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THIS DOCUMENT IS A COPY OF THE SCHEDULE 13G
FILED ON FEBRUARY 18, 1997
PURSUANT TO A RULE 201 TEMPORARARY HARDSHIP EXEMPTION
OMB APPROVAL
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OMB Number: 3235-0145
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13G
UNDER THE SECURITIES EXCHANGE ACT OF 1934
(AMENDMENT NO. 1 )*
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Socket Communications, Inc.
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(Name of Issuer)
Common Stock / Warrants to Purchase Common Stock
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(Title of Class of Securities)
833672 10 8 / 833572 11 6
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(CUSIP Number)
Check the following box if a fee is being paid with the 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.).
*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 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).
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CUSIP NO. 833672 10 8 13G PAGE 2 OF 6 PAGES
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NAME OF REPORTING PERSON
1 S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Charlie Bass, Trustee of The Bass Trust
###-##-####
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
2 (a) [_]
(b) [X]
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SEC USE ONLY
3
- ------------------------------------------------------------------------------
CITIZENSHIP OR PLACE OF ORGANIZATION
4
United States
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SOLE VOTING POWER
5
NUMBER OF 25,401
SHARES -----------------------------------------------------------
SHARED VOTING POWER
BENEFICIALLY 6
327,413
OWNED BY
-----------------------------------------------------------
EACH SOLE DISPOSITIVE POWER
7
REPORTING 25,401
PERSON -----------------------------------------------------------
SHARED DISPOSITIVE POWER
WITH 8
327,413
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
9
327,413 shares as of December 31, 1996
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CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
10
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
11
10.8%
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TYPE OF REPORTING PERSON*
12
PN
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*SEE INSTRUCTION BEFORE FILLING OUT!
Page 2 of 6 pages
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CUSIP NO. 833672 10 8 13G PAGE 3 OF 6 PAGES
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NAME OF REPORTING PERSON
1 S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Bass Associates
77-0233073
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
2 (a) [_]
(b) [X]
- ------------------------------------------------------------------------------
SEC USE ONLY
3
- ------------------------------------------------------------------------------
CITIZENSHIP OR PLACE OF ORGANIZATION
4
United States
- ------------------------------------------------------------------------------
SOLE VOTING POWER
5
NUMBER OF 0
SHARES -----------------------------------------------------------
SHARED VOTING POWER
BENEFICIALLY 6
302,012
OWNED BY
-----------------------------------------------------------
EACH SOLE DISPOSITIVE POWER
7
REPORTING 0
PERSON -----------------------------------------------------------
SHARED DISPOSITIVE POWER
WITH 8
302,012
- ------------------------------------------------------------------------------
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
9
302,012 shares as of December 31, 1996
- ------------------------------------------------------------------------------
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
10
- ------------------------------------------------------------------------------
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
11
10.0%
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TYPE OF REPORTING PERSON*
12
PN
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*SEE INSTRUCTION BEFORE FILLING OUT!
Page 3 of 6 pages
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ITEM 1.
a. NAME OF THE ISSUER: Socket Communications, Inc.
b. ADDRESS OF THE ISSUER: 37400 Central Court
Newark, CA 94560
ITEM 2.
a. NAME OF THE PERSON FILING: Bass Associates, a California
limited partnership; Charlie Bass as
Trustee of the Bass Trust.
b. ADDRESS OF THE PRINCIPAL OFFICE: Charlie Bass
Managing Partner
Bass Associates
435 Tasso Street, Suite 325
Palo Alto, CA 94301
c. CITIZENSHIP: United States of America
d. TITLES OF CLASSES OF SECURITIES: Socket Communication's Common Stock
/ Warrants to Purchase Socket
Communication's Common Stock
e. CUSIP NUMBERS: 833672 20 7 / 833572 11 6
ITEM 3.
Not applicable
ITEM 4. OWNERSHIP
a. AMOUNT BENEFICIALLY OWNED 327,413 shares of Common Stock /
5,000 Warrants to Purchase Common
Stock as of December 31, 1996
b. PERCENT OF CLASS 10.8% / 1%
c. NUMBER OF SHARES AS TO WHICH SUCH PERSON HAS:
(i) SOLE POWER TO VOTE OR TO DIRECT THE VOTE
25,401 shares as of December 31, 1996
(ii) SHARED POWER TO VOTE OR TO DIRECT THE VOTE
327,413 shares as of December 31, 1996
(iii) SOLE POWER TO DISPOSE OR DIRECT THE DISPOSITION OF
327,413 shares as of December 31, 1996
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(iv) SHARED POWER TO DISPOSE OR DIRECT THE DISPOSITION OF
327,413 shares as of December 31, 1996
ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS
Not Applicable
ITEM 6. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS
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
The following certification shall be included if the statement is filed
to Rule 13d-1(b):
By signing below I certify that, to the best of knowledge and belief,
the securities referred to above were acquired in the ordinary course
of business and were not acquired for the purpose of 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.
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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
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Date
/s/ CHARLIE BASS
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Signature
Charlie Bass General Partner, Bass Associates
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Name/Title
