-----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, L2qJb5jSxh3RwGXf/uNMPJdHCRKLq6YQ6EqELCykihCaWA32T7UoFEqvntzPTbw/ JKUTLN2+N3FiU00bBih9+A== 0000891554-01-506886.txt : 20020413 0000891554-01-506886.hdr.sgml : 20020413 ACCESSION NUMBER: 0000891554-01-506886 CONFORMED SUBMISSION TYPE: SC TO-I/A PUBLIC DOCUMENT COUNT: 3 FILED AS OF DATE: 20011213 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: GEOWORKS /CA/ CENTRAL INDEX KEY: 0000922285 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 942920371 STATE OF INCORPORATION: DE FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: SC TO-I/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-43791 FILM NUMBER: 1813150 BUSINESS ADDRESS: STREET 1: 960 ATLANTIC AVENUE CITY: ALAMEDA STATE: CA ZIP: 94501 BUSINESS PHONE: 5108141660 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: GEOWORKS /CA/ CENTRAL INDEX KEY: 0000922285 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 942920371 STATE OF INCORPORATION: DE FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: SC TO-I/A BUSINESS ADDRESS: STREET 1: 960 ATLANTIC AVENUE CITY: ALAMEDA STATE: CA ZIP: 94501 BUSINESS PHONE: 5108141660 SC TO-I/A 1 d27543_scto1a.txt AMENDMENT NO. 3 TO TENDER OFFER ================================================================================ SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ---------------- SCHEDULE TO (Rule 13e-4) Tender Offer Statement Under Section 14(d)(1) or 13(e)(1) Of The Securities Exchange Act Of 1934 (Amendment No. 3) ---------------- GEOWORKS CORPORATION (Name of Filing Person (Issuer and Offeror)) ---------------- Options to purchase common stock, par value $0.001 per share (Title of Class of Securities) ---------------- 373692102 (CUSIP Number of Class of Securities) (Underlying Common Stock) ---------------- David L. Grannan President and Chief Executive Officer Geoworks Corporation 960 Atlantic Avenue, Alameda, California 94501 (510) 814-1660 (Name, address and telephone number of person authorized to receive notices and communications on behalf of filing person) Copy to: Maria L. Pizzoli, Esq. Farella Braun + Martel LLP 235 Montgomery Street, 30th Floor San Francisco, CA 94104 (415) 954-4400 [_] Check the box if the filing relates solely to preliminary communications made before the commencement of a tender offer. Check the appropriate boxes below to designate any transactions to which the statement relates: [_] third party tender offer subject to Rule 14d-1. [X] issuer tender offer subject to Rule 13e-4. [_] going-private transaction subject to Rule 13e-3. [_] amendment to Schedule 13D under Rule 13d-2. Check the following box if the filing is a final amendment reporting the results of the tender offer. [X] ================================================================================ INTRODUCTORY STATEMENT This Amendment No. 3 amends and supplements the Tender Offer Statement on Schedule TO (the "Tender Offer Statement") filed with the Securities and Exchange Commission on November 6, 2001, as amended, by Geoworks Corporation, a Delaware corporation (the "Company"), relating to the offer by the Company to eligible employees to exchange all options outstanding under the Company's 1994 Stock Plan (the "1994 Plan"), Supplemental Stock Option Plan (the "1996 Plan"), and 1997 Supplemental Stock Plan (for U.K.-Based Employees) (the "1997 Plan" and, together with the 1994 Plan and the 1996 Plan, the "Option Plans") to purchase shares of the Company's Common Stock, par value $0.001 per share ("Old Options"), for new options that will be granted under the Option Plans (the "New Options"), upon the terms and subject to the conditions described in the Offer to Exchange dated November 5, 2001 (the "Offer to Exchange"), and the related cover letter and attached Summary of Terms (the "Cover Letter" and, together with the Offer to Exchange, the "Offer"), copies of which were attached as Exhibits (a)(1) and (a)(2), respectively, to the Tender Offer Statement. Item 4. Terms of the Transaction. Item 4 of the Tender Offer Statement is hereby amended to add the following: "The Offer expired at 9:00 P.M. Pacific Standard Time, on December 7, 2001. We have accepted all Old Options to purchase Common Stock tendered for exchange pursuant to the Offer. Old Options to purchase approximately 3,517,514 shares of Common Stock were tendered for exchange, representing approximately 99% of the Old Options that were eligible to be tendered in the Offer. Subject to the terms and conditions of the Offer to Exchange, we will issue New Options to purchase approximately 3,260,000 shares of Common Stock under the Option Plans with an exercise price of One Dollar and Eleven Cents ($1.11) per share and a date of grant of December 7, 2001. The exercise price per share was determined based on the lower of $1.43 (the closing price for our Common Stock on November 20, 2001) or the closing price for our Common Stock on December 7, 2001, each as reported by the Nasdaq National Market System. The date of grant for the New Options was determined based upon the date from which the exercise price was chosen." Item 12. Exhibits. Item 12 of the Tender Offer Statement is hereby amended to add a reference to Exhibits (a)(9) and (a)(10), which are attached hereto, as follows: (a)(9) Notice Sent to Employees on December 10, 2001 by E-Mail Following Expiration of the Offer. (a)(10) Notice Sent to Employees on December 12, 2001 by E-Mail Reporting Results of the Offer. SIGNATURE After due inquiry and to the best of my knowledge and belief, I certify that the information set forth in this Amendment No. 3 to Schedule TO is true, complete and correct. GEOWORKS CORPORATION /s/David L. Grannan -------------------------------------- David L. Grannan President and Chief Executive Officer Date: December 13, 2001 INDEX TO EXHIBITS Exhibit Number Description - ------ ----------- (a)(9) Notice Sent to Employees on December 10, 2001 by E-Mail Announcing the Expiration of the Offer to Exchange and the Exercise Price and Date of Grant of New Options. (a)(10) Notice Sent to Employees on December 12, 2001 by E-Mail Announcing the Results of the Offer. EX-99.(A)(9) 3 d27543_exa9.txt ANNOUNCEMENT Exhibit (a)(9) Notice Sent to Employees on December 10, 2001 by E-Mail Following Expiration of the Offer From: Steve Mitchell Sent: Monday, December 10, 2001 To: Company Subject: Announcement of Expiration of Offer to Exchange and Exercise Price and Date of Grant of New Options Today we are pleased to announce that we have accepted all old options to purchase common stock validly tendered for exchange pursuant to our Offer to Exchange dated November 5, 2001 and not withdrawn prior to 9:00 p.m. Pacific Standard Time on December 7, 2001. We are currently in the process of determining the number of old options to purchase common stock that were tendered for exchange in the offer. We will announce shortly the total number of old options tendered for exchange and the number of new options we will issue in exchange for those old options. The new options will have an exercise price of One Dollar and Eleven Cents ($1.11) per share and a date of grant of December 7, 2001. The exercise price per share was determined based on the lower of $1.43 (the closing price for our common stock on November 20, 2001) or the closing price for our common stock on December 7, 2001, each as reported by the Nasdaq National Market System. The date of grant for the new options was determined based upon the date from which the exercise price was chosen. By Friday, December 14, 2001, we will distribute new option agreements to each employee who validly tendered old options for exchange. EX-99.(A)(10) 4 d27543_exa10.txt ANNOUNCEMENT OF RESULTS Exhibit (a)(10) Notice Sent to Employees on December 12, 2001 by E-Mail Reporting Results of the Offer From: Steve Mitchell Sent: Wednesday, December 12, 2001, 1:30 p.m. To: Company Subject: Announcement of Results of Offer to Exchange Outstanding Options As previously announced, we have accepted all old options to purchase common stock validly tendered for exchange pursuant to our Offer to Exchange dated November 5, 2001 and not withdrawn prior to 9:00 p.m. Pacific Standard Time on December 7, 2001. Old options to purchase approximately 3,517,514 shares of common stock were tendered for exchange, representing approximately 99% of the options that were eligible to be tendered in the Offer to Exchange. Subject to the terms and conditions of the Offer, we will issue new options to purchase approximately 3,260,000 shares of Common Stock under the Option Plans with an exercise price of One Dollar and Eleven Cents ($1.11) per share and a date of grant of December 7, 2001. The exercise price per share was determined based on the lower of $1.43 (the closing price for our common stock on November 20, 2001) or the closing price for our common stock on December 7, 2001, each as reported by the Nasdaq National Market System. The date of grant for the new options was determined based upon the date from which the exercise price was chosen. By Friday, December 14, 2001, we will distribute new option agreements to each employee who validly tendered old options for exchange. -----END PRIVACY-ENHANCED MESSAGE-----