-----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, K3oAoTTRvNSNCDDZsmjxYCzFVBt/JJ53g4zfB4XHRJFcm46E53p5fYKsriNdOYSL UdO4knC2i7/kJunzF2dOcw== 0001144204-07-054373.txt : 20071015 0001144204-07-054373.hdr.sgml : 20071015 20071015201005 ACCESSION NUMBER: 0001144204-07-054373 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20071003 FILED AS OF DATE: 20071015 DATE AS OF CHANGE: 20071015 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: FALK MICHAEL CENTRAL INDEX KEY: 0001014026 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-11807 FILM NUMBER: 071172970 MAIL ADDRESS: STREET 1: 830 THIRD AVENUE STREET 2: 4TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ComVest Group Holdings, LLC CENTRAL INDEX KEY: 0001373592 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-11807 FILM NUMBER: 071172971 BUSINESS ADDRESS: STREET 1: ONE NORTH CLEMANTIS STREET STREET 2: SUITE 300 CITY: WEST PALM BEACH STATE: FL ZIP: 33401 BUSINESS PHONE: 561-868-6060 MAIL ADDRESS: STREET 1: ONE NORTH CLEMANTIS STREET STREET 2: SUITE 300 CITY: WEST PALM BEACH STATE: FL ZIP: 33401 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: COMVEST CAPITAL MANAGEMENT LLC CENTRAL INDEX KEY: 0001397084 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-11807 FILM NUMBER: 071172972 BUSINESS ADDRESS: STREET 1: ONE NORTH CLEMATIS STREET STREET 2: SUITE 300 CITY: WEST PALM BEACH STATE: FL ZIP: 33401 BUSINESS PHONE: 561-868-6060 MAIL ADDRESS: STREET 1: ONE NORTH CLEMATIS STREET STREET 2: SUITE 300 CITY: WEST PALM BEACH STATE: FL ZIP: 33401 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ComVest Capital, LLC CENTRAL INDEX KEY: 0001362707 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-11807 FILM NUMBER: 071172973 BUSINESS ADDRESS: STREET 1: ONE NORTH CLEMATIS STREET STREET 2: SUITE 300 CITY: WEST PALM BEACH STATE: FL ZIP: 33401 BUSINESS PHONE: 561-868-6060 MAIL ADDRESS: STREET 1: ONE NORTH CLEMATIS STREET STREET 2: SUITE 300 CITY: WEST PALM BEACH STATE: FL ZIP: 33401 3 1 v090357_ex.xml X0202 3 2007-10-03 0 0000880562 UNIFY CORP UFYC.OB 0001362707 ComVest Capital, LLC ONE NORTH CLEMATIS STREET SUITE 300 WEST PALM BEACH FL 33401 0 0 1 0 0001397084 COMVEST CAPITAL MANAGEMENT LLC ONE NORTH CLEMATIS STREET SUITE 300 WEST PALM BEACH FL 33401 0 0 1 0 0001373592 ComVest Group Holdings, LLC ONE NORTH CLEMANTIS STREET SUITE 300 WEST PALM BEACH FL 33401 0 0 1 0 0001014026 FALK MICHAEL ONE NORTH CLEMATIS STREET SUITE 300 WEST PALM BEACH FL 33401 0 0 1 0 Common Stock 7820 D Warrants 1.35 2006-11-20 2012-10-31 Common Stock 120000 D Warrants 1.60 2006-11-20 2012-10-31 Common Stock 162000 D Warrants 1.90 2006-11-20 2012-10-31 Common Stock 120000 D Convertible Term Note 2.50 2006-11-20 2010-10-31 Common Stock 140143 D Convertible Term Note 5.00 2006-11-20 2010-10-31 Common Stock 352857 D Convertible Term Note 5.00 2006-11-20 2011-10-31 Common Stock 132000 D As of the date hereof, ComVest Capital LLC, a Delaware limited liability company (the "Reporting Person"), directly beneficially owns each of the securities identified herein. ComVest Capital Management LLC ("Management") indirectly beneficially owns each of the securities listed herein by virtue of the fact that Management is the managing member of the Reporting Person. ComVest Group Holdings, LLC ("CGH") indirectly beneficially owns each of the securities listed herein by virtue of the fact that CGH is the managing member of Management. Michael S. Falk ("Falk"), an individual, indirectly beneficially owns the securities listed herein by virtue of the fact that Falk is the Chairman and principal member of CGH. ComVest Capital LLC, By: ComVest Capital Management LLC, By: /s/ Cecilio M. Rodriguez 2007-10-15 ComVest Capital Management LLC, By: /s/ Cecilio M. Rodriquez 2007-10-15 ComVest Group Holdings LLC, By: /s/ Cecilio M. Rodriquez 2007-10-15 /s/ Michael S. Falk, Michael S. Falk, individually 2007-10-15 -----END PRIVACY-ENHANCED MESSAGE-----