-----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, TG1R4VVfLHzMYqD4sqEbZot//0yOu/xbfFxqSYVNtF1qyj2EF3IHbyedWXB9r0AI RRQLRrAZfXXwvh0E3TJqzA== 0000912057-00-007206.txt : 20000217 0000912057-00-007206.hdr.sgml : 20000217 ACCESSION NUMBER: 0000912057-00-007206 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20000216 GROUP MEMBERS: JONES KENNETH E GROUP MEMBERS: KENNETH E. JONES GROUP MEMBERS: SEAHAWK INVESTMENT TRUST GROUP MEMBERS: SEAHAWK RANCH IRREVOCABLE TRUST GROUP MEMBERS: WESTERN GENERAL CORPORATION SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: DITECH CORP CENTRAL INDEX KEY: 0001080667 STANDARD INDUSTRIAL CLASSIFICATION: TELEPHONE & TELEGRAPH APPARATUS [3661] IRS NUMBER: 942935531 FISCAL YEAR END: 0430 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-57419 FILM NUMBER: 546872 BUSINESS ADDRESS: STREET 1: 825 E MIDDLEFIELD RD CITY: MOUNTAIN VIEW STATE: CA ZIP: 94043 BUSINESS PHONE: 6506231300 MAIL ADDRESS: STREET 1: 825 E MIDDLEFIELD RD CITY: MOUNTAIN VIEW STATE: CA ZIP: 94043 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: JONES KENNETH E CENTRAL INDEX KEY: 0001068799 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 555 PILGRIM DRIVE STREET 2: SUITE F CITY: FOSTER CITY STATE: CA ZIP: 94404 BUSINESS PHONE: 6503722650 MAIL ADDRESS: STREET 1: 550 PILGRIM DRIVE STREET 2: SUITE F CITY: FOSTER CITY STATE: CA ZIP: 94404 SC 13G 1 SCHEDULE 13G ----------------------------------- OMB APPROVAL ----------------------------------- ----------------------------------- OMB Number: 3235-0145 Expires: August 31, 1999 Estimated average burden hours per response........14.90 ----------------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. ______)* Ditech Communications Corporation --------------------------------------------------- (Name of Issuer) Common Stock, par value $0.001 --------------------------------------------------- (Title of Class of Securities) 25500 M 103 --------------------------------------------------- (CUSIP Number) December 31, 1999 --------------------------------------------------- (Date of Event Which Requires Filing of This Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: /X/ Rule 13d-1(b) / / 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 the disclosures provided in a prior cover 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). POTENTIAL PERSONS WHO ARE TO RESPOND TO THE COLLECTION OF INFORMATION CONTAINED IN THIS FORM ARE NOT REQUIRED TO RESPOND UNLESS THE FORM DISPLAYS A CURRENTLY VALID OMB CONTROL NUMBER. SEC 1745 (3-98) - ---------------------- ------------------ CUSIP NO. 25500 M 103 13G PAGE 2 OF 9 PAGES - ---------------------- ------------------ - ---------- -------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO(S). OF ABOVE PERSON(S) (ENTITIES ONLY) KENNETH E. JONES - ---------- -------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBEROF A GROUP* (a) (b) - ---------- -------------------------------------------------------------------- 3 SEC USE ONLY - ---------- -------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION UNITED STATES - ----------------------------- ------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES 1,028,316** BENEFICIALLY ----- ------------------------------------------- 6 SHARED VOTING POWER OWNED BY -0- EACH ----- ------------------------------------------- 7 SOLE DISPOSITIVE POWER REPORTING PERSON 1,028,316** ----- ------------------------------------------- WITH: 8 SHARED DISPOSITIVE POWER -0- - ---------- -------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,028,316** - ---------- -------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* NOT APPLICABLE. - ---------- -------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 7.0% - ---------- -------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - ---------- -------------------------------------------------------------------- ** Includes: (i) 708,985 shares held by Seahawk Ranch Irrevocable Trust, of which Mr. Jones is a trustee; (ii) 297,219 shares held by Seahawk Investment Trust, of which Mr. Jones is a trustee; (iii) 17,112 shares held by Western General Corporation, of which Mr. Jones is president; and (iv) 5,000 shares which may be acquired upon exercise of stock options exercisable within 60 days of December 31, 1999. - ---------------------- ------------------ CUSIP NO. 25500 M 103 13G PAGE 3 OF 9 PAGES - ---------------------- ------------------ - ---------- -------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO(S). OF ABOVE PERSON(S) (ENTITIES ONLY) WESTERN GENERAL CORPORATION - ---------- -------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBEROF A GROUP* (a) (b) - ---------- -------------------------------------------------------------------- 3 SEC USE ONLY - ---------- -------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION UNITED STATES - ----------------------------- ------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES 17,112 BENEFICIALLY ----- ------------------------------------------- 6 SHARED VOTING POWER OWNED BY -0- EACH ----- ------------------------------------------- 7 SOLE DISPOSITIVE POWER REPORTING PERSON 17,112 ----- ------------------------------------------- WITH: 8 SHARED DISPOSITIVE POWER -0- - ---------- -------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 17,112 - ---------- -------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* NOT APPLICABLE. - ---------- -------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 0.1% - ---------- -------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* CO - ---------- -------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! - ---------------------- ------------------ CUSIP NO. 25500 M 103 13G PAGE 4 OF 9 PAGES - ---------------------- ------------------ - ---------- -------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO(S). OF ABOVE PERSON(S) (ENTITIES ONLY) SEAHAWK RANCH IRREVOCABLE TRUST - ---------- -------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBEROF A GROUP* (a) (b) - ---------- -------------------------------------------------------------------- 3 SEC USE ONLY - ---------- -------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION UNITED STATES - ----------------------------- ------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES 708,985 BENEFICIALLY ----- ------------------------------------------- 6 SHARED VOTING POWER OWNED BY -0- EACH ----- ------------------------------------------- 7 SOLE DISPOSITIVE POWER REPORTING PERSON 708,985 ----- ------------------------------------------- WITH: 8 SHARED DISPOSITIVE POWER -0- - ---------- -------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 708,985 - ---------- -------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* NOT APPLICABLE. - ---------- -------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 5.3% - ---------- -------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* OO - ---------- -------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! - ---------------------- ------------------ CUSIP NO. 25500 M 103 13G PAGE 5 OF 9 PAGES - ---------------------- ------------------ - ---------- -------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO(S). OF ABOVE PERSON(S) (ENTITIES ONLY) SEAHAWK INVESTMENT TRUST - ---------- -------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBEROF A GROUP* (a) (b) - ---------- -------------------------------------------------------------------- 3 SEC USE ONLY - ---------- -------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION UNITED STATES - ----------------------------- ------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES 297,219 BENEFICIALLY ----- ------------------------------------------- 6 SHARED VOTING POWER OWNED BY -0- EACH ----- ------------------------------------------- 7 SOLE DISPOSITIVE POWER REPORTING PERSON 297,219 ----- ------------------------------------------- WITH: 8 SHARED DISPOSITIVE POWER -0- - ---------- -------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 297,219 - ---------- -------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* NOT APPLICABLE. - ---------- -------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 2.2% - ---------- -------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* OO - ---------- -------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! ITEM 1. (a) NAME OF ISSUER: Ditech Communications Corporation (b) ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: 825 E. Middlefield Road Mountain View, CA 94043 ITEM 2. (a) NAMES OF PERSONS FILING: Kenneth E. Jones Western General Corporation Seahawk Ranch Irrevocable Trust Seahawk Investment Trust (b) ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE: The address for each of Kenneth E. Jones, Western General Corporation, Seahawk Ranch Irrevocable Trust and Seahawk Investment Trust is: 550 Pilgrim Drive, Suite F Foster City, CA 94404 (c) CITIZENSHIP OF ALL OF THE PERSONS FILING: United States (d) TITLE OF CLASS OF SECURITIES: Common Stock, par value $0.001 (e) CUSIP NUMBER: 25500 M 103 ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO Sections 240.13d-1(b), OR 240.13d-2(b) OR (c), CHECK WHETHER THE PERSON FILING IS A: Not applicable. ITEM 4. OWNERSHIP Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1. (a) AMOUNT BENEFICIALLY OWNED: Kenneth E. Jones is the President of Western General Corporation, and as such, may be deemed to beneficially own the 17,112 shares of common stock of Ditech Communications Corporation (the "Common Stock") directly held by Western General Corporation. Mr. Jones is also a trustee of Seahawk Ranch Irrevocable Trust, and as such, may be deemed to beneficially own the 708,985 shares of Common Stock directly held by Seahawk Ranch Irrevocable Trust. Mr. Jones is also a trustee of Seahawk Investment Trust, and as such, may be deemed to beneficially own the 297,219 shares of Common Stock directly held by Seahawk Investment Trust. Mr. Jones is also the beneficial owner of 5,000 shares of Common Stock which may be acquired upon the exercise of stock options exercisable within 60 days of December 31, 1999. (b) PERCENT OF CLASS: Please see Item 11 of pages 2 through 5 of this Schedule 13G. (c) NUMBER OF SHARES AS TO WHICH SUCH PERSON HAS: (i) SOLE POWER TO VOTE OR TO DIRECT THE VOTE: Please see Item 5 of pages 2 through 5 of this Schedule 13G. (ii) SHARED POWER TO VOTE OR TO DIRECT THE VOTE: Please see Item 6 of pages 2 through 5 of this Schedule 13G. (iii) SOLE POWER TO DISPOSE OR TO DIRECT THE DISPOSITION OF: Please see Item 7 of pages 2 through 5 of this Schedule 13G. (iv) SHARED POWER TO DISPOSE OR TO DIRECT THE DISPOSITION OF: Please see Item 8 of pages 2 through 5 of this Schedule 13G. 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 Not applicable. ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP Not applicable. ITEM 9. NOTICE OF DISSOLUTION OF A GROUP Not applicable. ITEM 10. CERTIFICATION By signing below the undersigned certify that, to the best of our 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. SIGNATURE After reasonable inquiry and to the best of our knowledge and belief, the undersigned certify that the information set forth in this statement is true, complete and correct. Date: February 11, 2000 WESTERN GENERAL CORPORATION By: /s/ Kenneth E. Jones -------------------------------- Kenneth E. Jones President SEAHAWK RANCH IRREVOCABLE TRUST By: /s/ Kenneth E. Jones -------------------------------- Kenneth E. Jones Trustee SEAHAWK INVESTMENT TRUST By: /s/ Kenneth E. Jones -------------------------------- Kenneth E. Jones Trustee /s/ Kenneth E. Jones ------------------------------------- KENNETH E. JONES -----END PRIVACY-ENHANCED MESSAGE-----