UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Form 10-KSB/A
Amendment No. 1
(Mark One)
[X] ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES
EXCHANGE ACT OF 1934
For the fiscal year ended December 31, 1997
[ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE
SECURITIES EXCHANGE ACT OF 1934
For the transition period from ________ to __________
Commission File Number: 1-12023
CALDERA CORPORATION
(Exact name of Registrant as specified in charter)
FLORIDA 59-3243555
State or other jurisdiction of I.R.S. Employer I.D. No.
incorporation or organization
3156 East Old Mill Circle #100 , Salt Lake City, Utah 84121
(Address of principal executive offices) (Zip Code)
Issuer's telephone number, including area code: (801) 947-9007
The following Item 11 is included to correct typographical errors in the
original filing:
Item 11. SECURITY OWNERSHIP OF CERTAIN BENEFICIAL OWNERS AND MANAGEMENT
The following table contains information as of April 17, 1998, as to the
beneficial ownership of shares of common stock of the Company of each person
who was the beneficial owner of five (5%) percent or more of the outstanding
shares of the Company.
SECURITY OWNERSHIP OF CERTAIN BENEFICIAL OWNERS
Title of Class Name and Address Amount and Nature Percent
Of Beneficial Owner of Beneficial Owner
Common Stock Cypress Bend Trading (1) 62,790 38
Company, Inc.
2253 River Ridge Road
DeLand, Florida 32720
Common Stock Eugene G. Harris (2) 10,000 6
5885 NW 18 Street
Miami, Florida 33152
Common Stock Susan Freeman, Trustee 10,000 6
4250 North Michigan Ave.
Miami, Florida 33140
Common Stock Au International, Inc. (3) 25,000 15
P. O. Box 1929
DeLand, Florida 32721
Common Stock Robert Flounders (4) 25,000 15
5171 West Winds Drive
Orlando, FL 32819
(1) Cypress Bend is owned and controlled by Company Management. Cypress
Bend owns shares of the Company received from Eugene G. Harris at the time the
current investor group took control of the Company.
(2) Eugene G. Harris may be deemed to be "parent" and "Promoter" of the
Company under rules and regulations of the Securities Act of 1933 by virtue of
his ownership of common stock and his efforts in the organization of the
Company.
(3) It should be noted that Richard R. Cook, Edwin T. Presley, Darold
Schonsheck, Jack Spencer and Donald S. Thayer, directors of the Company, are
also directors of Au International, Inc. from which the Alaska leases were
obtained.
(4) Includes 25,000 shares held by Au International, Inc. Mr. Flounders
is Chairman of the Board of Directors of Au International, Inc. and has shared
power to vote or control the disposition of such shares.
The following table contains information as of April 17, 1998, as to the
beneficial ownership of shares of common stock of the Company, as well as all
persons as a group who were then officers and directors of the Company.
SECURITY OWNERSHIP OF MANAGEMENT
Title of Class Name and Address Amount and Nature Percent
Of Beneficial Owner of Beneficial Owner
Common Stock Mr. Richard R. Cook (5, 6) 87,790 53
Corporate Counsel, Director
2253 River Ridge Road
DeLand, Florida 32720
Common Stock Mrs. Rita R. Cook, Director 5,000 3
2253 River Ridge Road
DeLand, Florida 32720
Common Stock Mr. Charles A. Gaetano (6) 67,790 41
Director
311 Turner Street
Utica, New York 13501
Common Stock Mr. Buster LaMour 630 .3
President
1026 Highway 93 North 15
Salmon, Idaho 83467
Common Stock Dr. Edwin T. Presley (5, 6) 92,790 56
Chairman, Board of Directors
828 John Anderson Drive
Ormond Beach, Florida 32176
Common Stock Mr. Darold Schonsheck (5, 6) 92,800 56
Vice President
315 Rio Pinar
Ormond Beach, Florida 32174
Common Stock Mr. Steven D. Shoup (6) 67,790 41
Director
424 West 30th Street
Marion, Indiana 46953
Common Stock Mr. Jack Spencer (5, 6) 92,790 56
Director
608 Mallory Court
Stone Mountain, Georgia 30087
Common Stock Mr. Donald S. Thayer (5, 6) 92,790 56
Corporate Secretary, Director
6 Fountainebleau Circle
Daytona Beach, Florida 32118
Common Stock Mr. James A. Thumser (5, 6) 92,790 56
Treasurer, Director
3855 South Atlantic Ave, #306
Daytona Beach Shores, Florida 32127
Common Stock Officers and Directors 127,800 77
as a group
(5) Includes 25,000 shares held by Au International, Inc. Richard R.
Cook, Edwin T. Presley, Darold Schonsheck, Jack Spencer, James A. Thumser and
Donald S. Thayer, directors of the Company, are also directors of Au
International, Inc. from which the Alaska leases were obtained and have shares
power to vote or control the disposition of such shares.
(6) Includes 62,790 shares held by Cypress Bend Trading Company, Inc.
Richard R. Cook, Charles A. Gaetano, Edwin T. Presley, Darold Schonsheck,
Steven D. Shoup, Jack Spencer, Donald S. Thayer, and James A. Thumser,
directors of the Company, are also directors of Cypress Bend Trading Company,
Inc. and have shares power to vote or control the disposition of such shares.
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the
registrant has duly caused this amended report to be signed on its behalf by
the undersigned there unto duly authorized.
CALDERA CORPORATION
Dated January 6, 1999 By /s/ Radd C. Berrett, President
Dated January 6, 1999 By /s/ Richard A. Ford , Chief
Financial Officer
