-----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, MPgo00QFvoTAKeKNCOM24q4GyTAo0xnNGIEx5bknq1joJsHuX98qBQIsZeylvKon Lv4Os7eD+tyMYZKTbhvWGg== 0000912057-97-007560.txt : 19970304 0000912057-97-007560.hdr.sgml : 19970304 ACCESSION NUMBER: 0000912057-97-007560 CONFORMED SUBMISSION TYPE: SC 13G/A CONFIRMING COPY: PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970303 SROS: NASD GROUP MEMBERS: CASTEEL FAMILY TRUST U/D/T DATED 04/06/84 GROUP MEMBERS: CATHY D. CASTEEL, TRUSTEE GROUP MEMBERS: MICHAEL A. CASTEEL, TRUSTEE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: UNISON SOFTWARE INC CENTRAL INDEX KEY: 0000945837 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 942696878 STATE OF INCORPORATION: DE FISCAL YEAR END: 0531 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-44913 FILM NUMBER: 00000000 BUSINESS ADDRESS: STREET 1: 5101 PATRICK HENRY DR CITY: SANTA CLARA STATE: CA ZIP: 95054 BUSINESS PHONE: 4089882800 MAIL ADDRESS: STREET 1: 5101 PATRICK HENRY DRIVE STREET 2: SUITE 200 CITY: SANTA CLARG STATE: CA ZIP: 95054 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: CASTEEL FAMILY TRUST U/D/T DATED 04/06/84 CENTRAL INDEX KEY: 0001033843 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 5101 PATRICK HENRY DRIVE CITY: SANTA CLARA STATE: CA ZIP: 95054 SC 13G/A 1 SCHEDULE 13G/A THIS DOCUMENT IS A COPY OF THE 13G/A PREVIOUSLY FILED ON FEBRUARY 18, 1997 PURSUANT TO A RULE 201 TEMPORARY HARDSHIP EXEMPTION. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1 )* ------ Unison Software, Inc. ---------------------------------- (Name of Issuer) Common Stock ---------------------------------- (Title of Class of Securities) 90919 P 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 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). (Continued on following page(s)) Page 1 of Pages --- CUSIP No. 90919 P 10 5 13G Page 2 of Pages ------------ --- - ------------------------------------------------------------------------------- (1) Names of Reporting Persons. S.S. or I.R.S. Identification Nos. of Above Persons Casteel Family Trust U/D/T dated April 6, 1984 ###-##-#### - ------------------------------------------------------------------------------- (2) Check the Appropriate Box if a Member (a) / / of a Group* (b) / / - ------------------------------------------------------------------------------- (3) SEC Use Only - ------------------------------------------------------------------------------- (4) Citizenship or Place of Organization California - ------------------------------------------------------------------------------- Number of Shares (5) Sole Voting Beneficially Power 987,433* Owned by -------------------------------------------------- Each Reporting (6) Shared Voting Person With Power 0 -------------------------------------------------- (7) Sole Dispositive Power 987,433* -------------------------------------------------- (8) Shared Dispositive Power 0 - ------------------------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned by Each Reporting Person 987,433* - ------------------------------------------------------------------------------- (10) Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares* - ------------------------------------------------------------------------------- (11) Percent of Class Represented by Amount in Row (9) 12.43% - ------------------------------------------------------------------------------- (12) Type of Reporting Person* IN - ------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! * Includes 4,000 shares issuable upon exercise of options within 60 days of 12/31/96 CUSIP No. 90919 P 10 5 13G Page 2 of Pages ------------ --- - ------------------------------------------------------------------------------- (1) Names of Reporting Persons. S.S. or I.R.S. Identification Nos. of Above Persons Michael A. Casteel, Trustee ###-##-#### - ------------------------------------------------------------------------------- (2) Check the Appropriate Box if a Member (a) / / of a Group* (b) / / - ------------------------------------------------------------------------------- (3) SEC Use Only - ------------------------------------------------------------------------------- (4) Citizenship or Place of Organization US Citizen - ------------------------------------------------------------------------------- Number of Shares (5) Sole Voting Beneficially Power 4,000* Owned by -------------------------------------------------- Each Reporting (6) Shared Voting Person With Power 983,433 -------------------------------------------------- (7) Sole Dispositive Power 4,000* -------------------------------------------------- (8) Shared Dispositive Power 983,433 - ------------------------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned by Each Reporting Person 983,433 - ------------------------------------------------------------------------------- (10) Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares* - ------------------------------------------------------------------------------- (11) Percent of Class Represented by Amount in Row (9) 12.43% - ------------------------------------------------------------------------------- (12) Type of Reporting Person* IN - ------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! * Includes 4,000 shares issuable upon exercise of options within 60 days of 12/31/96 CUSIP No. 90919 P 10 5 13G Page 2 of Pages ------------ --- - ------------------------------------------------------------------------------- (1) Names of Reporting Persons. S.S. or I.R.S. Identification Nos. of Above Persons Cathy D. Casteel, Trustee ###-##-#### - ------------------------------------------------------------------------------- (2) Check the Appropriate Box if a Member (a) / / of a Group* (b) / / - ------------------------------------------------------------------------------- (3) SEC Use Only - ------------------------------------------------------------------------------- (4) Citizenship or Place of Organization US Citizen - ------------------------------------------------------------------------------- Number of Shares (5) Sole Voting Beneficially Power 0 Owned by -------------------------------------------------- Each Reporting (6) Shared Voting Person With Power 983,433 -------------------------------------------------- (7) Sole Dispositive Power 0 -------------------------------------------------- (8) Shared Dispositive Power 983,433 - ------------------------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned by Each Reporting Person 983,433 - ------------------------------------------------------------------------------- (10) Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares* - ------------------------------------------------------------------------------- (11) Percent of Class Represented by Amount in Row (9) 12.43% - ------------------------------------------------------------------------------- (12) Type of Reporting Person* IN - ------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP No. 90919 P 10 5 Page 3 of Pages ------------ --- ITEM 1(A). NAME OF ISSUER Unison Software, Inc - ------------------------------------------------------------------------------- ITEM 1(B). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES 5101 Patrick Henry Drive Santa Clara, CA 95054 - ------------------------------------------------------------------------------- ITEM 2(A). NAME OF PERSON(S) FILING Casteel Family Trust U/D/T dated April 6, 1984 and Michael A. Casteel and Cathy D. Casteel, Trustees - ------------------------------------------------------------------------------- ITEM 2(B). ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE c/o Unison Software, Inc. 5101 Patrick Henry Drive Santa Clara, CA 95054 - ------------------------------------------------------------------------------- ITEM 2(C). CITIZENSHIP The trustees, Michael A. Casteel and Cathy D. Casteel, are U.S. citizens - ------------------------------------------------------------------------------- ITEM 2(D). TITLE OF CLASS OF SECURITIES Common Stock - ------------------------------------------------------------------------------- ITEM 2(E). CUSIP NUMBER 90919 P 10 5 - ------------------------------------------------------------------------------- ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO RULES 13D-1(B), OR 13D-2(B), CHECK WHETHER THE PERSON FILING IS A This statement is not being filed pursuant to Rule 13d-1(b) or 13d-2(b) ITEM 4. OWNERSHIP (a) Amount Beneficially Owned: 987,433* --------------------------------------------------------------------------- CUSIP No. 90919 P 10 5 Page 4 of Pages ------------ --- (b) Percent of Class: 12.43% --------------------------------------------------------------------------- (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote 987,433* ----------------------------------------------------------------- (ii) shared power to vote or to direct the vote 987,433*# ----------------------------------------------------------------- (iii) sole power to dispose or to direct the disposition of 987,433* ----------------------------------------------------------------- (iv) shared power to dispose or to direct the disposition of 987,433*# ----------------------------------------------------------------- *Includes 4,000 shares issuable upon the exercise of stock options to purchase shares of Common Stock which are exercisable within 60 days of December 31, 1996 held by Michael A. Casteel. #Shared power held by both trustees. 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 - ------------------------------------------------------------------------------- ITEM 10. CERTIFICATION By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of CUSIP No. 90919 P 10 5 Page 5 of Pages ------------ --- and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purposes 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. Casteel Family Trust U/D/T dated April 6, 1984 ---------------------------------------- (Date) ---------------------------------------- Michael A. Casteel, Trustee ---------------------------------------- Cathy D. Casteel, Trustee CUSIP No. 90919 P 10 5 Page 5 of Pages ------------ --- and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purposes 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. Casteel Family Trust U/D/T dated April 6, 1984 ---------------------------------------- (Date) /s/ Michael A. Casteel ---------------------------------------- Michael A. Casteel, Trustee ---------------------------------------- Cathy D. Casteel, Trustee -----END PRIVACY-ENHANCED MESSAGE-----