-----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, GVJF6Uf1qe+J85ItFMwjdRSq+bj40pow0zIBU3SKB5ubiGNQ6NCyRIyY9c4uGJyN lE/7GWsow3o5KycsYMV2VA== 0001012870-02-001038.txt : 20020415 0001012870-02-001038.hdr.sgml : 20020415 ACCESSION NUMBER: 0001012870-02-001038 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20020306 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: TARANTELLA INC CENTRAL INDEX KEY: 0000851560 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 942549086 STATE OF INCORPORATION: CA FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 425 ENCINAL STREET STREET 2: PO BOX 1900 CITY: SANTA CRUZ STATE: CA ZIP: 95061 BUSINESS PHONE: 4084277172 FORMER COMPANY: FORMER CONFORMED NAME: SANTA CRUZ OPERATION INC DATE OF NAME CHANGE: 19940614 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: CALDERA INTERNATIONAL INC/UT CENTRAL INDEX KEY: 0001102542 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 870662823 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-59433 FILM NUMBER: 02568162 BUSINESS ADDRESS: STREET 1: 240 W CENTER ST CITY: OREM STATE: UT ZIP: 84057 BUSINESS PHONE: 8017654999 FORMER COMPANY: FORMER CONFORMED NAME: CALDERA SYSTEMS INC DATE OF NAME CHANGE: 20000104 SC 13D/A 1 dsc13da.txt AMENDMENT NO. 1 TO SC 13D Schedule 13D Page 1 of 5 - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1 )* Caldera International, Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock - -------------------------------------------------------------------------------- (Title of Class of Securities) 12877Q 10 7 - -------------------------------------------------------------------------------- (CUSIP Number) Steven M. Sabbath Senior Vice President, Law & Corporate Affairs Tarantella, Inc 425 Encinal Street Santa Cruz, CA 95060 - -------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) January 10, 2002 - -------------------------------------------------------------------------------- (Date of Event which Requires Filing of this Statement) If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of ss.ss.240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box. [_] Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See ss.240.13d-7 for other parties to whom copies are to be sent. *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 disclosures provided in a prior cover page. The information required on 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). Schedule 13D Page 2 of 5 CUSIP No. 12877Q 10 7 - -------------------------------------------------------------------------------- 1. Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only). Tarantella, Inc. (I.R.S. Number 94-2549086 - -------------------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (See Instructions) (a) [_] (b) [_] - -------------------------------------------------------------------------------- 3. SEC Use Only - -------------------------------------------------------------------------------- 4. Source of Funds (See Instructions) - -------------------------------------------------------------------------------- 5. Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) - -------------------------------------------------------------------------------- 6. Citizenship or Place of Organization State of California - -------------------------------------------------------------------------------- Number of Shares 7. Sole Voting Power 15,157,600 Beneficially Owned by ---------------------------------------------------------------- Each Reporting 8. Shared Voting Power 0 Person With ---------------------------------------------------------------- 9. Sole Dispositive Power 13,557,600 ---------------------------------------------------------------- 10. Shared Dispositive Power 1,600,000 /1/ - -------------------------------------------------------------------------------- 11. Aggregate Amount Beneficially Owned by Each Reporting Person 15,157,600 - -------------------------------------------------------------------------------- 12. Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) - -------------------------------------------------------------------------------- 13. Percent of Class Represented by Amount in Row (11) 26.4% /2/ - -------------------------------------------------------------------------------- 14. Type of Reporting Person (See Instructions) - -------------------- /1/ Shares held pursuant to an escrow agreement, dated May 7, 2001, by and among Tarantella, Inc. (formerly The Santa Cruz Operation, Inc.), Caldera International, Inc. and Wells Fargo Bank West, N.A. for one year as security for Tarantella's indemnity obligations under the Reorganization Agreement. /2/ Based on 57,491,440 shares outstanding as of January 15, 2002. Schedule 13D Page 3 of 5 CO - -------------------------------------------------------------------------------- Schedule 13D Page 4 of 5 Item 1. Security and Issuer This Amendment No. 1 Schedule 13D relates to shares of common stock of Caldera International, Inc., a Delaware corporation ("Caldera" or "Issuer"). The principal executive offices of Caldera are located at 240 West Center Street, Orem, Utah 84057. Item 2. Identity and Background The name of the corporation filing this statement is Tarantella, Inc, a California corporation ("Tarantella"). This Schedule 13D incorporates by reference the Schedule 13D filed by Tarantella on May 16, 2001, and the information provided therein under Item 2. Item 3. Source and Amount of funds or Other Consideration This Amendment No. 1 to Schedule 13D incorporates by reference the Schedule 13D filed by Tarantella on May 16, 2001, and the information provided therein under Item 3. Item 4: Purpose of Transaction This Amendment No. 1 to Schedule 13D incorporates by reference the Schedule 13D filed by Tarantella on May 16, 2001, and the information provided therein under Item 4. Item 5. Interest in Securities of the Issuer This Amendment No. 1 to Schedule 13D incorporates by reference the Schedule 13D filed by Tarantella on May 16, 2001 and amends the information provided therein under Item 5 to read as follows: (a) - (b) As of February 25, 2002, Tarantella beneficially owned 15,157,600 shares of the Issuer's common stock. The aggregate number of shares for which Tarantella is the beneficial owner represents approximately 26.4% of the outstanding shares of the Issuer's common stock. (b) As of February 25, 2002, Tarantella had the sole power to vote and dispose of 13,557,600 shares ( %) of the Issuer's common stock. Tarantella has shared dispositive power with respect to an additional 1,600,000 shares of the Issuer's common stock, as described in the Schedule 13D filed by Tarantella on May 16, 2001. (c) During the last 60 days Tarantella has engaged in the following open market transactions: Transaction Quantity Trade Date Price Sale 100,000 12/27/01 $.865 Sale 30,000 12/28/01 $.90 Sale 70,000 01/02/02 $.90 Sale 180,000 01/04/02 $.9769 Sale 41,666 01/07/02 $1.10 Sale 100,000 01/08/02 $1.0375 Sale 8,000 01/10/02 $.955 Sale 88,000 01/10/02 $.9240 Sale 20,000 01/10/02 $.93 Sale 56,400 01/10/02 $.8686 Schedule 13D Page 5 of 5 Item 6. Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer This Amendment No. 1 to Schedule 13D incorporates by reference the Schedule 13D filed by Tarantella on May 16, 2001, and the information provided therein under Item 6. Item 7. Material to Be Filed as Exhibits This Amendment No. 1 to Schedule 13D incorporates by reference the Schedule 13D filed by Tarantella on May 16, 2001, and the documents attached thereto as Exhibits 1 - 7. 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. March 5, 2002 ----------------------------------------- Date /s/ Steven M. Sabbath ----------------------------------------- Signature Steven M. Sabbath, Attorney-in-Fact ----------------------------------------- Name/Title -5- -----END PRIVACY-ENHANCED MESSAGE-----