-----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, CqBXy15t/s26z8tFKIw+HT8lMBLpLRKNrpJCgUIMiKF71wax2bUkUasV7NBmHe1T P00F9KZ9H439dUVzJ/CWNw== 0000930413-01-501723.txt : 20020413 0000930413-01-501723.hdr.sgml : 20020413 ACCESSION NUMBER: 0000930413-01-501723 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20011221 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: DATA SYSTEMS & SOFTWARE INC CENTRAL INDEX KEY: 0000880984 STANDARD INDUSTRIAL CLASSIFICATION: SEMICONDUCTORS & RELATED DEVICES [3674] IRS NUMBER: 222786081 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-43070 FILM NUMBER: 1820450 BUSINESS ADDRESS: STREET 1: 200 RTE 17 CITY: MAHWAH STATE: NJ ZIP: 07430 BUSINESS PHONE: 2015292026 MAIL ADDRESS: STREET 1: 200 ROUTE 17 CITY: MAHWAH STATE: NJ ZIP: 07430 FORMER COMPANY: FORMER CONFORMED NAME: DEFENSE SOFTWARE & SYSTEMS INC DATE OF NAME CHANGE: 19930328 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: GUTZMER HOWARD A CENTRAL INDEX KEY: 0001113126 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 5550 OBERLIN DRIVE CITY: SAN DIEGO STATE: CA ZIP: 92121 BUSINESS PHONE: 8586221400 MAIL ADDRESS: STREET 1: 5550 OBERLIN DRIVE CITY: SAN DIEGO STATE: CA ZIP: 92121 SC 13G/A 1 c22569-sched13ga.txt OMB APPROVAL OMB Number: 3235-0145 Expires: October 31, 2002 Estimated average burden hours per response ......14.90 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. 1)* Data Systems & Software Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock, $0.01 Par Value - -------------------------------------------------------------------------------- (Title of Class of Securities) 23788104 - -------------------------------------------------------------------------------- (CUSIP Number) August 17, 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 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). Page 1 of 6 SEC 1745 (2/95) CUSIP No. 237887104 13G Page 2 of 6 ________________________________________________________________________________ 1. NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Howard A. Gutzmer ________________________________________________________________________________ 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [_] (b) [_] ________________________________________________________________________________ 3. SEC USE ONLY ________________________________________________________________________________ 4. CITIZENSHIP OR PLACE OF ORGANIZATION United States ________________________________________________________________________________ NUMBER OF 5. SOLE VOTING POWER SHARES 230,974 shares 3.3% _________________________________________________________________ BENEFICIALLY 6. SHARED VOTING POWER OWNED BY 526,156 shares 7.5% _________________________________________________________________ EACH 7. SOLE DISPOSITIVE POWER REPORTING 230,974 shares 3.3% _________________________________________________________________ PERSON 8. SHARED DISPOSITIVE POWER WITH 526,156 shares 7.5% ________________________________________________________________________________ 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 757,130 shares ________________________________________________________________________________ 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [_] ________________________________________________________________________________ 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 10.8% ________________________________________________________________________________ 12. TYPE OF REPORTING PERSON* IN ________________________________________________________________________________ *SEE INSTRUCTIONS BEFORE FILLING OUT! Item 1(a). Name of Issuer: Data Systems & Software Inc. ____________________________________________________________________ Item 1(b). Address of Issuer's Principal Executive Offices: 200 Route 17 Mahwah, NJ 07430 ____________________________________________________________________ Item 2(a). Name of Person Filing: Howard A. Gutzmer ____________________________________________________________________ Item 2(b). Address of Principal Business Office, or if None, Residence: 5550 Oberlin Drive San Diego, CA 92121 ____________________________________________________________________ Item 2(c). Citizenship: United States ____________________________________________________________________ Item 2(d). Title of Class of Securities: Common Stock, $0.01 par value per share. ____________________________________________________________________ Item 2(e). CUSIP Number: 237887104 ____________________________________________________________________ Item 3. If This Statement is Filed Pursuant to Rule 13d-1(b), or 13d-2(b), 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 SS. 240.13d-1(b)(1)(ii) (E). (f) [_] An employee benefit plan or endowment fund in accordance with SS. 240.13d-1(b)(1)(ii)(F). (g) [_] A parent holding company or control person in accordance with SS. 240.13d-1(b)(ii)(G). Page 3 of 6 (h) [_] A savings association 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 SS. 240.13d-1(b)(1)(ii)(H) Item 4. Ownership. (a) Amount beneficially owned: 757,130 shares. See Note 1. ______________________________________________________________________ (b) Percent of class: 10.8% ______________________________________________________________________ (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote: 230,974 shares. _____________________, (ii) Shared power to vote or to direct the vote: 526,156 shares. _____________________, See Note 2. (iii) Sole power to dispose or to direct the disposition of: 230,974 shares. _____________________, (iv) Shared power to dispose or to direct the disposition of 526,156 shares. ______________________ See Note 2. Note 1 - The amount beneficially owned is as of November 30, 2001. Note 2 - Shared Voting and Dispositive Power includes shares which are beneficially owned by Howard Gutzmer and are held by: (i) The Gutzmer Family Trust U/A/D 1/12/96, Howard and Dorene Gutzmer, Trustees, which holds 423,180 shares; (ii) Gutzmer Enterprises, Ltd., a California limited partnership, for which KNX, Inc., a California corporation, is the general partner and Howard Gutzmer is the sole director of the general partner, which holds 23,100 shares; (iii) Dorene Gutzmer SSB IRA Rollover Custodian, which holds 29,750 shares; and (iv) Unlimited Systems Corp., Inc., a California corporation, of which Mr. Gutzmer is the majority shareholder and an officer and director, which holds 50,126 shares. 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. _______________________________________________________________________ Page 4 of 6 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 such purpose or effect. Page 5 of 6 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. Date: December 20, 2001 /s/ Howard Gutzmer ---------------------------------------- Howard A. Gutzmer Attention: Intentional misstatements or omissions of fact constitute Federal criminal violations (See 18 U.S.C. 1001) Page 6 of 6 -----END PRIVACY-ENHANCED MESSAGE-----