-----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, SKp1NVFX4ejbwojBzqkv7TGypUc2kqKr1Pi6z8St4AQre2PL02yGnwqhFpVmNCBd 55pc3lHsIEpYetsOocov+w== 0001144204-03-000314.txt : 20030127 0001144204-03-000314.hdr.sgml : 20030127 20030127131609 ACCESSION NUMBER: 0001144204-03-000314 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20030127 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: DATA SYSTEMS & SOFTWARE INC CENTRAL INDEX KEY: 0000880984 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMPUTER PROGRAMMING SERVICES [7371] 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: 03525394 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 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 doc1.txt OMB APPROVAL OMB Number: 3235-0145 Expires: October 31, 2005 Estimated average burden hours per response 11 UNITED STATES SECURITIES & EXCHANGE COMMISSION WASHINGTON D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. 2)* Data Systems & Software Inc ------------------------------------------------------------------------------ (Name of Issuer) Common Stock, $0.01 Par Value - ------------------------------------------------------------------------------ (Title of Class of Securities) 23788104 - ------------------------------------------------------------------------------ (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-l(b) [X] Rule 13d-1(c) - [_] Rule 13d-l(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). SEC 1745(2/95) Page 1 of 5 CUSIP NO. 237887104 13G Page 2 OF 5 - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS S.S. OR I.R.S. IDENTIFICATION NOS. 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 60,340 shares 0.8% ----------------------------------------------------- Beneficially 6 SHARED VOTING POWER 615,951 shares 8.4% Owned by ----------------------------------------------------- 7 SOLE DISPOSITIVE POWER Each 60,340 shares 0.8% ----------------------------------------------------- Reporting 8 SHARED DISPOSITIVE POWER Person With 615,951 shares 8.4% - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 676,291 shares - -------------------------------------------------------------------------------- 10 CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 9.2% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- * SEE INSTRUCTION BEFORE FILLING OUT ITEM 1. (a) Name of Issuer: Data Systems & Software Inc. (b) Address of Issuer's Principal Executive Offices: (c) 200 Route 17 Mahwah, NJ 07430 ITEM 2. (a) Name of Person Filing: Howard A. Gutzmer (b) Address of Principal Business Office, or, if none, Residence: 5550 Oberlin Drive San Diego, CA 92121 (c) Citizenship: United States. (d) Title of Class of Securities: Common Stock, $0.01 par value per share. (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 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)(ii)(G). Page 3 of 5 (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)(H) ITEM 4. OWNERSHIP. (a) Amount Beneficially Owned: 676,291 shares. (b) Percent of Class: 9.2% (c) Number of shares as to which such person has: (i) Sole power to vote or direct the vote: 60,340 shares. (ii) Shared power to vote or direct the vote: 615,951 shares. See Note 1. (iii) Sole power to dispose or direct the disposition of: 60,340 shares. (iv) Shared power to dispose or direct the disposition of: 615,951 shares. See Note 1. Note 1 - 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 508,125 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 5,300 shares; (iii) Dorene Gutzmer SSB IRA Rollover Custodian, which holds 64,950 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 37,576 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 5 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. 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: January 22, 2003 ---- /s/Howard Gutzmer --------------------- Howard A. Gutzmer ATTENTION: INTENTIONAL MISSTATEMENTS OR OMISSIONS OF FACT CONSTITUTE FEDERAL CRIMINAL VIOLATIONS (SEE 18 U.S.C. 1001) Page 5 of 5 -----END PRIVACY-ENHANCED MESSAGE-----