FORM 3
U.S. SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 3
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934,
Section 17(a) of the Public Utility Holding Company Act of 1935 or
Section 30(f) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
International Business Machines Corporation
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(Last) (First) (Middle)
New Orchard Road
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(Street)
Armonk, NY 10504
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(City) (State) (Zip)
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2. Date of Event Requiring Statement (Month/Day/Year)
9/12/97
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3. IRS or Social Security Number of Reporting Person (Voluntary)
13-0871985
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4. Issuer Name and Ticker or Trading Symbol
Unison Software, Inc. (UNSN)
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5. Relationship of Reporting Person to Issuer
(Check all applicable)
[ ] Director [ x ] 10% Owner
[ ] Officer (give title below) [ ] Other (specify below)
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6. If Amendment, Date of Original (Month/Year)
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7. Individual or Joint/Group Filing( Check applicable line)
[ x ] Form filed by One Reporting [ ] Form filed by more
Person than one Reporting Person
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Table I -- Non-Derivative Securities Beneficially Owned
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<TABLE>
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3. Ownership Form:
2. Amount of Securities Direct (D) or
1. Title of Security Beneficially Owned Indirect (I) 4. Nature of Indirect Beneficial Ownership
(Instr. 4) (Instr. 4) (Instr. 5) (Instr.5)
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<S> <C> <C> <C>
Common Stock, par value $.001 0
per share*
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Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
(Print or Type Responses)
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* Pursuant to the Stockholder Agreement dated as of September 12, 1997
(the "Stockholder Agreement"), among International Business Machines
Corporation, a New York corporation ("IBM"), and certain stockholders (the
"Significant Stockholders") of Unison Software, Inc., a Delaware
corporation ("Unison"), set forth on Schedule A thereto, IBM may be deemed
to be the beneficial owner (as defined in Rule 16a-1(a)(1) promulgated
under the Securities Exchange Act of 1934, as amended) of 3,723,601 shares
of common stock, par value $.001 per share, of Unison ("Unison Common
Stock"). Under the terms of the Stockholder Agreement, the Significant
Stockholders have agreed, among other things, (i) to vote (or cause to be
voted) their respective shares of Unison Common Stock, in favor of (a)
approval and adoption of the Agreement and Plan of Merger dated as of
September 12, 1997 (the "Merger Agreement"), among IBM, New Orchard Corp.,
a Delaware corporation and wholly owned subsidiary of IBM ("Sub"), and
Unison, (b) approval of the merger of Unison with and into Sub (the
"Merger") and (c) approval of the other transactions contemplated by the
Merger Agreement, (ii) to vote such shares against any alternative
transaction or any amendment of Unison's certificate of incorporation or
by-laws or any transaction which would frustrate, impede, prevent or
nullify the Merger, the Merger Agreement or any of the other transactions
contemplated by the Merger Agreement, (iii) subject to certain exceptions,
not to transfer any of such shares or enter into any arrangement with
respect to such shares, (iv) except as described in clause (v) below, not
to grant any proxy or authorization with respect to such shares and (v) to
grant IBM and certain of its officers an irrevocable proxy to vote such
shares as described in clauses (i) and (ii) above. Accordingly, pursuant to
the Stockholder Agreement, IBM may be deemed to have acquired shared voting
power with respect to the Unison Common Stock subject to the Stockholder
Agreement.
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FORM 3 (continued)
Table II -- Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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<TABLE>
<CAPTION>
5. Owner-
3. Title and Amount of Securities ship
Underlying Derivative Security Form of
2. Date Exercisable (Instr. 4) Derivative
and Expiration Date --------------------------------- 4. Conver- Security:
(Month/Day/Year) Amount sion or Direct 6. Nature of
---------------------- or Exercise (D) or Indirect
Date Expira- Number Price of Indirect Beneficial
1. Title of Derivative Exer- tion of Derivative (I) Ownership
Security (Instr. 4) cisable Date Title Shares Security (Instr.5) (Instr. 5)
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<S> <C> <C> <C> <C> <C> <C> <C>
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[Letterhead of Cravath, Swaine & Moore]
(212) 474-1392
September 22, 1997
Form 3
Initial Statement of Beneficial Ownership of Securities
International Business Machines Corporation
Dear Sirs:
On behalf of International Business Machines Corporation, a New
York corporation ("IBM"), enclosed herewith for electronic transmission via
EDGAR pursuant to Section 16(a) of the Securities Exchange Act of 1934,
as amended (the "Exchange Act"), is a copy of an initial statement of
beneficial ownership of securities on Form 3 under the Exchange Act (the
"Form 3").
Copies of the Form 3 are being sent to Unison Software, Inc. and
the National Association of Securities Dealers, Inc.
Please call me at the above number if you have any questions
relating to this filing.
Very truly yours,
/s/ Francesco A. Lecciso
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Francesco A. Lecciso
Securities and Exchange Commission
450 Fifth Street, N.W.
Washington, DC 20549
Attention of Filing Desk
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Encls.
303A
Copy w/encls. to:
Unison Software, Inc.
5101 Patrick Henry Drive
Santa Clara, CA 95054
National Association of Securities Dealers, Inc.
1735 K Street, N.W.
Washington, DC 20006
Explanation of Responses:
**Intentional misstatements or omissions of facts constitute Federal Criminal /s/ LEE A. DAYTON 9/22/97
Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). **Signature of Reporting Person Date
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Note: File three copies of this Form, one of which must be manually
signed. If space provided is insufficient, See Instruction 6 for
procedure.
