<PAGE>
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
AMENDMENT NO. 3 TO
SCHEDULE 13D
UNDER THE SECURITIES EXCHANGE ACT OF 1934
StreamLogic Corporation
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(Name of Issuer)
Common Stock, $1.00 par value
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(Title of Class of Securities)
863238 10 1
----------------
(CUSIP Number)
Norman Fong
185 Constitution Drive, Suite A
Menlo Park, CA 94025
Tel: (415) 463-3500
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(Name, Address and Telephone Number of Person Authorized to
Receive Notices and Communications)
December 11, 12, 16, 17, 1996
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(Date of Event which Requires Filing of this Statement)
If the filing person has previously filed a statement on Schedule 13G to report
the acquisition which is the subject of this Schedule 13D, and is filing this
schedule because of Rule 13d-1(b)(3) or (4), check the following box / /.
Check the following box if a fee is being paid with this statement / /. (A fee
is not required only if the reporting 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.)
NOTE: Six copies of this statement, including all exhibits, should be filed
with the Commission. See Rule 13d-1(a) for other parties to whom copies are to
be sent.
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CUSIP Number 863238 10 1
- --------------------------------------------------------------------------------
1) Name of Reporting Persons. Norman Fong
S.S. or I.R.S. Identification (No social security or other IRS
Nos. of Above Persons identification number required)
- --------------------------------------------------------------------------------
2) Check the Appropriate Box if a (a) ________
Member of a Group (see (b) ________
Instructions) Not Applicable
- --------------------------------------------------------------------------------
3) SEC Use Only
- --------------------------------------------------------------------------------
4) Source of Funds SC
(See Instructions)
- --------------------------------------------------------------------------------
5) Check if Disclosure of Legal
Proceedings is Required Not Applicable
Pursuant to Items 2(d) or 2(e)
- --------------------------------------------------------------------------------
6) Citizenship or Place of United States
Organization
- --------------------------------------------------------------------------------
Number of Shares Beneficially (7) Sole Voting Power None
Owned by Each Reporting --------------------------------------------
Person With (8) Shared Voting Power 2,347,123
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(9) Sole Dispositive Power None
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(10) Shared Dispositive Power 2,347,123
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- --------------------------------------------------------------------------------
11) Aggregate Amount Beneficially 2,347,123 shares
Owned by Each Reporting Person
- --------------------------------------------------------------------------------
12) Check if the Aggregate Amount Not Applicable
in Row (11) Excludes Certain
Shares (See Instructions)
- --------------------------------------------------------------------------------
13) Percent of Class Represented 12.8%
by Amount in Row (11)
- --------------------------------------------------------------------------------
14) Type of Reporting Person IN
(See Instructions)
- --------------------------------------------------------------------------------
2
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CUSIP Number 863238 10 1
- --------------------------------------------------------------------------------
1) Name of Reporting Persons. FWB Software Inc.
SS. or I.R.S. Identification (No social security or other IRS
Nos. of Above Persons identification number required)
- --------------------------------------------------------------------------------
2) Check the Appropriate Box if a (a) __________
Member of a Group (see (b) __________
Instructions) Not Applicable
- --------------------------------------------------------------------------------
3) SEC Use Only
- --------------------------------------------------------------------------------
4) Source of Funds SC
(See Instructions)
- --------------------------------------------------------------------------------
5) Check if Disclosure of Legal
Proceedings is Required Not Applicable
Pursuant to Items 2(d) or 2(e)
- --------------------------------------------------------------------------------
6) Citizenship or Place of California
Organization
- --------------------------------------------------------------------------------
Number of Shares Beneficially (7) Sole Voting Power None
Owned by Each Reporting --------------------------------------------
Person With (8) Shared Voting Power 2,347,123
--------------------------------------------
(9) Sole Dispositive Power None
--------------------------------------------
(10) Shared Dispositive Power 2,347,123
--------------------------------------------
- --------------------------------------------------------------------------------
11) Aggregate Amount Beneficially 2,347,123 shares
Owned by Each Reporting Person
- --------------------------------------------------------------------------------
12) Check if the Aggregate Amount Not Applicable
in Row (11) Excludes Certain
Shares (See Instructions)
- --------------------------------------------------------------------------------
13) Percent of Class Represented 12.8%
by Amount in Row (11)
- --------------------------------------------------------------------------------
14) Type of Reporting Person CO
(See Instructions)
- --------------------------------------------------------------------------------
3
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CUSIP Number 863238 10 1
- --------------------------------------------------------------------------------
1) Name of Reporting Persons. FWB Software, LLC
S.S. or I.R.S. Identification (No social security or other IRS
Nos. of Above Persons identification number required)
- --------------------------------------------------------------------------------
2) Check the Appropriate Box if a (a) ____________
Member of a Group (see (b) ____________
Instructions) Not Applicable
- --------------------------------------------------------------------------------
3) SEC Use Only
- --------------------------------------------------------------------------------
4) Source of Funds SC
(See Instructions)
- --------------------------------------------------------------------------------
5) Check if Disclosure of Legal
Proceedings is Required Not Applicable
Pursuant to Items 2(d) or 2(e)
- --------------------------------------------------------------------------------
6) Citizenship or Place of California
Organization
- --------------------------------------------------------------------------------
Number of Shares Beneficially (7) Sole Voting Power None
Owned by Each Reporting --------------------------------------------
Person With (8) Shared Voting Power 2,347,123
--------------------------------------------
(9) Sole Dispositive Power None
--------------------------------------------
(10) Shared Dispositive Power 2,347,123
--------------------------------------------
- --------------------------------------------------------------------------------
11) Aggregate Amount Beneficially 2,347,123 shares
Owned by Each Reporting Person
- --------------------------------------------------------------------------------
12) Check if the Aggregate Amount Not Applicable
in Row (11) Excludes Certain
Shares (See Instructions)
- --------------------------------------------------------------------------------
13) Percent of Class Represented 12.8%
by Amount in Row (11)
- --------------------------------------------------------------------------------
14) Type of Reporting Person OO
(See Instructions)
- --------------------------------------------------------------------------------
4
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ITEM 1. SECURITY AND ISSUER.
The class of equity securities to which this Schedule 13D relates is
the common stock, par value $1.00 (the "Common Stock"), issued by StreamLogic
Corporation (the "Issuer"), whose executive offices are located at 21329
Nordhoff Street, Chatsworth, California 91311.
ITEM 2. IDENTITY AND BACKGROUND.
The undersigned are filing this Amendment No. 3 to Schedule 13D to
report that the undersigned have sold 25,000 shares of the issuer on December
11, 1996, 50,000 shares on December 12, 1996, 80,000 shares on December 16,
1996, and 4,000 shares on December 17, 1996.
ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION.
No change from Amendment No. 1.
ITEM 4. PURPOSE OF TRANSACTION.
The Reporting Persons hold the Shares for investment. The Reporting
Persons presently intend to continue to dispose of some or all of the Shares,
and presently do not intend to acquire any further shares.
The Reporting Persons do not have any plans or proposals which relate
to or which would result in any of the actions specified in clauses (a) through
(j) of Item 4 of Schedule 13D.
ITEM 5. INTEREST IN SECURITIES OF THE ISSUER.
(a) As of the date of this filing, the Reporting Persons beneficially
own (as that term is defined in Rule 13d-3) 2,347,123 shares of Common Stock,
representing approximately 12.8% of the total number of shares of Common Stock
outstanding immediately following the contribution of the Shares to the LLC,
according to information provided by Issuer. The record owner of such shares is
the LLC.
(b) The Reporting Persons together have sole voting and dispositive
power with respect to the Shares.
(c) None.
(d) No other person is known to have the right to receive or the
power to direct the receipt of dividends, from, or the proceeds from the sale
of, the Shares.
(e) Not applicable.
ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDING OR RELATIONSHIPS WITH RESPECT
TO SECURITIES OF THE ISSUER
None
ITEM 7. MATERIAL TO BE FILED AS EXHIBITS.
None
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SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief,
we each certify that the information set forth in this statement is true,
complete and correct. This statement is filed on behalf of each of the
undersigned.
December 17, 1996
/s/ Norman Fong
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Norman Fong
FWB SOFTWARE, INC.
By: /s/ Norman Fong
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Its: President
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FWB SOFTWARE, LLC
By: FWB Software, Inc., its manager
By: /s/ Norman Fong
-------------------------
Its: President
-------------------------
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JOINT FILING AGREEMENT
The undersigned hereby agree that the attached statement on Schedule 13D is
filed on behalf of each of them.
December 17, 1996
/s/ Norman Fong
------------------------------
Norman Fong
FWB SOFTWARE, INC.
By: /s/ Norman Fong
--------------------------
Its: President
--------------------------
FWB SOFTWARE, LLC
By: FWB Software, Inc., its manager
By: /s/ Norman Fong
---------------------------
Its: President
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