME: NOTIFY CORP DATE OF NAME CHANGE: 19970131 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 SC 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) December 31, 1998 ---------------------------------------------------- (Date of Event) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [ ] Rule 13d-1(b) [XX] Rule 13d-1(c) [ ] Rule 13d-1(d) *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 6 Pages - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Alan Stahler - -------------------------------------------------------------------------------- 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 0 BENEFICIALLY -------------------------------------------------------------- OWNED BY 6 SHARED VOTING POWER EACH 315,500 REPORTING -------------------------------------------------------------- PERSON 7 SOLE DISPOSITIVE POWER WITH 0 -------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 315,500 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 315,500 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 8.5% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT CUSIP No. 669956104 13G Page 3 of 6 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 261,500 BENEFICIALLY -------------------------------------------------------------- OWNED BY 6 SHARED VOTING POWER EACH 0 REPORTING -------------------------------------------------------------- PERSON 7 SOLE DISPOSITIVE POWER WITH 261,500 -------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 0 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 261,500 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 7.1% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* BD - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT Page 4 of 6 pages Item 1. (a) Name of Issuer: Notify Corporation (b) Address of Issuer's Principal Executive Offices: 1054 S. De Anza Blvd. Suite 105 San Jose, CA 95129 Item 2. (a) Name of Person Filing: This statement is filed jointly by D.H. Blair & Co., Inc. ("Blair") and Alan Stahler ("Stahler") (together the "Reporting Parties"). See attached Exhibit A which is a copy of their agreement to file this statement on behalf of each of them. (b) Address of Principal Business Office: Mr. Stahler's address is 10 Lakeside Drive Lawrence, NY 11559 D.H. Blair & Co., Inc.'s ("Blair")(1) is 84 William Street New York, New York 10006. (c) Citizenship: Mr. Stahler is a United States citizen. D.H. Blair & Co., Inc. is incorporated in New York (d) Title of Class of Securities: Common Stock, $.001 par value ("shares") (e) CUSIP Number: 669956104 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) [ ] Broker or Dealer registered under Section 15 of the Act (b) [ ] Bank as defined in section 3(a)(6) of the Act (c) [ ] Insurance Company as defined in section 3(a)(19) of the Act (d) [ ] Investment Company registered under section 8 of the Investment Company Act (e) [ ] Investment Adviser registered under section 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 Section 240.13d-1(b)(1)(ii)(F) (g) [ ] Parent Holding Company, in accordance with Section 240.13d-1(b)(1)(ii)(G) (h) ( ) Group, in accordance with Section 240.13d- 1(b)(1)(ii)(H) ______________________________________________________________________________ (1) Mr.Stahler is a principal shareholder of Blair. Page 5 of 6 pages Item 4. Ownership. (a)(b) As of December 31, 1998 Mr. Stahler may be deemed to beneficially own 315,500 shares or 8.5% of the Issuer's shares issued and outstanding as follows: (i) 28,500 shares and 196,000 shares underlying 98,000 Units (1) and 27,000 shares underlying 27,000 Class A Warrants (2) owned directly by Blair and (ii) 36,000 shares underlying 18,000 Units (1) owned by a foundation in which Mr. Stahler is Trustee and (iii) 28,000 shares underlying 14,000 Units owned by a family partnership contolled by Mr. Stahler's wife(3). 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 a participant in any transaction having such purpose or effect. Signature. After reasonable inquiry and to the best of our knowledge and belief, we certify that the information set forth in this statement is true, complete and correct. /s/ Alan Stahler Dated: February 15, 1999 _______________________________ New York, New York Alan Stahler D.H. BLAIR & CO., INC. /s/ John McGuire Dated: February 15, 1999 By:________________________________ New York, New York John McGuire President ___________________________________________________________________________ (1) Each Unit consists of one share and one Class A Warrant. Each Class A Warrant entitles the holder to purchase one share at an exercise price of $6.50, subject to adjustment, through August 28, 2002. (2) Each Class A Warrant entitles the holder to purchase one share at an exercise price of $6.50 through August 28, 2002. (3) Filing of this statement shall not be deemed an admission by Mr. Stahler that he beneficially owns the securities attributed to Mrs. Stahler for any purpose. Mr. Stahler expressly disclaims beneficial ownership of all securities held by Mrs. Stahler for any purpose. EX-99 2 AGREEMENT Page 6 of 6 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. /s/ Alan Stahler Dated: February 15, 1999 _______________________________ New York, New York Alan Stahler D.H. BLAIR & CO., INC. /s/ John McGuire Dated: February 15, 1999 By:________________________________ New York, New York John McGuire President -----END PRIVACY-ENHANCED MESSAGE-----