-----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, OSM9E+6Ge5hEE24YTB8KgJta3qbhmfN1nwBmwu7jmfzPsyjSy4WeF21ypClMnkbB pl3T/jZOQGpkGA0TL3rORw== 0001104659-03-002532.txt : 20030214 0001104659-03-002532.hdr.sgml : 20030214 20030214155431 ACCESSION NUMBER: 0001104659-03-002532 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20030214 GROUP MEMBERS: M. AND S. MOSHAYEDI REVOCABLE TRUST GROUP MEMBERS: SEMIRA MOSHAYEDI FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: MOSHAYEDI MARK CENTRAL INDEX KEY: 0001133782 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 3001 DAIMLER STREET CITY: SANTA ANA STATE: CA ZIP: 92705-5812 BUSINESS PHONE: 9494761180 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: SIMPLETECH INC CENTRAL INDEX KEY: 0001102741 STANDARD INDUSTRIAL CLASSIFICATION: COMPUTER STORAGE DEVICES [3572] IRS NUMBER: 330399154 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-60919 FILM NUMBER: 03567749 BUSINESS ADDRESS: STREET 1: 3001 DAIMLER ST CITY: SANTA ANA STATE: CA ZIP: 92705-5812 BUSINESS PHONE: 8003677330 MAIL ADDRESS: STREET 1: 3001 DAIMLER ST CITY: SANTA ANA STATE: CA ZIP: 92705 FORMER COMPANY: FORMER CONFORMED NAME: SIMPLE TECHNOLOGY INC DATE OF NAME CHANGE: 20000106 SC 13G/A 1 j7661_sc13ga.htm SC 13G/A

SEC 1745
(02-02)


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.

 

 

UNITED STATES

OMB APPROVAL

 

SECURITIES AND EXCHANGE COMMISSION

OMB Number:
3235-0145

 

Washington, D.C. 20549

Expires: December 31, 2005

 

SCHEDULE 13G/A

Estimated average burden hours per response. . 11

 

Under the Securities Exchange Act of 1934
(Amendment No.   2)*

 

SimpleTech, Inc.

(Name of Issuer)

 

Common Stock, $0.001 par value per share

(Title of Class of Securities)

 

828820 10 0

(CUSIP Number)

 

December 31, 2002

(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)

[     ]

Rule 13d-1(c)

[ X ]

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).

 



 

 

CUSIP No.  828820 10 0

 

 

1.

Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only)
Mark Moshayedi

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)
Not Applicable.

 

 

(a)

[     ]

 

 

(b)

[     ]

 

 

3.

SEC Use Only

 

 

4.

Citizenship or Place of Organization
United States

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power
3,443,778 (1)

 

6.

Shared Voting Power
8,282,192 (1)

 

7.

Sole Dispositive Power
3,443,778 (1)

 

8.

Shared Dispositive Power
8,282,192 (1)

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
11,725,970 (1)

 

 

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)  [     ]
Not Applicable.

 

 

11.

Percent of Class Represented by Amount in Row (9)
30.3%

 

 

12.

Type of Reporting Person (See Instructions)
IN

 

2



 

 

1.

Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only)
Semira Moshayedi

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)
Not Applicable.

 

 

(a)

[     ]

 

 

(b)

[     ]

 

 

3.

SEC Use Only

 

 

4.

Citizenship or Place of Organization
United States

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power
0

 

6.

Shared Voting Power
7,101,846 (2)

 

7.

Sole Dispositive Power
0

 

8.

Shared Dispositive Power
7,101,846 (2)

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
7,101,846 (2)

 

 

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)  [     ]
See note 2 below.

 

 

11.

Percent of Class Represented by Amount in Row (9)
18.3%

 

 

12.

Type of Reporting Person (See Instructions)
IN

 

3



 

 

1.

Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only)
M. and S. Moshayedi Revocable Trust, dated 9/25/98

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)
Not Applicable.

 

 

(a)

[     ]

 

 

(b)

[     ]

 

 

3.

SEC Use Only

 

 

4.

Citizenship or Place of Organization
California

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power
7,101,846

 

6.

Shared Voting Power
0

 

7.

Sole Dispositive Power
7,101,846

 

8.

Shared Dispositive Power
0

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
7,101,846

 

 

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)  [     ]
Not Applicable.

 

 

11.

Percent of Class Represented by Amount in Row (9)
18.3%

 

 

12.

Type of Reporting Person (See Instructions)
OO

 

4



 

Item 1.

 

(a)

Name of Issuer
SimpleTech, Inc.

 

(b)

Address of Issuer's Principal Executive Offices
3001 Daimler Street
Santa Ana, California 92705-5812

 

Item 2.

 

(a)

Name of Person Filing
Mark Moshayedi, Semira Moshayedi, and the M. and S. Moshayedi Revocable Trust

 

(b)

Address of Principal Business Office or, if none, Residence
3001 Daimler Street
Santa Ana, California 92705-5812

 

(c)

Citizenship
Mark Moshayedi – United States
Semira Moshayedi – United States
M. and S. Moshayedi Revocable Trust – California

 

(d)

Title of Class of Securities
Common Stock, $0.001 par value per share

 

(e)

CUSIP Number
828820 10 0

 

Item 3.

If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:

 

(a)

[  ]

Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o).

 

(b)

[  ]

Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c).

 

(c)

[  ]

Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c).

 

(d)

[  ]

Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C 80a-8).

 

(e)

[  ]

An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E);

 

(f)

[  ]

An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);

 

(g)

[  ]

A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G);

 

(h)

[  ]

A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);

 

(i)

[  ]

A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);

 

(j)

[  ]

Group, in accordance with §240.13d-1(b)(1)(ii)(J).

Not Applicable.

 

5



 

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:   
Mark Moshayedi (1) – 11,725,970
Semira Moshayedi (2) – 7,101,846
M. and S. Moshayedi Revocable Trust – 7,101,846

 

(b)

Percent of class:   
Mark Moshayedi (1) – 30.3%
Semira Moshayedi (2) – 18.3%
M. and S. Moshayedi Revocable Trust – 18.3%

 

(c)

Number of shares as to which the person has:

 

 

(i)

Sole power to vote or to direct the vote   
Mark Moshayedi (1) – 3,443,778
Semira Moshayedi  - 0
M. and S. Moshayedi Revocable Trust – 7,101,846

 

 

(ii)

Shared power to vote or to direct the vote   
Mark Moshayedi (1) – 8,282,192
Semira Moshayedi (2)  – 7,101,846
M. and S. Moshayedi Revocable Trust - 0

 

6



 

 

 

(iii)

Sole power to dispose or to direct the disposition of   
Mark Moshayedi (1) –3,443,778
Semira Moshayedi – 0
M. and S. Moshayedi Revocable Trust – 7,101,846

 

 

(iv)

Shared power to dispose or to direct the disposition of   
Mark Moshayedi (1) – 8,282,192
Semira Moshayedi (2) – 7,101,846
M. and S. Moshayedi Revocable Trust - 0

 

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

Not Applicable.

 


(1) Included in the number of shares Mr. Moshayedi beneficially owns are: (i) 1,443,778 shares held by Mark Moshayedi, as Trustee for the M. and S. Moshayedi Investment Trust, dated 11/16/95, (ii) 590,173 shares held by Mark Moshayedi, as Co-Trustee for the M. and P. Moshayedi Investment Trust, dated 12/30/96, FBO Kevin Moshayedi, (iii) 590,173 shares held by Mark Moshayedi, as Co-Trustee for the M. and P. Moshayedi Investment Trust, dated 12/30/96, FBO Brian Moshayedi,  (iv) 7,101,846 shares held by Mark Moshayedi and Semira Moshayedi, as Trustees for the M. and S. Moshayedi Revocable Trust, dated 9/25/98, (v) 1,000,000 shares held by Mark Moshayedi, as Trustee for the Mehrdad Moshayedi Grantor Retained Annuity Trust, and (vi) 1,000,000 shares held by Mark Moshayedi, as Trustee for the Semira Moshayedi Grantor Retained Annuity Trust.   Mark Moshayedi has shared voting and dispositive power with respect to the shares held by the M. and S. Moshayedi Revocable Trust, the M. and P. Moshayedi Investment Trust FBO Kevin Moshayedi and the M. and P. Moshayedi Investment Trust FBO Brian Moshayedi.  Mark Moshayedi expressly disclaims beneficial ownership of shares held by the M. and S. Moshayedi Investment Trust, the M. and P. Moshayedi Investment Trust FBO Kevin Moshayedi and the M. and P. Moshayedi Investment Trust FBO Brian Moshayedi and the filing of this Schedule 13G/A shall not be construed as an admission that Mark Moshayedi is, for purposes of Section 13(d) or 13(g) of the Securities and Exchange Act of 1934, as amended, the beneficial owner of such shares. 

 

(2) Included in the number of shares Ms. Moshayedi beneficially owns are 7,101,846 shares held by Mark Moshayedi and Semira Moshayedi, as Trustees for the M. and S. Moshayedi Revocable Trust, dated 9/25/98. Does not include (i) 1,443,778 shares held by the M. and S. Moshayedi Investment Trust for which Ms. Moshayedi’s spouse serves as trustee, (ii) 590,173 shares held by the M. and P. Moshayedi Investment Trust FBO Kevin Moshayedi for which Ms. Moshayedi’s spouse serves as co-trustee, (iii) 590,173 shares held by the M. and P. Moshayedi Investment Trust FBO Brian Moshayedi for which Ms. Moshayedi’s spouse serves as co-trustee,

(iv) 1,000,000 shares held by the Mehrdad Moshayedi Grantor Retained Annuity Trust for which Ms. Moshayedi’s spouse serves as trustee, and (v) 1,000,000 shares held by the Semira Moshayedi Grantor Retained Annuity Trust for which Ms. Moshayedi’s spouse serves as trustee.  Ms. Moshayedi has shared voting and dispositive power with respect to the shares held by the M. and S. Moshayedi Revocable Trust.  Ms. Moshayedi has no power to vote or direct the vote or dispose or direct the disposition of any shares of common stock held by the M. and S. Moshayedi Investment Trust, the M. and P. Moshayedi Investment Trust FBO Kevin Moshayedi, the M. and P. Investment Trust FBO Brian Moshayedi, the Mehrdad Moshayedi Grantor Retained Annuity Trust and the Semira Moshayedi Grantor Retained Annuity Trust, and Ms. Moshayedi expressly disclaims beneficial ownership of all of the shares of common stock

 

7



 

held the M. and S. Moshayedi Investment Trust, the M. and P. Moshayedi Investment Trust FBO Kevin Moshayedi, the M. and P. Moshayedi Investment Trust FBO Brian Moshayedi, the Mehrdad Moshayedi Grantor Retained Annuity Trust and the Semira Moshayedi Grantor Retained Annuity Trust and the filing of this Schedule 13G/A shall not be construed as an admission that Semira Moshayedi is, for purposes of Section 13(d) or 13(g) of the Securities Exchange Act of 1934, as amended, the beneficial owner of such shares.

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.

 

 

February 14, 2003

 

 

Date:

 

 


/s/ MARK MOSHAYEDI

 

 

Signature

 

 

Mark Moshayedi

 

 

/s/ MARK MOSHAYEDI

 

 

Semira Moshayedi

 

 

 

 

 

M. AND S. MOSHAYEDI REVOCABLE TRUST

 

 

 

 

 

/s/ MARK MOSHAYEDI

 

 

Mark Moshayedi, Co-Trustee

 

 

 

 

 

/s/ SEMIRA MOSHAYEDI

 

 

Semira Moshayedi, Co-Trustee

 

 

 

 

 

8



 

EXHIBIT A

 

AGREEMENT FOR JOINT FILING OF SCHEDULE 13G/A

 

The undersigned and each other person executing this joint filing agreement (the “Agreement’) agree as follows:

 

(1)           The undersigned and each other person executing this Agreement are individually eligible to use the Schedule 13G/A to which this Exhibit is attached and such Schedule 13G/A is filed on behalf of the undersigned and each other person executing this Agreement; and

 

(2)           The undersigned and each other person executing this Agreement are responsible for the timely filing of such Schedule 13G/A and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of the undersigned or any other person executing this Agreement is responsible for the completeness or accuracy of the information statement concerning any other persons making the filing, unless such person knows or has reason to believe that such information is inaccurate.

 

This Agreement may be executed in any number of counterparts, each of which shall be deemed to be an original, but all of which, taken together, shall constitute one and the same instrument.

 

 

Date: February  14, 2003

 

Signature:

/s/ MARK MOSHAYEDI

 

 

 

Name:

Mark Moshayedi

 

 

 

 

 

 

 

 

 

 

 

Signature:

/s/ SEMIRA MOSHAYEDI

 

 

 

Name:

Semira Moshayedi

 

 

 

 

 

 

 

 

 

 

 

M. AND S. MOSHAYEDI REVOCABLE TRUST

 

 

 

 

 

 

 

 

 

 

 

Signature:

/s/ MARK MOSHAYEDI

 

 

 

Name:

Mark Moshayedi

 

 

 

Title:

Co-Trustee

 

 

 

 

 

 

 

 

 

 

 

Signature:

/s/ SEMIRA MOSHAYEDI

 

 

 

Name:

 Semira Moshayedi

 

 

 

Title:

Co-Trustee

 

 

9


-----END PRIVACY-ENHANCED MESSAGE-----