-----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, T0CfodhO8Y/ij3t9cQNpxz51WFpTvlEF8DVu5/TXE7OuXh+MEXPzT6bxdFRVyPnN fgGBFfFNQ4DO4vrLMYoAXw== 0000950148-00-000021.txt : 20000202 0000950148-00-000021.hdr.sgml : 20000202 ACCESSION NUMBER: 0000950148-00-000021 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20000110 GROUP MEMBERS: JOHN M. LIVIAKIS GROUP MEMBERS: LIVIAKIS FINANCIAL COMMUNICATIONS INC GROUP MEMBERS: LIVIAKIS FINANCIAL COMMUNICATIONS, INC. GROUP MEMBERS: RENEE A. LIVIAKIS SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: DATA RACE INC CENTRAL INDEX KEY: 0000890924 STANDARD INDUSTRIAL CLASSIFICATION: COMPUTER COMMUNICATIONS EQUIPMENT [3576] IRS NUMBER: 742272363 STATE OF INCORPORATION: TX FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-43394 FILM NUMBER: 504251 BUSINESS ADDRESS: STREET 1: 12400 NETWORK BLVD CITY: SAN ANTONIO STATE: TX ZIP: 78249 BUSINESS PHONE: 2102632000 MAIL ADDRESS: STREET 1: 12400 NETWORK BLVD CITY: SAN ANTONIO STATE: TX ZIP: 78249 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: LIVIAKIS FINANCIAL COMMUNICATIONS INC CENTRAL INDEX KEY: 0000930254 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] IRS NUMBER: 68031139 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 2420 K ST STE 220 CITY: SACRAMENTO STATE: CA ZIP: 95816 BUSINESS PHONE: 9164486084 MAIL ADDRESS: STREET 1: LIVIAKIS FINANCIAL COMM INC STREET 2: 2420 K ST STE 220 CITY: SACRAMENTO STATE: CA ZIP: 95816 SC 13G 1 SCHEDULE 13G 1 ------------------------------ OMB APPROVAL ------------------------------ OMB Number: 3235-0145 Expires: August 31, 1999 Estimated average burden hours per response..... 14.90 ------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G INFORMATION STATEMENT PURSUANT TO RULES 13d-1 AND 13d-2 UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. )* DATA RACE, INC. ----------------------------------------- (Name of Issuer) Common Stock, no par value ------------------------------------------------------ (Title of Class of Securities) 237842109 ------------------------------------------------------ (CUSIP Number) December 31, 1999 ------------------------------------------------------ (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [ ] Rule 13d-1(b) [X] Rule 13d-1(c) [ ] Rule 13d-1(d) *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). POTENTIAL PERSONS WHO ARE TO RESPOND TO THE COLLECTION OF INFORMATION CONTAINED IN THIS FORM ARE NOT REQUIRED TO RESPOND UNLESS THE FORM DISPLAYS A CURRENTLY VALID OMB CONTROL NUMBER 2 CUSIP NO. 237842109 SCHEDULE 13G PAGE 2 OF 9 PAGES --------------------- ----- ----- (1) NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) LIVIAKIS FINANCIAL COMMUNICATIONS, INC. 68-0311399 --------------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] --------------------------------------------------------------------- (3) SEC USE ONLY --------------------------------------------------------------------- (4) CITIZENSHIP OR PLACE OF ORGANIZATION California --------------------------------------------------------------------- (5) SOLE VOTING POWER NUMBER OF 2,523,520 SHARES -------------------------------------------------------- BENEFICIALLY (6) SHARED VOTING POWER OWNED BY -0- EACH -------------------------------------------------------- REPORTING (7) SOLE DISPOSITIVE POWER PERSON WITH 2,523,520 -------------------------------------------------------- (8) SHARED DISPOSITIVE POWER -0- -------------------------------------------------------- (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,523,520 --------------------------------------------------------------------- (10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES CERTAIN SHARES* [X] --------------------------------------------------------------------- (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 10.9% --------------------------------------------------------------------- (12) TYPE OF REPORTING PERSON* CO --------------------------------------------------------------------- 2 3 CUSIP NO. 237842109 SCHEDULE 13G PAGE 3 OF 9 PAGES --------------------- ----- ----- (1) NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) JOHN M. LIVIAKIS --------------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] --------------------------------------------------------------------- (3) SEC USE ONLY --------------------------------------------------------------------- (4) CITIZENSHIP OR PLACE OF ORGANIZATION United States --------------------------------------------------------------------- (5) SOLE VOTING POWER NUMBER OF 71,400 SHARES -------------------------------------------------------- BENEFICIALLY (6) SHARED VOTING POWER OWNED BY 2,523,520 EACH -------------------------------------------------------- REPORTING (7) SOLE DISPOSITIVE POWER PERSON WITH 71,400 -------------------------------------------------------- (8) SHARED DISPOSITIVE POWER 2,523,520 -------------------------------------------------------- (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,594,920 --------------------------------------------------------------------- (10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES CERTAIN SHARES* [ ] --------------------------------------------------------------------- (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 11.2% --------------------------------------------------------------------- (12) TYPE OF REPORTING PERSON* IN --------------------------------------------------------------------- 3 4 CUSIP NO. 237842109 SCHEDULE 13G PAGE 4 OF 9 PAGES --------------------- ----- ----- (1) NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) RENEE A. LIVIAKIS --------------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] --------------------------------------------------------------------- (3) SEC USE ONLY --------------------------------------------------------------------- (4) CITIZENSHIP OR PLACE OF ORGANIZATION United States --------------------------------------------------------------------- (5) SOLE VOTING POWER NUMBER OF -0- SHARES -------------------------------------------------------- BENEFICIALLY (6) SHARED VOTING POWER OWNED BY 2,523,520 EACH -------------------------------------------------------- REPORTING (7) SOLE DISPOSITIVE POWER PERSON WITH -0- -------------------------------------------------------- (8) SHARED DISPOSITIVE POWER 2,523,520 -------------------------------------------------------- (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,523,520 --------------------------------------------------------------------- (10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES CERTAIN SHARES* [X] --------------------------------------------------------------------- (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 10.9% --------------------------------------------------------------------- (12) TYPE OF REPORTING PERSON* IN --------------------------------------------------------------------- 4 5 Page 5 of 9 ITEM 1(a). NAME OF ISSUER: Data Race, Inc. ITEM 1(b). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: 12400 Network Boulevard San Antonio, Texas 78249 ITEM 2(a). NAME(S) OF PERSON(S) FILING: Liviakis Financial Communications, Inc. ("LFC") John M. Liviakis ("JML") Renee A. Liviakis ("RAL") LFC, JML and RAL are filing this Statement on Schedule 13G jointly pursuant to Rule 13d-1(k)(1). Attached to this Statement as Exhibit A is the Joint Filing Agreement of LFC, JML and RAL pursuant to Rule 13d-1(k)(1)(iii). ITEM 2(b). ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE: 495 Miller Avenue Mill Valley, California 94941 ITEM 2(c). CITIZENSHIP: LFC is a California corporation. JML and RAL are citizens of the United States of America. ITEM 2(d). TITLE OF CLASS OF SECURITIES: Common Stock, no par value ITEM 2(e). CUSIP NUMBER: 237842109 ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO RULE 13d-1(b) OR 13D-2(b) OR (c), CHECK WHETHER THE PERSON FILING IS A: Not applicable 5 6 Page 6 of 9 ITEM 4. OWNERSHIP. (a) Amount beneficially owned as of December 31, 1999: LFC: 2,523,520 shares JML: 2,594,920 shares RAL: 2,523,520 shares JML and RAL are husband and wife, and each owns 50% of the outstanding shares of LFC. Each is a director and officer of LFC and, as such, influences the exercise of voting power and dispositive power by LFC. Each of JML and RAL is reporting all of the 2,523,520 shares beneficially owned by LFC on December 31, 1999 as beneficially owned. The beneficial ownership of these shares was previously reported by the persons filing this Schedule 13G on Schedule 13D. (b) Percent of class: LFC: 10.9% JML: 11.2% RAL: 10.9% Based upon the 20,687,727 shares of Common Stock that the Issuer reported as outstanding on November 12, 1999, as adjusted for the 1,904,761 shares of Common Stock that the Issuer reported as issued on December 10, 1999 and the 488,889 stock purchase warrants held by LFC and presently exercisable. (c) Number of shares as to which such person has: (i) Sole power to vote or direct the vote: LFC: 2,523,520 shares JML: 71,400 shares RAL: -0- shares (ii) Shared power to vote or direct the vote: LFC: -0- shares JML: 2,523,520 shares RAL: 2,523,520 shares JML and RAL, in their capacity as officers and directors, share the power to vote or direct the vote of the shares owned by LFC. 6 7 Page 7 of 9 (iii) Sole power to dispose or to direct the disposition of: LFC: 2,523,520 shares JML: 71,400 shares RAL: -0- shares (iv) Shared power to dispose or direct the disposition of: LFC: -0- shares JML: 2,523,520 shares RAL: 2,523,520 shares JML and RAL, in their capacity as officers and directors, share the power to dispose or direct the disposition of the shares owned by LFC. 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. ITEM 9. NOTICE OF DISSOLUTION OF GROUP. Not applicable 7 8 Page 8 of 9 ITEM 10. CERTIFICATIONS. By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. 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. Dated: January 7, 2000 LIVIAKIS FINANCIAL COMMUNICATIONS, INC. By:/s/John M. Liviakis --------------------------- John M. Liviakis, President /s/John M. Liviakis ------------------------------ John M. Liviakis /s/Renee A. Liviakis ------------------------------ Renee A. Liviakis EX-99.(A) 2 EXHIBIT 99.(A) 1 Page 9 of 9 EXHIBIT "A" JOINT FILING AGREEMENT Liviakis Financial Communications, Inc., John M. Liviakis and Renee A. Liviakis (collectively the "Parties" and individually a "Party") hereby agree that they shall file a single statement on Schedule 13G (as amended from time to time, the "Statement") with respect to their beneficial ownership of shares of Common Stock (the "Securities") of Data Race, Inc., on behalf of and in satisfaction of the obligations of all Parties and that they shall amend the Statement from time to time as required by rules issued under the Securities Exchange Act of 1934, as amended. Each Party represents and warrants that such Party is eligible to use Schedule 13G with respect to information regarding the Securities and agrees to assume responsibility for the timely filing of the Statement and any amendments thereto. Each of the Parties hereby assumes responsibility for the completeness and accuracy of the information concerning such Party contained in the Statement. No Party shall be responsible for the completeness and accuracy of the information contained in the Statement concerning any other Party, unless such Party knows or has reason to believe that such information is incomplete or inaccurate. The execution of the Statement, or amendments thereto, by a Party shall constitute a representation by such Party that the information concerning such Party contained therein is complete and accurate and such Party neither knows nor has any reason to believe that information concerning any other Party contained therein is either incomplete or inaccurate. This Agreement may be executed in two or more counterparts, each of which shall be deemed an original but together shall constitute one and the same instrument. In Witness Whereof, the Parties have executed this Joint Filing Agreement this 7th day of January, 2000. LIVIAKIS FINANCIAL COMMUNICATIONS, INC. By: /s/John M. Liviakis ------------------------------- John M. Liviakis, President /s/John M. Liviakis ---------------------------------- John M. Liviakis /s/Renee A. Liviakis ---------------------------------- Renee A. Liviakis -----END PRIVACY-ENHANCED MESSAGE-----