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THIS DOCUMENT IS A COPY OF THE 13G/A
PREVIOUSLY FILED ON FEBRUARY 18, 1997
PURSUANT TO A RULE 201 TEMPORARY
HARDSHIP EXEMPTION.
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. 1 )*
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Unison Software, Inc.
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(Name of Issuer)
Common Stock
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(Title of Class of Securities)
90919 P 10 5
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(CUSIP Number)
Check the following box if a fee is being paid with this statement / /. (A
fee is not required only if the filing 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 the disclosures provided in a prior page.
The information required in the remainder of this cover page shall not be
deemed to be "filed" for the purpose of Section 18 of the Securities Exchange
Act 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).
(Continued on following page(s))
Page 1 of Pages
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CUSIP No. 90919 P 10 5 13G Page 2 of Pages
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(1) Names of Reporting Persons. S.S. or I.R.S. Identification Nos. of Above
Persons
Unison Software, Inc. 401K Plan
94-2696878
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(2) Check the Appropriate Box if a Member (a) / /
of a Group* (b) / /
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(3) SEC Use Only
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(4) Citizenship or Place of Organization
California
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Number of Shares (5) Sole Voting
Beneficially Power 1,095,732
Owned by --------------------------------------------------
Each Reporting (6) Shared Voting
Person With Power 0
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(7) Sole Dispositive
Power 1,095,732
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(8) Shared Dispositive
Power 0
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(9) Aggregate Amount Beneficially Owned by Each Reporting Person
1,095,732
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(10) Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares*
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(11) Percent of Class Represented by Amount in Row (9)
13.85%
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(12) Type of Reporting Person*
EP
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*SEE INSTRUCTION BEFORE FILLING OUT!
<PAGE>
CUSIP No. 90919 P 10 5 13G Page 2 of Pages
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(1) Names of Reporting Persons. S.S. or I.R.S. Identification Nos. of Above
Persons
Don H. Lee, Trustee
###-##-####
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(2) Check the Appropriate Box if a Member (a) / /
of a Group* (b) / /
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(3) SEC Use Only
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(4) Citizenship or Place of Organization
U.S. citizen
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Number of Shares (5) Sole Voting
Beneficially Power 0
Owned by --------------------------------------------------
Each Reporting (6) Shared Voting
Person With Power 1,095,732
--------------------------------------------------
(7) Sole Dispositive
Power 0
--------------------------------------------------
(8) Shared Dispositive
Power 1,095,732
- -------------------------------------------------------------------------------
(9) Aggregate Amount Beneficially Owned by Each Reporting Person
1,095,732
- -------------------------------------------------------------------------------
(10) Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares*
- -------------------------------------------------------------------------------
(11) Percent of Class Represented by Amount in Row (9)
13.85%
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(12) Type of Reporting Person*
IN
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*SEE INSTRUCTION BEFORE FILLING OUT!
<PAGE>
CUSIP No. 90919 P 10 5 13G Page 2 of Pages
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(1) Names of Reporting Persons. S.S. or I.R.S. Identification Nos. of Above
Persons
Michael A. Casteel, Trustee
###-##-####
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(2) Check the Appropriate Box if a Member (a) / /
of a Group* (b) / /
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(3) SEC Use Only
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(4) Citizenship or Place of Organization
U.S. citizen
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Number of Shares (5) Sole Voting
Beneficially Power 0
Owned by --------------------------------------------------
Each Reporting (6) Shared Voting
Person With Power 1,095,732
--------------------------------------------------
(7) Sole Dispositive
Power 0
--------------------------------------------------
(8) Shared Dispositive
Power 1,095,732
- -------------------------------------------------------------------------------
(9) Aggregate Amount Beneficially Owned by Each Reporting Person
1,095,732
- -------------------------------------------------------------------------------
(10) Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares*
- -------------------------------------------------------------------------------
(11) Percent of Class Represented by Amount in Row (9)
13.85%
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(12) Type of Reporting Person*
IN
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*SEE INSTRUCTION BEFORE FILLING OUT!
<PAGE>
CUSIP No. 90919 P 10 5 Page 3 of Pages
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ITEM 1(A). NAME OF ISSUER
Unison Software, Inc
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ITEM 1(B). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES
5101 Patrick Henry Drive
Santa Clara, CA 95054
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ITEM 2(A). NAME OF PERSON(S) FILING
Unison Software, Inc. 401K Plan
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ITEM 2(B). ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE
c/o Unison Software, Inc.
5101 Patrick Henry Drive
Santa Clara, CA 95054
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ITEM 2(C). CITIZENSHIP
The trustees, Don H. Lee and Michael A. Casteel are U.S. citizens
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ITEM 2(D). TITLE OF CLASS OF SECURITIES
Common Stock
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ITEM 2(E). CUSIP NUMBER
90919 P 10 5
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ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO RULES 13D-1(B), OR 13D-2(B),
CHECK WHETHER THE PERSON FILING IS A
This statement is not being filed pursuant to Rule 13d-1(b) or
13d-2(b)
ITEM 4. OWNERSHIP
(a) Amount Beneficially Owned:
1,095,732
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(b) Percent of Class:
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CUSIP No. 90919 P 10 5 Page 4 of Pages
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13.85%
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(c) Number of shares as to which such person has:
(i) sole power to vote or to direct the vote 1,095,732
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(ii) shared power to vote or to direct the vote 1,095,732*
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(iii) sole power to dispose or to direct the disposition of 1,095,732
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(iv) shared power to dispose or to direct the disposition of 1,095,732*
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*Shared power held by both trustees
ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS
Not applicable
ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON
Not applicable
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ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED
THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY
Not applicable
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ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP
Not applicable
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ITEM 9. NOTICE OF DISSOLUTION OF GROUP
Not applicable
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ITEM 10. CERTIFICATION
By signing below I certify that, to the best of my 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.
<PAGE>
CUSIP No. 90919 P 10 5 Page 5 of Pages
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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.
Unison Software, Inc. 401K Plan
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(Date)
/s/ Michael A. Casteel
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Michael A. Casteel, Trustee
/s/ Don H. Lee
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Don H. Lee, Trustee
