-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, GGG+B9U9JdU4YNUDDcHHWNrses+6fbqBDBurZVuOwskYtecuUMNOZWPA/+xfFIlf rJNR7U8lp+UAO9Klb4IqHA== 0000898432-02-000145.txt : 20020414 0000898432-02-000145.hdr.sgml : 20020414 ACCESSION NUMBER: 0000898432-02-000145 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20020215 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: KIMBERLIN KEVIN CENTRAL INDEX KEY: 0000904841 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: SPENCER TRASK SECURITIES INC STREET 2: 535 MADISON AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2123555565 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: GRAPHON CORP/DE CENTRAL INDEX KEY: 0001021435 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 133899021 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-47429 FILM NUMBER: 02551378 BUSINESS ADDRESS: STREET 1: 400 COCHRANE CIRCLE CITY: MORGAN HILL STATE: CA ZIP: 95037 BUSINESS PHONE: 4087763232 MAIL ADDRESS: STREET 1: 40O COCHRANE CIRCLE CITY: MORGAN HILL STATE: CA ZIP: 95037 FORMER COMPANY: FORMER CONFORMED NAME: UNITY FIRST ACQUISITION CORP DATE OF NAME CHANGE: 19960823 SC 13G 1 s183333.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. _)* GRAPHON CORPORATION ----------------------------------------------------------------- (Name of Issuer) Common Stock, $0.0001 par value ----------------------------------------------------------------- (Title of Class of Securities) 388707 10 1 ----------------------------------- (CUSIP Number) December 31, 2001 ------------------------------------------------------- (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [ ] Rule 13d-1(b) [X] Rule 13d-1(c) [ ] Rule 13d-1(d) * 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 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. - - ------------------------------------------------------------------------------ CUSIP No. 388707 10 1 - - ------------------------------------------------------------------------------ 1. NAME OF REPORTING PERSON Kevin B. Kimberlin - - ------------------------------------------------------------------------------ 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [X] - - ------------------------------------------------------------------------------ 3. SEC USE ONLY - - ------------------------------------------------------------------------------ 4. CITIZENSHIP OR PLACE OF ORGANIZATION: United States Citizen - - ------------------------------------------------------------------------------ NUMBER OF 5. SOLE VOTING POWER 1,343,704 SHARES ------------------------------------------------------ BENEFICIALLY 6. SHARED VOTING POWER 0 OWNED BY ------------------------------------------------------ EACH 7. SOLE DISPOSITIVE POWER 1,343,704 REPORTING ------------------------------------------------------ PERSON WITH 8. SHARED DISPOSITIVE POWER 0 - - ------------------------------------------------------------------------------ 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,343,704 - - ------------------------------------------------------------------------------ 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] - - ------------------------------------------------------------------------------ 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 7.6% - - ------------------------------------------------------------------------------ 12. TYPE OF REPORTING PERSON IN - - ------------------------------------------------------------------------------ Item 1. (a) Name of Issuer: GraphOn Corporation (b) Address of Issuer's Principal Executive Offices 225 Cochrane Circle Morgan Hill, CA 95037 Item 2. (a) Name of Person Filing Kevin B. Kimberlin (b) Address of Principal Business Office c/o 535 Madison Avenue, 18th Floor New York, New York 10022 (c) Citizenship: Kevin B. Kimberlin is a citizen of the United States. (d) Title of Class of Securities Common Stock, $0.0001 par value (e) CUSIP Number 388707 10 1 Item 3. If this statement is filed pursuant to Rule 13d-1(b) or 13d-2(b) or (c), check the status of the person filing Not applicable. Item 4. Ownership (a) Amount beneficially owned: 1,343,704 (b) Percent of class: 7.6% (c) Number of shares as to which the person has: (i) Sole power to vote or to direct the vote 1,343,704 (ii) Shared power to vote or direct the vote -0- (iii) Sole power to dispose or direct the disposition of 1,343,704 (iv) Shared power to dispose or to direct the disposition of -0- Kevin B. Kimberlin is the general partner of Kevin Kimberlin Partners LP ("KKP"), a Delaware limited partnership. Kevin B. Kimberlin is the controlling stockholder of Spencer Trask & Co. (formerly known as Spencer Trask Holdings, Inc.), a Delaware corporation ("STC"), which controls Spencer Trask Ventures, Inc. (formerly known as Spencer Trask Securities, Incorporated), a Delaware corporation ("STVI"). The principal place of business of each of KKP, STC, and STVI is 535 Madison Avenue, 18th floor, New York, NY 10022. Of the amount reported above, KKP holds 1,815,801 shares of common stock and warrants to purchase 64,269 shares of common stock; STC holds 44,500 shares of common stock and warrants to purchase 216,490 shares of common stock; and STVI holds 184,807 shares of common stock and warrants to purchase 5,576 shares of common stock. Additionally, Kevin B. Kimberlin holds warrants to purchase 12,261 shares of common stock. Based on the Issuer's Form 10-Q filed November 13, 2001, as of November 9, 2001, 17,321,480 shares of the Issuer's common stock were issued and outstanding and, based on such figure, the reporting person held 7.6% of such class of stock. 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 Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company or Control Person 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 By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. SIGNATURES 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. Date: February 14, 2001 /s/ Kevin B. Kimberlin -------------------------------- Kevin B. Kimberlin Attention: Intentional misstatements or omissions of fact constitute Federal criminal violations (18 U.S.C. 1001) -----END PRIVACY-ENHANCED MESSAGE-----