-----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, H/l3JCyTbfX3T8SzgbMvFv0PjR8ysXNOrICld+Kal8Oqc63eJ8db1YO66V/hXc2u BkL1ZlN7BKpM7qtps3UZEw== 0000891618-97-000556.txt : 19970222 0000891618-97-000556.hdr.sgml : 19970222 ACCESSION NUMBER: 0000891618-97-000556 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970214 SROS: NASD GROUP MEMBERS: THOMAS I. UNTERBERG GROUP MEMBERS: UNTERBERG HARRIS INTERACTIVE MEDIA L.P., C.V. GROUP MEMBERS: UNTERBERG HARRIS PRIVATE EQUITY PARTNERS, C.V. GROUP MEMBERS: UNTERBERG HARRIS PRIVATE EQUITY PARTNERS, L.P. GROUP MEMBERS: UNTERBERG HARRIS, L.L.C. GROUP MEMBERS: UNTERBERG THOMAS I SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: FRACTAL DESIGN CORP CENTRAL INDEX KEY: 0000930884 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 770276903 STATE OF INCORPORATION: CA FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-49919 FILM NUMBER: 97532555 BUSINESS ADDRESS: STREET 1: 335 SPRECKLES DRIVE CITY: APTOS STATE: CA ZIP: 95003 BUSINESS PHONE: 4086885300 MAIL ADDRESS: STREET 1: 335 SPRACKELS DR CITY: APTOS STATE: CA ZIP: 95003 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: UNTERBERG THOMAS I CENTRAL INDEX KEY: 0001008368 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 10 E 50TH ST STREET 2: SWISS BANK TOWER 22ND FL CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2125728005 MAIL ADDRESS: STREET 1: 10 E 50TH ST STREET 2: SWISS BANK TOWER 22ND FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 SC 13G/A 1 AMENDMENT NO. 1 TO SCHEDULE 13G 1 SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 ------------- SCHEDULE 13G (RULE 13d-102) INFORMATION STATEMENT PURSUANT TO RULES 13d-1 AND 13d-2 UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. 1)* Fractal Design Corporation - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock - -------------------------------------------------------------------------------- (Title of Class of Securities) 351681 - -------------------------------------------------------------------------------- (CUSIP Number) *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 disclosures provided in a prior cover page. The information required on 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). 2 - ---------------------------- ---------------------------- CUSIP NO. 351681 13G Page 1 of 10 Pages ----------------- -- --- - ---------------------------- ---------------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Thomas I. Unterberg ###-##-#### - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) /X/ (b) / / - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF 84,375 (as of 12/31/96) ---------------------------------------------------------- SHARES 6 SHARED VOTING POWER BENEFICIALLY OWNED BY -0- ---------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON 84,375 (as of 12/31/96) ---------------------------------------------------------- WITH 8 SHARED DISPOSITIVE POWER -0- - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 84,375 (as of 12/31/96) - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 0.70% (of 11,997,251 shares as of 12/31/96) - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! 3 - ---------------------------- ---------------------------- CUSIP NO. 351681 13G Page 2 of 10 Pages ----------------- -- --- - ---------------------------- ---------------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Unterberg Harris, L.L.C. 13-3819207 - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) /X/ (b) / / - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION New York - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF 105,000 (as of 12/31/96) ---------------------------------------------------------- SHARES 6 SHARED VOTING POWER BENEFICIALLY OWNED BY -0- ---------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON 105,000 (as of 12/31/96) ---------------------------------------------------------- WITH 8 SHARED DISPOSITIVE POWER -0- - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 105,000 (as of 12/31/96) - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 0.88% (of 11,965,376 shares as of 12/31/96) - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* CO - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! 4 - ---------------------------- ---------------------------- CUSIP NO. 351681 13G Page 3 of 10 Pages ----------------- -- --- - ---------------------------- ---------------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Unterberg Harris Interactive Media L.P., C.V. 94-3188862 - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) /X/ (b) / / - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Netherlands Antilles - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF 262,500 (as of 12/31/96) ---------------------------------------------------------- SHARES 6 SHARED VOTING POWER BENEFICIALLY OWNED BY -0- ---------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON 262,500 (as of 12/31/96) ---------------------------------------------------------- WITH 8 SHARED DISPOSITIVE POWER -0- - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 262,500 (as of 12/31/96) - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 2.19% (of 11,965,376 shares as of 12/31/96) - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* PN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! 5 - ---------------------------- ---------------------------- CUSIP NO. 351681 13G Page 4 of 10 Pages ----------------- -- --- - ---------------------------- ---------------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Unterberg Harris Private Equity Partners, L.P. 13-3793854 - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) /X/ (b) / / - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF 209,501 (as of 12/31/96) ---------------------------------------------------------- SHARES 6 SHARED VOTING POWER BENEFICIALLY OWNED BY -0- ---------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON 209,501 (as of 12/31/96) ---------------------------------------------------------- WITH 8 SHARED DISPOSITIVE POWER -0- - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 209,501 (as of 12/31/96) - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 1.75% (of 11,965,376 shares as of 12/31/96) - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* PN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! 6 - ---------------------------- ---------------------------- CUSIP NO. 351681 13G Page 6 of 10 Pages ----------------- -- --- - ---------------------------- ---------------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Unterberg Harris Private Equity Partners, C.V. 98-0149403 - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) /X/ (b) / / - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Netherlands Antilles - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF 52,999 (as of 12/31/96) ---------------------------------------------------------- SHARES 6 SHARED VOTING POWER BENEFICIALLY OWNED BY -0- ---------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON 52,999 (as of 12/31/96) ---------------------------------------------------------- WITH 8 SHARED DISPOSITIVE POWER -0- - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 52,999 (as of 12/31/96) - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 0.44% (of 11,965,376 shares as of 12/31/96) - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* PN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! 7 - ---------------------------- ---------------------------- CUSIP NO. 351681 13G Page 6 of 10 Pages ----------------- -- --- - ---------------------------- ---------------------------- ITEM 1(a). NAME OF ISSUER: Fractal Design Corporation ITEM 1(b). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: 5550 Scotts Valley Drive, Scotts Valley, CA 95066 ITEM 2(a). NAME OF PERSON FILING: Thomas I. Unterberg Unterberg Harris, L.L.C. Unterberg Harris Interactive Media L.P., C.V. Unterberg Harris Private Equity Partners, L.P. Unterberg Harris Private Equity Partners, C.V. ITEM 2(b). ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE: Swiss Bank Tower, 10 E. 50th Street, 22nd Floor, New York, New York 10022 ITEM 2(c). CITIZENSHIP: Thomas I. Unterberg: United States Unterberg Harris, L.L.C.: New York Unterberg Harris Interactive Media L.P., C.V.: Netherlands Antilles Unterberg Harris Private Equity Partners, L.P.: Delaware Unterberg Harris Private Equity Partners, C.V.: Netherlands Antilles ITEM 2(d). TITLE OF CLASS OF SECURITIES: Common Stock ITEM 2(e). CUSIP NUMBER: 351681 ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO RULE 13d-1(b), OR 13d-2(b)... Not Applicable. ITEM 4. OWNERSHIP. (a) Amount Beneficially Owned: Thomas I. Unterberg: 84,375 Unterberg Harris, L.L.C.: 105,000 Unterberg Harris Interactive Media L.P., C.V.: 262,500 Unterberg Harris Private Equity Partners, L.P.: 209,501 Unterberg Harris Private Equity Partners, C.V.: 52,999 8 - ---------------------------- ---------------------------- CUSIP NO. 351681 13G Page 7 of 10 Pages ----------------- -- --- - ---------------------------- ---------------------------- (b) Percent of Class: Thomas I. Unterberg: 0.70%, Unterberg Harris, L.L.C.: 0.88% Unterberg Harris Interactive Media L.P., C.V.: 2.19% Unterberg Harris Private Equity Partners, L.P.: 1.75% Unterberg Harris Private Equity Partners, C.V.: 0.44% (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: Thomas I. Unterberg: 84,375 Unterberg Harris, L.L.C.: 105,000 Unterberg Harris Interactive Media L.P., C.V.: 262,500 Unterberg Harris Private Equity Partners, L.P.: 209,501 Unterberg Harris Private Equity Partners, C.V.: 52,999 (ii) shared power to vote or to direct the vote: -0- (iii) sole power to dispose or to direct the disposition of: Thomas I. Unterberg: 84,375 Unterberg Harris, L.L.C.: 105,000 Unterberg Harris Interactive Media L.P., C.V.: 262,500 Unterberg Harris Private Equity Partners, L.P.: 209,501 Unterberg Harris Private Equity Partners, C.V.: 52,999 (iv) shared power to dispose or to direct the disposition of: -0- 9 - ---------------------------- ---------------------------- CUSIP NO. 351681 13G Page 8 of 10 Pages ----------------- -- --- - ---------------------------- ---------------------------- ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS Not applicable. ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT OF 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 See Page 10. ITEM 9. NOTICE OF DISSOLUTION OF THE GROUP Not applicable. ITEM 10. CERTIFICATION Not applicable. 10 - ---------------------------- ---------------------------- CUSIP NO. 351681 13G Page 9 of 10 Pages ----------------- -- --- - ---------------------------- ---------------------------- 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. February 13, 1997 Date: __________________ THOMAS I. UNTERBERG UNTERBERG HARRIS, L.L.C. By: /s/ Thomas I Unterberg ____________________________________ /s/ Thomas I. Unterberg _______________________________________ Name: Thomas I. Unterberg __________________________________ Its: Member __________________________________ UNTERBERG HARRIS INTERACTIVE MEDIA, L.P., UNTERBERG HARRIS PRIVATE EQUITY PARTNERS, C.V. L.P. By: /s/ Thomas I. Unterberg By: /s/ Thomas I. Unterberg ____________________________________ _____________________________________ Name: Thomas I. Unterberg Name: Thomas I. Unterberg __________________________________ ___________________________________ Its: General Partner Its: General Partner __________________________________ ___________________________________ UNTERBERG HARRIS PRIVATE EQUITY PARTNERS, C.V. By: /s/ Thomas I. Unterberg _____________________________________ Name: Thomas I. Unterberg ___________________________________ Its: General Partner ___________________________________
11 - ---------------------------- ---------------------------- CUSIP NO. 351681 13G Page 10 of 10 Pages ----------------- -- --- - ---------------------------- ---------------------------- IDENTIFICATION OF MEMBERS OF A GROUP This Schedule 13G is filed on behalf of Thomas I. Unterberg; Unterberg Harris, L.L.C.; Unterberg Harris Interactive Media L.P., C.V.; Unterberg Harris Private Equity Partners, L.P. and Unterberg Harris Private Equity Partners, C.V., as members of a Group, pursuant to Rule 13d-1(f)(i). February 13, 1997 Date: __________________ THOMAS I. UNTERBERG UNTERBERG HARRIS, L.L.C. By: /s/ Thomas I Unterberg ____________________________________ /s/ Thomas I. Unterberg _______________________________________ Name: Thomas I. Unterberg __________________________________ Its: Member __________________________________ UNTERBERG HARRIS INTERACTIVE MEDIA, L.P., UNTERBERG HARRIS PRIVATE EQUITY PARTNERS, C.V. L.P. By: /s/ Thomas I. Unterberg By: /s/ Thomas I. Unterberg ____________________________________ _____________________________________ Name: Thomas I. Unterberg Name: Thomas I. Unterberg __________________________________ ___________________________________ Its: General Partner Its: General Partner __________________________________ ___________________________________ UNTERBERG HARRIS PRIVATE EQUITY PARTNERS, C.V. By: /s/ Thomas I. Unterberg _____________________________________ Name: Thomas I. Unterberg ___________________________________ Its: General Partner ___________________________________
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