FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 02/11/2005 |
3. Issuer Name and Ticker or Trading Symbol
CORVU CORP [ CRVU ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock, par value $.01 per share | 22,000,000(1)(4)(5)(6) | D |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Series C Convertible Preferred Stock(2)(4)(5)(6) | (2) | (2) | Common Stock | 3,400,000 | $0.5 | D | |
Preferred Warrant(3)(4)(5)(6) | 08/11/2005 | 08/11/2010 | Common Stock | 3,400,000 | $0.5 | D | |
Protection Warrant(3)(4)(5)(6) | 08/11/2005 | 08/11/2010 | Common Stock | 2,000,000 | $0.5 | D |
1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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Explanation of Responses: |
1. On the date hereof, the Reporting Person directly beneficially owns 22,000,000 shares of common stock, par value $.01 per share ("Common Stock"), of CorVu Corporation [CRVU] (the "Company"). |
2. On the date hereof, the Reporting Person directly beneficially owns 17,000 shares of Series C Convertible Preferred Stock of the Company, par value $100 per share ("Series C Preferred Stock"), which are convertible into 3,400,000 shares of Common Stock. There is no expiration date for the Series C Convertible Preferred Stock. |
3. On the date hereof, the Reporting Person directly beneficially owns warrants, which are not currently exercisable, to purchase up to an aggregate of 5,400,000 shares of Common Stock. |
4. On the date hereof, ComVest II Partners, LLC ("ComVest II Partners"), by virtue of the fact that it is the managing member of the Reporting Person, has an indirect beneficial ownership interest in (a) 22,000,000 of Common Stock of the Company; (b) 17,000 Shares of Series C Preferred Stock of the Company, which are convertible into 3,400,000 shares of Common Stock; and (c) warrants to purchase up to an aggregate of 5,400,000 shares of Common Stock. |
5. On the date hereof, Commonwealth Associates Group Holdings, LLC ("CAGH"), by virtue of the fact that it is the managing member of ComVest II Partners, has an indirect beneficial ownership interest in (a) 22,000,000 of Common Stock of the Company; (b) 17,000 Shares of Series C Preferred Stock of the Company, which are convertible into 3,400,000 shares of Common Stock; and (c) warrants to purchase up to an aggregate of 5,400,000 shares of Common Stock. |
6. On the date hereof, Michael S. Falk, by virtue of the fact that it is the managing member of CAGH, has an indirect beneficial ownership interest in (a) 22,000,000 of Common Stock of the Company; (b) 17,000 Shares of Series C Preferred Stock of the Company, which are convertible into 3,400,000 shares of Common Stock; and (c) warrants to purchase up to an aggregate of 5,400,000 shares of Common Stock. |
/s/Michael S. Falk, Managing Member, Comvest Investment Partners II LLC | 02/22/2005 | |
/s/Michael S. Falk | 02/22/2005 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |