-----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, DKlzbyaOeRQIGeeijf7W9t0r/69NgxBpAWIf7YiaganmvzTfK7XKguFrJY1/iGBj 2LrZ0I0sDR315MYzpEQkrA== 0001021408-02-004136.txt : 20020415 0001021408-02-004136.hdr.sgml : 20020415 ACCESSION NUMBER: 0001021408-02-004136 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20020326 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: AU ADAM CENTRAL INDEX KEY: 0001115898 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 386 MAIN STREET CITY: REDWOOD CITY STATE: CA ZIP: 94063 MAIL ADDRESS: STREET 1: 386 MAIN STREET CITY: REDWOOD CITY STATE: CA ZIP: 94063 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: PEERLESS SYSTEMS CORP CENTRAL INDEX KEY: 0000897893 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 953732595 STATE OF INCORPORATION: DE FISCAL YEAR END: 0131 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-48579 FILM NUMBER: 02586481 BUSINESS ADDRESS: STREET 1: 2381 ROSECRANS AVE CITY: EL SEGUNDO STATE: CA ZIP: 90245 BUSINESS PHONE: 3105360908 MAIL ADDRESS: STREET 1: 2381 ROSECRANS AVE CITY: EL SEGUNDO STATE: CA ZIP: 90245 SC 13G/A 1 dsc13ga.txt SC13G/A AMENDMENT #1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. 1)* Peerless Systems Corp. -------------------------------------------------------- (Name of Issuer) Common Stock ---------------------------------------------------------- (Title of Class of Securities) 705536100 ---------------------------------------------------- (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 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 4 Pages CUSIP No. 705536100 13G - -------------------------------------------------------------------------------- NAME OF REPORTING PERSON 1 S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Adam Au ###-##-#### - -------------------------------------------------------------------------------- CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 N.A. (a) [_] (b) [_] - -------------------------------------------------------------------------------- SEC USE ONLY 3 - -------------------------------------------------------------------------------- CITIZENSHIP OR PLACE OF ORGANIZATION 4 United States -------------------------------------------------------------------------- SOLE VOTING POWER 5 NUMBER OF 547,859 shares. SHARES -------------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 6 -0- OWNED BY --------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7 REPORTING 547,859 shares. PERSON -------------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 8 -0- - -------------------------------------------------------------------------------- AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 547,859 shares. - -------------------------------------------------------------------------------- CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* 10 [_] N.A. - -------------------------------------------------------------------------------- PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 3.5% - -------------------------------------------------------------------------------- TYPE OF REPORTING PERSON* 12 IN - -------------------------------------------------------------------------------- Page 2 of 4 pages Item 1. (a) Name of Issuer: Peerless Systems Corp. (b) Address of Issuer's Principal Executive Offices: 2381 Rosecrans Avenue El Segundo, California 90245 Item 2. (a) Name of Person(s) Filing: Adam Au (b) Address of Principal Business Office or, if none, Residence: 386 Main Street, Redwood City, California 94063 (c) Citizenship: United States (d) Title of Class of Securities: Common Stock (e) CUSIP Number: 705536100 Item 3. If this statement is filed pursuant to Rule 13d-1(b) or 13d-2(b), or (c) N.A. Item 4. Ownership (a) Amount beneficially owned: As of March March 1, 2002, the Reporting Person is the beneficial owner of an aggregate of 547,859 shares of the Issuer's common stock (the "Shares"). Out of those 547,859 Shares, 64,696 shares are issuable to the Reporting Person or his spouse upon the exercise of stock options which expire on March 29, 2002. (b) Percent of class: 3.5% (c) Number of shares as to which the person has: (i) Sole power to vote or to direct the vote: 547,859 (ii) Shared power to vote or direct the vote: -0- (iii) Sole power to dispose of or to direct the disposition of: 547,859 (iv) Shared power to dispose of or to direct the disposition of -0- Item 5. Ownership of Five Percent or Less of a Class If this statement is being filed to report the fact that as of the date hereof the Reporting Person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following: [X] Item 6. Ownership of More than Five Percent on Behalf of Another Person. N.A. Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company N.A. Page 3 of 4 pages Item 8. Identification and Classification of Members of the Group N.A. Item 9. Notice of Dissolution of Group N.A. 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: March 15, 2002 -------------- /s/ Adam Au ----------------------------------- Adam Au ATTENTION: INTENTIONAL MISSTATEMENTS OR OMISSIONS OF FACT CONSTITUTE FEDERAL CRIMINAL VIOLATIONS (SEE 18 U.S.C. 100 Page 4 of 4 pages -----END PRIVACY-ENHANCED MESSAGE-----