-----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, DIUEIVz9y+zBcE3zxdMZvE6q8t3QvBc3oEhOytDoPKDj0woKkZUQIZhrS1l3awRO bM8EHhY1O5Jo2VcZZNohOQ== 0001044321-06-000418.txt : 20061213 0001044321-06-000418.hdr.sgml : 20061213 20061213154402 ACCESSION NUMBER: 0001044321-06-000418 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20061120 FILED AS OF DATE: 20061213 DATE AS OF CHANGE: 20061213 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: UNIFY CORP CENTRAL INDEX KEY: 0000880562 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 770427069 STATE OF INCORPORATION: DE FISCAL YEAR END: 0430 BUSINESS ADDRESS: STREET 1: 181 METRO DR STREET 2: 3RD FL CITY: SAN JOSE STATE: CA ZIP: 95110 BUSINESS PHONE: 4084674500 MAIL ADDRESS: STREET 1: 181 METRO DRIVE CITY: SAN JOSE STATE: CA ZIP: 95110 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MARXE AUSTIN W & GREENHOUSE DAVID M CENTRAL INDEX KEY: 0001044321 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-11807 FILM NUMBER: 061274200 BUSINESS ADDRESS: STREET 1: C/O SPECIAL SITUATIONS FUNDS STREET 2: 527 MADISON AVENUE, SUITE 2600 CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2122076500 MAIL ADDRESS: STREET 1: C/O SPECIAL SITUATIONS FUNDS STREET 2: 527 MADISON AVENUE, SUITE 2600 CITY: NEW YORK STATE: NY ZIP: 10022 4 1 primary_doc.xml PRIMARY DOCUMENT X0202 4 2006-11-20 0 0000880562 UNIFY CORP UNFY 0001044321 MARXE AUSTIN W & GREENHOUSE DAVID M C/O SPECIAL SITUATIONS FUNDS 527 MADISON AVENUE, SUITE 2600 NEW YORK NY 10022 0 0 1 0 Warrants 0.27 2006-11-20 4 P 0 384000 0 A 2006-11-20 2012-10-31 Common Stock 384000 2562646 I By Limited Partnerships Warrants 0.32 2006-11-20 4 P 0 518400 0 A 2006-11-20 2012-10-31 Common Stock 518400 3081046 I By Limited Partnerships Warrants 0.38 2006-11-20 4 P 0 384000 0 A 2006-11-20 2012-10-31 Common Stock 384000 3465046 I By Limited Partnerships Corporate Bond 0.5 2006-11-20 4 P 0 384000 11.25 A 2006-11-20 2010-10-31 Common Stock 768000 384000 I By Limited Partnerships Corporate Bond 1 2006-11-20 4 P 0 1248000 11.25 A 2006-11-20 2010-10-31 Common Stock 1248000 1632000 I By Limited Partnerships Common Stock 1 2006-11-20 4 P 0 422400 11.25 A 2006-11-20 2011-10-31 Common Stock 422400 2054400 I By Limited Partnerships This is a joint filing by Austin W. Marxe (Marxe) & David M. Greenhouse (Greenhouse). They share voting and investment control over all securities owned by Special Situations Fund III QP, L.P. (QP), Special Situations Cayman Fund, L.P. (Cay), Special Situations Private Equity Fund, LP (PE), Special Situations Technology Fund, L.P. (Tech) & Special Situations Technology II, L.P. (Tech II), respectively. 1,390,646 Wts to purchase 1,397,910 shares of CS are held by QP, 484,080 Wts to purchase 486,714 shares of CS are held by Cay, 788,480 Wts to purchase 792,790 shares of CS are held by PE, 138,120 Wts to purchase 138,838 shares of CS are held by Tech and 663,720 Wts to purchase 667,311 shares of CS are held by Tech II. The interest of Marxe and Greenhouse in the shares of Common Stock owned by QP, Cay, PE, Tech & Tech II is limited to the extent of his pecuniary interest. This is a joint filing by Austin W. Marxe (Marxe) & David M. Greenhouse (Greenhouse). They share voting and investment control over all securities owned by Special Situations Fund III QP, L.P. (QP), Special Situations Cayman Fund, L.P. (Cay), Special Situations Private Equity Fund, LP (PE), Special Situations Technology Fund, L.P. (Tech) & Special Situations Technology II, L.P. (Tech II), respectively. 449,400 CB cvtd into 533,400 shares of CS are held by QP, 278,200 CB cvtd into 330,200 shares of CS are held by Cay, 449,400 CB cvtd into 533,400 shares of CS are held by PE, 85,600 CB cvtd into 101,600 shares of CS are held by Tech and 385,200 CB cvtd into 457,200 shares of CS are held by Tech II. The interest of Marxe and Greenhouse in the shares of Corporate Bond owned by QP, Cay, PE, Tech & Tech II is limited to the extent of his pecuniary interest. Austin W. Marxe 2006-12-13 David M. Greenhouse 2006-12-13 -----END PRIVACY-ENHANCED MESSAGE-----