-----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, B72fSnlYB1q6WJfArk8Q/rOmZbLudaecDlLFAHRSio+E70pByJMTDVe4SIZYizCs 0qfMcduhT+5oJ/8Rfx6oCQ== 0000930661-98-001902.txt : 19980907 0000930661-98-001902.hdr.sgml : 19980907 ACCESSION NUMBER: 0000930661-98-001902 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19980827 FILED AS OF DATE: 19980904 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: CAYENNE SOFTWARE INC CENTRAL INDEX KEY: 0000880229 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 042784044 STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: SEC FILE NUMBER: 000-19682 FILM NUMBER: 98704328 BUSINESS ADDRESS: STREET 1: 14 CROSBY DRIVE CITY: BEDFORD STATE: MA ZIP: 01730 BUSINESS PHONE: 6172739003 MAIL ADDRESS: STREET 1: 14 CROSBY DRIVE CITY: BEDFORD STATE: MA ZIP: 01730 FORMER COMPANY: FORMER CONFORMED NAME: BACHMAN INFORMATION SYSTEMS INC /MA/ DATE OF NAME CHANGE: 19921111 COMPANY DATA: COMPANY CONFORMED NAME: STERLING SOFTWARE INC CENTRAL INDEX KEY: 0000716714 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] OWNER IRS NUMBER: 751873956 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: 3 BUSINESS ADDRESS: STREET 1: 300 CRESCENT COURT STREET 2: SUITE 1200 CITY: DALLAS STATE: TX ZIP: 75201 BUSINESS PHONE: 2149811000 MAIL ADDRESS: STREET 1: 300 CRESCENT COURT STREET 2: SUITE 1200 CITY: DALLAS STATE: TX ZIP: 75201 3 1 FORM 3 /------------------------------/ / OMB APPROVAL / /------------------------------/ / OMB Number: 3235-0104 / / Expires: September 30, 1998 / / Estimated average burden / / hours per response...... 0.5 / /------------------------------/ +--------+ | FORM 3 | U.S. SECURITIES AND EXCHANGE COMMISSION +--------+ WASHINGTON, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 (Print or Type Responses) - -------------------------------------------------------------------------------- 1. Name and Address of Reporting Person* Sterling Software, Inc. ---------------------------------------------------------------------------- (Last) (First) (Middle) 300 Crescent Court, Suite 1200 ---------------------------------------------------------------------------- (Street) Dallas TX 75201 ---------------------------------------------------------------------------- (City) (State) (Zip) 2. Date of Event Requiring Statement (Month/Day/Year) 08/27/98 -------------- 3. IRS or Social Security Number of Reporting Person (Voluntary) 4. Issuer Name and Ticker or Trading Symbol Cayenne Software, Inc. (CAYN) ----------------------------------- 5. Relationship of Reporting Person(s) to Issuer (Check all applicable) [ ] Director [ ] Officer [X] 10% Owner [ ] Other (give title below) (specify below) ---------------------------------------------------------------------------- 6. If Amendment, Date of Original (Month/Day/Year) ---------------------------- 7. Individual or Joint Group Filing (Check Applicable Line) X Form Filed by One Reporting Person --- Form filed by More than One Reporting Person --- TABLE I--NON-DERIVATIVE SECURITIES BENEFICIALLY OWNED
- -------------------------------------------------------------------------------- 1. Title 2. Amount of 3. Ownership Form: 4. Nature of of Securities Bene- Direct (D) or Indirect Bene- Security ficially Owned Indirect (I) ficial Ownership (Instr. 4) (Instr. 4) (Instr. 5) (Instr. 5) - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- - --------------------------------------------------------------------------------
*If the form is filed by more than one reporting (Over) person see Instruction 5(b)(v). SEC 1473 (7/96) Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. (Print or type response) Page 1 of 2 pages FORM 3 (CONTINUED) TABLE II--DERIVATIVE SECURITIES BENEFICIALLY OWNED (E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES)
- ------------------------------------------------------------------------------------------------------------------------------------ 1. TITLE OF DERIVATIVE 2. DATE EXER- 3. TITLE AND AMOUNT OF SECURITIES 4. CONVERSION 5. OWNERSHIP 6. NATURE OF IN- SECURITY (INSTR. 4) CISABLE AND UNDERLYING DERIVATIVE SECURITY OR FORM OF DIRECT BENE- EXPIRATION (INSTR. 4) EXERCISE DERIVATIVE FICIAL DATE PRICE SECURITY: OWNERSHIP (MONTH/DAY/ OF DIRECT (D) (INSTR. 5) YEAR) DERIVATIVE OR IN- ---------------------------------------------------- SECURITY DIRECT (I) DATE EXPIRA- AMOUNT OR (INSTR. 5) EXER- TION TITLE NUMBER OF CISABLE DATE SHARES - ------------------------------------------------------------------------------------------------------------------------------------ Stock Option (Right to Buy) (1) (1) Common Stock (1) (1) D N/A - ------------------------------------------------------------------------------------------------------------------------------------ Stock Option (Right to Buy) (2) (2) Common Stock (1) (1) D N/A - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - -----------------------------------------------------------------------------------------------------------------------------------
EXPLANATION OF RESPONSES: (1) Pursuant to a Stockholder Agreement, dated as of August 27, 1998 (the "Stockholder Agreement"), among the Reporting Person and the holders (the "Preferred Stockholders") of all of the outstanding shares of Series D Convertible Preferred Stock of the Issuer (the "Preferred Stock"), each of the Preferred Stockholders granted the Reporting Person an option to purchase all shares of capital stock of the Issuer owned by such Preferred Stockholder. As of the date of the Stockholder Agreement, such options, in the aggregate, entitled the Reporting Person to purchase (i) 446,664 shares of Common Stock of the Issuer ("Common Stock") at an exercise price of $0.375 per share (subject to reduction as set forth in the Stockholder Agreement) and (ii) 170,000 shares of Preferred Stock at an exercise price of $20.00 per share. At the date of the Stockholder Agreement, such shares of Preferred Stock were convertible into 8,399,700 shares of Common Stock. Such options will terminate upon the earlier of (i) the termination of the Merger Agreement, dated as of August 27, 1998 (the "Merger Agreement"), among the Reporting Person, a wholly owned subsidiary of the Reporting Person and the Issuer, and (ii) the effective time of the merger provided for therein. The foregoing summary is not a complete description of the terms of the Stockholder Agreement, a copy of which is attached at Exhibit 10.3 to the Reporting Person's Schedule 13D, dated as of September 3, 1998 (the "Schedule 13D"), and incorporated herein by reference. (2) Pursuant to a Stock Option Agreement, dated as of August 27, 1998 (the "Stock Option Agreement"), between the Reporting Person and the Issuer, the Issuer granted the Reporting Person an option to purchase up to 4,245,346 shares of Common Stock or such other number of shares of Common Stock as equals 19.9% of the issued and outstanding shares of Common Stock at the time of exercise of such option. Such option is exercisable only in the circumstances provided in the Stock Option Agreement (which correspond to circumstances in which a fee would be payable to the Reporting Person in connection with the termination of the Merger Agreement) and, except in such circumstances (in which case such option would expire one year after the termination of the Merger Agreement), such option will expire upon the earlier of (i) the termination of the Merger Agreement and (ii) the effective time of the merger provided for therein. The foregoing summary is not a complete description of the terms of the Stock Option Agreement, a copy of which is attached at Exhibit 10.2 to the Schedule 13D and incorporated herein by reference. **INTENTIONAL MISSTATEMENTS OR OMISSIONS OF FACTS CONSTITUTE FEDERAL CRIMINAL VIOLATIONS. SEE 18 U.S.C. 1001 AND 15 U.S.C. 78FF(A). NOTE: FILE THREE COPIES OF THIS FORM, ONE OF WHICH MUST BE MANUALLY SIGNED. IF SPACE IS INSUFFICIENT, SEE INSTRUCTION 6 FOR PROCEDURE. POTENTIAL PERSONS WHO ARE TO RESPOND TO THE COLLECTION OF INFORMATION CONTAINED IN THIS FORM ARE NOT REQUIRED TO RESPOND UNLESS THE FORM DISPLAYS A CURRENTLY VALID OMB NUMBER. STERLING SOFTWARE, INC. BY: /s/ R. LOGAN WRAY SEPTEMBER 3, 1998 --------------------------- ----------------- R. LOGAN WRAY DATE SENIOR VICE PRESIDENT AND CHIEF FINANCIAL OFFICER **SIGNATURE OF REPORTING PERSON PAGE 2 OF 2 PAGES -----END PRIVACY-ENHANCED MESSAGE-----