-----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, AixMN0X8l9fGX+f8ie4Z8y7RaB7Bdoou/YMRzQVWc/CNj0muWVuhCe0LSXpGiDHL 2VVxu3exT0O2c8f8DVgFRA== 0001044321-07-000294.txt : 20071115 0001044321-07-000294.hdr.sgml : 20071115 20071115123310 ACCESSION NUMBER: 0001044321-07-000294 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20071022 FILED AS OF DATE: 20071115 DATE AS OF CHANGE: 20071115 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: 071248587 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 2007-10-22 0 0000880562 UNIFY CORP UFYC 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 Common Stock 2007-10-22 4 C 0 135314 2.5 A 1514891 I By Limited Partnerships Convertible Bonds 2.5 2007-10-22 4 C 0 338286 2.5 D 2007-10-22 2010-10-31 Common Stock 135314 1521829 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 642,574 shares of Common Stock are held by QP, 209,262 shares of Common Stock are held by Cay, 330,113 shares of Common Stock are held by PE, 55,808 shares of Common Stock are held by Tech & 277,134 shares of Common Stock 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. Pursuant to the Term loan 1 agreement dated November 30, 2006 as of October 22, 2007 the note was called and exchanged for Common Shares. 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. 634,095 CB cvtd into 126,819 shares of CS are held by QP, 206,081 CB cvtd into 41,216 shares of CS are held by Cay, 332,900 CB cvtd into 66,580 shares of CS are held by PE, 63,410 CB cvtd into 12,682 shares of CS are held by Tech and 285,343 CB cvtd into 57,069 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. Pursuant to term loan agreement dated November 30, 2006, the Funds received monthly payments of principal until the Notes are repaid in full. Through October 31, 2007, the Funds received $194,285.71 of principal payments. Austin W. Marxe 2007-11-15 David M. Greenhouse 2007-11-15 -----END PRIVACY-ENHANCED MESSAGE-----