-----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, UxO560VPlcS0Puso6whLP0Nnn/p19SChkaBoB5A9F/ZVlkss9uCo9s6ePucCFsbn TScr62cMcU8/kzfEHZPASQ== 0000892569-99-000611.txt : 19990304 0000892569-99-000611.hdr.sgml : 19990304 ACCESSION NUMBER: 0000892569-99-000611 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19990303 GROUP MEMBERS: HAMERSLAG STEVEN J ET AL GROUP MEMBERS: JEAN WELLS HEMERSLAG GROUP MEMBERS: STEVEN HAMERSLAG SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: MTI TECHNOLOGY CORP CENTRAL INDEX KEY: 0000901696 STANDARD INDUSTRIAL CLASSIFICATION: COMPUTER STORAGE DEVICES [3572] IRS NUMBER: 953601802 STATE OF INCORPORATION: DE FISCAL YEAR END: 0403 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-48699 FILM NUMBER: 99556098 BUSINESS ADDRESS: STREET 1: 4905 E LA PALMA AVE CITY: ANAHEIM STATE: CA ZIP: 92807 BUSINESS PHONE: 7149700300 MAIL ADDRESS: STREET 1: 4905 E LA PALMA AVE CITY: ANAHEIM STATE: CA ZIP: 92807 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: HAMERSLAG STEVEN J ET AL CENTRAL INDEX KEY: 0000923688 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: PO BOX 7227 CITY: RANCHO SANTA FE STATE: CA ZIP: 92067 BUSINESS PHONE: 7146449999 MAIL ADDRESS: STREET 1: PO BOX 7227 CITY: RANCHO SANTA FE STATE: CA ZIP: 92067 SC 13G/A 1 AMENDMENT NO. 2 TO SCHEDULE 13G 1 --------------------------------- OMB APPROVAL --------------------------------- OMB Number: 3235-0145 Expires: December 31, 1997 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. 2)* MTI Technology Corporation - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock - -------------------------------------------------------------------------------- (Title of Class of Securities) 533903105 ---------------------------- (CUSIP Number) Check the following box if a fee is being paid with this statement [ ]. (A fee is not required only if the filing person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of five percent or less of such class.) (See Rule 13d-7) *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 8 pages 2 - ------------------- ----------------- CUSIP NO. 533903105 13G PAGE 2 OF 8 PAGES - ------------------- ----------------- - ------------------------------------------------------------------------------- (1) NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Steven Hamerslag and Jean Wells Hamerslag Family Trust, dated 12/09/88 - ------------------------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [X] (b) [ ] - ------------------------------------------------------------------------------- (3) SEC USE ONLY - ------------------------------------------------------------------------------- (4) CITIZENSHIP OR PLACE OF ORGANIZATION California - ------------------------------------------------------------------------------- (5) SOLE VOTING POWER NUMBER OF 1,313,092 SHARES -------------------------------------------------------- BENEFICIALLY (6) SHARED VOTING POWER OWNED BY None EACH -------------------------------------------------------- REPORTING (7) SOLE DISPOSITIVE POWER PERSON WITH 1,313,092 -------------------------------------------------------- (8) SHARED DISPOSITIVE POWER None - ------------------------------------------------------------------------------- (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,313,092 - ------------------------------------------------------------------------------- (10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES CERTAIN SHARES* [ ] - ------------------------------------------------------------------------------- (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 4.59% - ------------------------------------------------------------------------------- (12) TYPE OF REPORTING PERSON* 00 - ------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! 3 - ------------------- ----------------- CUSIP NO. 533903105 13G PAGE 3 OF 8 PAGES - ------------------- ----------------- - ------------------------------------------------------------------------------- (1) NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Steven J. Hamerslag - ------------------------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [X] (b) [ ] - ------------------------------------------------------------------------------- (3) SEC USE ONLY - ------------------------------------------------------------------------------- (4) CITIZENSHIP OR PLACE OF ORGANIZATION United States of America - ------------------------------------------------------------------------------- (5) SOLE VOTING POWER NUMBER OF None SHARES -------------------------------------------------------- BENEFICIALLY (6) SHARED VOTING POWER OWNED BY 1,400,592 (includes 1,313,092 shares held by EACH trust of which Mr. Hamerslag is co-trustee) REPORTING -------------------------------------------------------- PERSON WITH (7) SOLE DISPOSITIVE POWER None -------------------------------------------------------- (8) SHARED DISPOSITIVE POWER 1,400,592 (includes 1,313,092 shares held by trust of which Mr. Hamerslag is co-trustee) - ------------------------------------------------------------------------------- (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,400,592 - ------------------------------------------------------------------------------- (10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES CERTAIN SHARES* [ ] - ------------------------------------------------------------------------------- (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 4.90% - ------------------------------------------------------------------------------- (12) TYPE OF REPORTING PERSON* IN - ------------------------------------------------------------------------------- 4 - ------------------- ----------------- CUSIP NO. 533903105 13G PAGE 4 OF 8 PAGES - ------------------- ----------------- - ------------------------------------------------------------------------------- (1) NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Jean Wells Hamerslag - ------------------------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [X] (b) [ ] - ------------------------------------------------------------------------------- (3) SEC USE ONLY - ------------------------------------------------------------------------------- (4) CITIZENSHIP OR PLACE OF ORGANIZATION United States of America - ------------------------------------------------------------------------------- (5) SOLE VOTING POWER NUMBER OF None SHARES -------------------------------------------------------- BENEFICIALLY (6) SHARED VOTING POWER OWNED BY 1,400,592 (includes 1,313,092 shares held by EACH trust of which Mrs. Hamerslag is co-trustee, and REPORTING the remainder held by her husband) PERSON WITH -------------------------------------------------------- (7) SOLE DISPOSITIVE POWER None -------------------------------------------------------- (8) SHARED DISPOSITIVE POWER 1,400,592 (includes 1,313,092 shares held by trust of which Mrs. Hamerslag is co-trustee, and the remainder held by her husband) - ------------------------------------------------------------------------------- (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,400,592 - ------------------------------------------------------------------------------- (10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES CERTAIN SHARES* [ ] - ------------------------------------------------------------------------------- (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 4.90% - ------------------------------------------------------------------------------- (12) TYPE OF REPORTING PERSON* IN - ------------------------------------------------------------------------------- 5 ITEM 1. (a) Name of Issuer: MTI Technology Corporation (b) Address of Issuer's Principal Executive Offices: 4905 E. La Palma Avenue, Anaheim, California 92807 ITEM 2. (a) Name of Person Filing: (i) Steven J. Hamerslag and Jean Wells Hamerslag Family Trust, dated 12/9/88 (ii) Steven J. Hamerslag (iii) Jean Wells Hamerslag (b) Address of Principal Business Office or, if none, Residence: c/o MTI Technology Corporation 4905 East La Palma Avenue Anaheim, California 92807 (c) Citizenship: (i) California (ii) United States of America (iii) United States of America (d) Title of Class of Securities: Common Stock (e) CUSIP Number: 533903 10 5 ITEM 3. If this statement is filed pursuant to Rule 13d-l(b), or 13d-2(b) Not applicable ITEM 4. Ownership (a) Amount Beneficially Owned: 1,400,592 by Mr. and Mrs. Hamerslag (includes 1,313,092 shares of Common Stock beneficially owned by Trust) (b) Percent of class: 4.90% (4.59% by trust) (c) Number of shares as to which such person has: Page 5 of 8 6 (i) sole power to vote or to direct the vote: (A) Mr. & Mrs. Hamerslag - none; (B) Trust - 1,313,092 (ii) shared power vote or to direct the vote: (A) Mr. & Mrs. Hamerslag - 1,400,592 (includes 1,313,092 shares of Common stock held by Trust); (B) Trust - none (iii) sole power to dispose or to direct the dispose or to direct the disposition of: (A) Mr. & Mrs. Hamerslag - none; (B) Trust - 1,313,092 (iv) shared power to dispose or to direct the disposition of: (A) Mr. & Mrs. Hamerslag - 1,400,592 (includes 1,313,092 shares of Common stock held by Trust); (B) Trust - none 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 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 Group See Exhibit A attached hereto ITEM 9. Notice of Dissolution of the Group Not applicable ITEM 10. Certification Not applicable Page 6 of 8 7 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 9, 1999 ----------------------------------------- Date /s/ Steven J. Hamerslag ----------------------------------------- Steven J. Hamerslag /s/ Jean Wells Hamerslag ----------------------------------------- Jean Wells Hamerslag Steven J. Hamerslag and Jean Wells Hamerslag Family Trust dated 12/09/88 By: /s/ Steven J. Hamerslag -------------------------------------- Steven J. Hamerslag Co-Trustee By: /s/ Jean Wells Hamerslag -------------------------------------- Jean Wells Hamerslag Co-Trustee Page 7 of 8 8 EXHIBIT A The following are members of the group filing the Schedule 13G to which this Exhibit is attached: Steven J. Hamerslag, Jean Wells Hamerslag, and The Steven J. Hamerslag and Jean Wells Hamerslag Family Trust, dated 12/9/88. The undersigned further agree that such Schedule 13G is filed on behalf of each of them. Date: February 9, 1999 /s/ Steven J. Hamerslag ----------------------------------------- Steven J. Hamerslag /s/ Jean Wells Hamerslag ----------------------------------------- Jean Wells Hamerslag Steven J. Hamerslag and Jean Wells Hamerslag Family Trust dated 12/09/88 By: /s/ Steven J. Hamerslag -------------------------------------- Steven J. Hamerslag Co-Trustee By: /s/ Jean Wells Hamerslag -------------------------------------- Jean Wells Hamerslag Co-Trustee Page 8 of 8 -----END PRIVACY-ENHANCED MESSAGE-----