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<TABLE>
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<S> <C>
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OMB APPROVAL
UNITED STATES --------------------------
SECURITIES AND EXCHANGE COMMISSION OMB NUMBER: 3235-0101
Washington, D.C. 20549 Expires: October 31, 1992
AMENDMENT NO. 1 Estimated Average burden
FORM 144 hours per response...2.00
filed January 31, 1997 --------------------------
NOTICE OF PROPOSED SALE OF SECURITIES
PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933 --------------------------
SEC USE ONLY
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ATTENTION: Transmit for filing 3 copies of this form concurrently with either placing an order DOCUMENT SEQUENCE NO.
with a broker to execute sale or executing a sale directly with a market maker.
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CUSIP NUMBER
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1 (a) NAME OF ISSUER (Please type or print) (b) IRS IDENT. NO. (c) S.E.C FILE NO. WORK LOCATION
Centura Software (formerly Gupta Corporation) 942874178 3235-0104
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1 (d) ADDRESS OF ISSUER STREET CITY STATE ZIP CODE (e) TELEPHONE NO.
1060 Marsh Road, Menlo Park, CA 94025 AREA CODE NUMBER
415 321-9500
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2 (a) NAME OF PERSON FOR WHOSE ACCOUNT (b) SOCIAL (c) RELATIONSHIP TO (d) ADDRESS STREET CITY STATE ZIP
THE SECURITIES ARE TO BE SOLD SECURITY NO. ISSUER CODE
Umang P. Gupta OR I.R.S. IDENT. NO. 10% stockholder 523 Harvard Road, San Mateo, CA 94402-2218
###-##-####
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INSTRUCTION: The person filing this notice should contact the issuer to obtain the I.R.S., Identification Number and the
S.E.C. File Number.
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3 (a) (b) SEC USE ONLY (c) (d) (e) (f) (g)
Title of the Name and Address of Each ------------ Number of Shares Aggregate Number of Approximate Name of Each
Class of Broker Through Whom The Broker-Dealer or Other Units Market Shares or Date of Sale Securities
Securities Securities are to be Offered File Number To Be Sold Value Other Units Exchange
To Be Sold or Each Market Maker who is Outstanding
Acquiring the Securities (See instr.
(See instr. (See instr. (See instr. 3(f)) (See instr.
3(c)) 3(d)) 3(e)) (MO. DAY YR.) 3(g))
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Common Paine Webber
555 California Street, Ste. 3200 250,000 $1,062,500 approx. ASAP Nasdaq
San Francisco, CA 94104 15,200,000
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INSTRUCTIONS:
1 (a) Name of issuer 3 (a) Title of the class of securities to be sold
(b) Issuer's I.R.S. Identification Number (b) Name and address of each broker through whom the securities
(c) Issuer's S.E.C. file number, if any are intended to be sold
(d) Issuer's address, including zip code (c) Number of shares or other units to be sold (if debt
(e) Issuer's telephone number, including area code securities, give the aggregate face amount)
(d) Aggregate market value of the securities to be sold as of a
2 (a) Name of person for whose account the securities are specified date within 10 days prior to the filing of this
to be sold notice
(b) Such person's Social Security or I.R.S. identification (e) Number of shares or other units of the class outstanding, or
number if debt securities the face amount thereof outstanding, as
(c) Such person's relationship to the issuer (e.g., officer, shown by the most recent report on statement published by
director, 10% stockholder, or member of immediate the issuer
family of any of the foregoing) (f) Approximate date on which the securities are to be sold
(d) Such person's address, including zip code (g) Name of each securities exchange, if any, on which the
securities are intended to be sold
</TABLE>
SEC 1147 (1-90)
<PAGE>
TABLE 1 -- SECURITIES TO BE SOLD
Furnish the following information with respect to the acquisition of the
securities to be sold and with respect to the payment of all or any part of the
purchase price or other consideration therefor:
<TABLE>
<CAPTION>
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Name of Person
from Whom Acquired
Title of Date You (If gift, also gift Amount of Date of
the Class Acquired Nature of Acquisition Transaction date donor acquired) Securities Acquired Payment Nature of Payment
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<C> <C> <S> <C> <C> <C> <C>
Common 10/84 Founders Stock Company 2,400,000
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</TABLE>
INSTRUCTIONS: 1. If the securities were purchased and full payment therefor was
not made in cash at the time of purchase, explain in the table
or in a note thereto the nature of the consideration given. If
the consideration consisted of any note or other obligation, or
if payment was made in installments describe the arrangement
and state when the note or other obligation was discharged in
full or the last installment paid.
2. If within two years after the acquisition of the securities the
person for whose account they are to be sold had any short
positions, put or other options to dispose of securities
referred to in paragraph (d)(3) of Rule 144, furnish full
information with respect thereto.
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TABLE II -- SECURITIES SOLD DURING THE PAST 3 MONTHS
Furnish the following information as to all securities of the issuer sold during
the past 3 months by the person for whose account the securities are to be sold.
<TABLE>
<CAPTION>
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Amount of
Name and Address of Seller Title of Securities Sold Date of Sale Securities Sold Gross Proceeds
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<S> <C> <C> <C> <C>
Umang P. Gupta 1. Common 10/29/96 7,500 $20,545.50
523 Harvard Road 2. Common 10/30/96 5,000 $19,695.50
San Mateo, CA 94402-2218
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</TABLE>
REMARKS: (See Attached)
INSTRUCTIONS:
See the definition of "person" in paragraph (a) of Rule 144. Information is to
be given not only as to the person for whose account the securities are to be
sold but also as to all other persons included in that definition. In addition,
information shall be given as to sales by all persons whose sales are required
by paragraph (c) of Rule 144 to be aggregated with sales for the account of the
person filing this notice.
----------------------------------------------------
DATE OF NOTICE
ATTENTION:
The person for whose account the securities to which this notice relates are to
be sold hereby represents by signing this notice that he does not know any
material adverse information in regard to the current and prospective operations
of the Issuer of the securities to be sold which has not been publicly
disclosed.
----------------------------------------------------
UMANG P. GUPTA (SIGNATURE)
The notice shall be signed by the person for whose account the securities are to
be sold. At least one copy of the notice shall be manually signed. Any copies
not manually signed shall bear typed or printed signatures.
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ATTENTION: Intentional misstatements or omission of facts constitutes Federal
Criminal Violations (See 18 U.S.C. 1001)
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<PAGE>
REMARKS TO AMENDMENT NO. 1 TO FORM 144
FILED 1/31/97
This Amendment No. 1 to Form 144 filed 1/31/97 increases the number of
shares of Common Stock proposed to be sold from 156,500 to 250,000. Upon
completion of the sale of these securities Mr. Gupta will no longer consider
himself an Affiliate of the Issuer since he will no longer own more than 10% of
the outstanding shares of the Issuer. Mr. Gupta's intention to sell the
securities listed above may be affected by a number of factors, including market
conditions. As stated in the Issuer's S-4 Registration Statement filed with the
Commission on January 27, 1997, the sale of shares of the Issuer by affiliates
such as Mr. Gupta, may affect the accounting treatment of the Issuer's pending
transaction with InfoSpinner. This, in turn, may affect the timing of the
transaction, or its ultimate consummation.
<PAGE>
TABLE I -- SECURITIES TO BE SOLD
Furnish the following information with respect to the acquisition of the
securities to be sold and with respect to the payment of all or any part of the
purchase price or other consideration therefor:
<TABLE>
<CAPTION>
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Name of Person
from Whom Acquired
Title of Date You (If gift, also give Amount of Date of
the Class Acquired Nature of Acquisition Transaction date donor acquired) Securities Acquired Payment Nature of Payment
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<S> <C> <C> <C> <C> <C> <C>
Common 10/84 Founders Stock Company 2,100,000
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</TABLE>
INSTRUCTIONS: 1. If the securities were purchased and full payment therefor was
not made in cash at the time of purchase, explain in the table
or in a note thereto the nature of the consideration given. If
the consideration consisted of any note or other obligation, or
if payment was made in installments, describe the arrangement
and state when the note or other obligation was discharged in
full or the last installment paid.
2. If within two years after the acquisition of the securities the
person for whose account they are to be sold had any short
positions, put or other options to dispose of the securities
referred to in paragraph (d)(3) of Rule 144, furnish full
information with respect thereto.
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TABLE II -- SECURITIES SOLD DURING THE PAST THREE MONTHS
Furnish the following information as to all securities of the issuer sold during
the past three months by the person for whose account the securities are to be
sold.
<TABLE>
<CAPTION>
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Amount of
Name and Address of Seller Title of Securities Sold Date of Sale Securities Sold Gross Proceeds
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<S> <C> <C> <C> <C>
Umang Gupta Common 10/29/96 7500 20545.50
523 Harvard Rd Common 10/30/96 5000 17695.50
San Mateo, CA 94402-2218
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</TABLE>
REMARKS:
INSTRUCTIONS:
See the definition of "person" in paragraph (a) of Rule 144. Information is to
be given not only as to the person for whose account the securities are to be
sold, but also as to all other persons included in that definition. In addition,
information shall be given as to sales by all persons whose sales are required
by paragraph (c) of Rule 144 to be aggregated with sales for the account of the
person filing this notice.
1/31/97
----------------------------------------------------
DATE OF NOTICE
ATTENTION:
The person for whose account the securities to which this notice relates are to
be sold hereby represents by signing this notice that he does not know any
material adverse information in regard to the current and prospective operations
of the Issuer of the securities to be sold which has not been publicly
disclosed.
/s/ Umang Gupta
----------------------------------------------------
(SIGNATURE)
The notice shall be signed by the person for whose account the securities are to
be sold. At least one copy of the notice shall be manually signed. Any copies
not manually signed shall bear typed or printed signatures.
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ATTENTION: Intentional misstatements or omission of facts constitute Federal
Criminal Violations (See 18 U.S.C. 1001)
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<PAGE>
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SEC USE ONLY
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DOCUMENT SEQUENCE NO.
--------------------------
CUSIP NUMBER
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WORK LOCATION
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
NOTICE OF PROPOSED SALE OF SECURITIES
PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
ATTENTION: Transmit for filing 3 copies of this form concurrently with either
placing an order with a broker to execute sale or executing a sale
directly with a market maker.
<TABLE>
<CAPTION>
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<S> <C> <C> <C>
1 (a) NAME OF ISSUER (b) IRS IDENT. NO. (c) S.E.C FILE NO.
Gupta Corporation N/C TO Centura Software 94-2874178 3235-0104
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1 (d) ADDRESS OF ISSUER STREET CITY STATE ZIP CODE (e) TELEPHONE NO.
1060 Marsh Road, Menlo Park, CA 94025 AREA CODE NUMBER
415 321-9500
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2 (a) NAME OF PERSON FOR WHOSE ACCOUNT (b) SOCIAL (c) RELATIONSHIP TO (d) ADDRESS STREET CITY STATE ZIP
THE SECURITIES ARE TO BE SOLD SECURITY NO. ISSUER CODE
Umang P. Gupta OR I.R.S. IDENT. NO. 10% shareholder 523 Harvard Road, San Mateo, CA 94402-2218
###-##-####
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</TABLE>
INSTRUCTION: The person filing this notice should contact the issuer to
obtain the I.R.S. Identification Number and the S.E.C. File
Number.
<TABLE>
<CAPTION>
- ------------------------------------------------------------------------------------------------------------------------------------
3 (a) (b) SEC USE ONLY (c) (d) (e) (f) (g)
Title of the Name and Address of Each ------------ Number of Shares Aggregate Number of Approximate Name of Each
Class of Broker Through Whom The Broker-Dealer or Other Units Market Shares or Date of Sale Securities
Securities Securities are to be Offered File Number To Be Sold Value Other Units (MO. DAY YR.) Exchange
To Be Sold or Each Market Maker who is Outstanding
Acquiring the Securities
(See instr. (See instr. (See instr. (See instr. (See instr.
3(c)) 3(d)) 3(e)) 3(f)) 3(g))
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<S> <C> <C> <C> <C> <C> <C>
Common Pain Webber
555 California Street, Ste. 3200 156,500 $704,250 12.632 M 1/28/97 Nasdaq
San Francisco, CA 94104
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</TABLE>
<TABLE>
<CAPTION>
INSTRUCTIONS:
<S> <C>
1 (a) Name of issuer 3 (a) Title of the class of securities to be sold
(b) Issuer's I.R.S. Identification Number (b) Name and address of each broker through whom the securities
(c) Issuer's S.E.C. file number, if any are intended to be sold
(d) Issuer's address, including zip code (c) Number of shares or other units to be sold (if debt
(e) Issuer's telephone number, including area code securities, give the aggregate face amount)
(d) Aggregate market value of the securities to be sold as of a
2 (a) Name of person for whose account the securities are specified date within 10 days prior to the filing of this
to be sold notice
(b) Such person's Social Security or I.R.S. Identification (e) Number of shares or other units of the class outstanding, or
Number if debt securities the face amount thereof outstanding, as
(c) Such person's relationship to the issuer (e.g., officer, shown by the most recent report or statement published by
director, 10% stockholder, or member of the immediate the issuer
family of any of the foregoing) (f) Approximate date on which the securities are to be sold
(d) Such person's address, including zip code (g) Name of each securities exchange, if any, on which the
securities are intended to be sold
</TABLE>
