-----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, N6GRBwHbeVdULxvtsrLrQsrE0sYDvVYRfYvijmMDQgklLTbPMP3jPO2/OB9oAVV8 QKTW/Cdf7rAiHRZ6m9wmig== 0000892569-97-000281.txt : 19970211 0000892569-97-000281.hdr.sgml : 19970211 ACCESSION NUMBER: 0000892569-97-000281 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970207 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: XIRCOM INC CENTRAL INDEX KEY: 0000883905 STANDARD INDUSTRIAL CLASSIFICATION: COMPUTER COMMUNICATIONS EQUIPMENT [3576] IRS NUMBER: 954221884 STATE OF INCORPORATION: CA FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-42620 FILM NUMBER: 97519739 BUSINESS ADDRESS: STREET 1: 2300 CORPORATE CENTER DRIVE CITY: THOUSAND OAKS STATE: CA ZIP: 91320 BUSINESS PHONE: 8053769300 MAIL ADDRESS: STREET 1: 2300 CORPORATE CENTER DRIVE CITY: THOUSAND OAKS STATE: CA ZIP: 91320 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: GATES DIRK I CENTRAL INDEX KEY: 0000901568 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 26025 MUREAU RD CITY: CALABASAS STATE: CA ZIP: 91302 MAIL ADDRESS: STREET 1: 2300 CORP CENTER DRIVE STREET 2: C/O OIRCOM CITY: THOUSAND OAKS STATE: CA ZIP: 91320 SC 13G/A 1 AMENDMENT NO. 3 TO SCHEDULE 13G 1 OMB APPROVAL OMB NUMBER: 3235-0145 EXPIRES: DECEMBER 31, 1997 ESTIMATED AVERAGE BURDEN HOURS PER RESPONSE: 14.90 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 S C H E D U L E 13G Under the Securities Exchange Act of 1934 (Amendment No. 3) * Xircom, Inc. ------------ (Name of Issuer) Common Stock ------------ (Title of Class of Securities) 983922-10 5 ----------- (CUSIP Number) Check the following box if a fee is being paid with this statement __. (A fee is not required only if the filing person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in item 1; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of five percent or less of such class.) (See rule 13d-7). *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 the disclosures provided in a prior cover page. The information required in 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). Page 1 of 6 2 13G CUSIP NO. 983922-10 5 1. NAME OF REPORTING PERSON: Dirk I. Gates 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* Not applicable 3. SEC USE ONLY 4. CITIZENSHIP OR PLACE OF ORGANIZATION: United States of America 5. NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH SOLE VOTING POWER: 1,223,202 6. NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH SHARED VOTING POWER: 0 7. NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH SOLE DISPOSITIVE POWER: 1,223,202 8. NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH SHARED DISPOSITIVE POWER: 0 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON: 1,223,202 Page 2 of 6 3 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* Not applicable 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 6.1% 12. TYPE OF REPORTING PERSON* IN *See instruction before filling out! Page 3 of 6 4 ITEM 1 (A). NAME OF ISSUER: Xircom, Inc. ITEM 1 (B). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICERS: 2300 Corporate Center Drive Thousand Oaks, CA 91320 ITEM 2 (A). NAME OF PERSON FILING: Dirk I. Gates ITEM 2 (B). ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE: 2300 Corporate Center Drive Thousand Oaks, CA 91320 ITEM 2 (C). CITIZENSHIP: United States of America ITEM 2 (D). TITLE OF CLASS OF SECURITIES: Common Stock ITEM 2 (E). CUSIP NO. 983922 105 ITEM 3. TYPE OF FILING: This statement is not being filed pursuant to Rule 13d-1(b) or 13d-2(b). ITEM 4. OWNERSHIP (a) Amount Beneficially Owned: 1,223,202 shares Page 4 of 6 5 (b) Percent of Class: 6.1% (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: 1,223,202 (ii) shared power to vote or to direct the vote: 0 (iii) sole power to dispose or to direct the disposition of: 1,223,202 (iv) shared power to dispose or to direct the disposition of: 0 ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS: Not applicable ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON: Not applicable ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY: Not applicable ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP: Not applicable Page 5 of 6 6 ITEM 9. NOTICE OF DISSOLUTION OF GROUP: Not applicable ITEM 10. CERTIFICATION: Not applicable 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. /s/ Dirk I. Gates 1/31/97 - ------------------------- ------------------------- Dirk I. Gates Date Chairman, President & CEO Page 6 of 6 -----END PRIVACY-ENHANCED MESSAGE-----