-----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, E7teRI+ZunlW1BWgH2sACLNzSWTE3n1OAcCOuuZzhRAa8hXjhOhGthXIiMYGUyie OEAkEn2GnH8KweBlqDA0Fg== 0001034603-99-000021.txt : 19990226 0001034603-99-000021.hdr.sgml : 19990226 ACCESSION NUMBER: 0001034603-99-000021 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19990216 DATE AS OF CHANGE: 19990225 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: WAVE SYSTEMS CORP CENTRAL INDEX KEY: 0000919013 STANDARD INDUSTRIAL CLASSIFICATION: 3577 IRS NUMBER: 133477246 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-44807 FILM NUMBER: 99544478 BUSINESS ADDRESS: STREET 1: 480 PLEASANT ST CITY: LEE STATE: MA ZIP: 01238 BUSINESS PHONE: 4132431600 MAIL ADDRESS: STREET 1: 480 PLEASANT STREET CITY: LEE STATE: MA ZIP: 01238 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: BAGALAY JOHN E JR CENTRAL INDEX KEY: 0001022838 STANDARD INDUSTRIAL CLASSIFICATION: FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: BOSTON UNIVERSITY COMMUNITY TECHN FUND STREET 2: 147 BAY STATE ROAD CITY: BOSTON STATE: MA ZIP: 02215 BUSINESS PHONE: 6173535452 MAIL ADDRESS: STREET 1: 147 BAY STATE ROAD STREET 2: BOSTON UNIVERSITY COMMYNITY TECH FUND CITY: BOSTON STATE: MA ZIP: 02215 SC 13G 1 SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3)* WAVE SYSTEMS CORP. (Name of Issuer) Class A Common Stock, $.01 par value (Title of Class of Securities) 943526 10 3 (CUSIP Number) December 31, 1998 (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. 943526 10 3 - - -------------------------------------------------------------------------------- 1 I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only) John E. Bagalay, Jr. - - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [ ] - - -------------------------------------------------------------------------------- 4 CITIZEN OR PLACE OF ORGANIZATION United States - - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER 38,000 NUMBER OF ---------------------------------------------------- SHARES 6 SHARED VOTING POWER BENEFICIALLY None ---------------------------------------------------- OWNED BY EACH 7 SOLE DISPOSITIVE POWER REPORTING 38,000 ---------------------------------------------------- PERSON 8 SHARED DISPOSITIVE POWER WITH None - - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 38,000 - - -------------------------------------------------------------------------------- 10 CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES Not Applicable - - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 0.1% - - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON IN - - -------------------------------------------------------------------------------- ITEM 1. (a) Name of Issuer: Wave Systems Corp. (b) Address of Issuer's Principal Executive Offices: 480 Pleasant Street Lee, Massachusetts 01238 ITEM 2. (a) Name of Person Filing: John E. Bagalay, Jr. (b) Address of Principal Business Office: Community Technology Fund 147 Bay State Road Boston, Massachussetts 02215 (c) Citizenship: United States (d) Title of Class of Securities: Class A Common Stock, par value $.01 per share ("Class A Common Stock") (e) CUSIP Number: 943526 10 3 ITEM 3. If this Statement is filed pursuant to Rules 13d-1(b) or 13d-2(b) or (c), check whether the person filing is a: Not applicable. ITEM 4. Ownership (a) As of December 31, 1998, the reporting person beneficially owned 38,000 shares of Class A Common Stock. Of such amount, 4,000 shares are shares of Class A Common Stock, and 34,000 shares represent shares of Class A Common Stock issuable upon the exercise of options presently exercisable or exercisable within 60 days. (b) The reporting person's Class A Common Stock ownership as of December 31, 1998 represented 0.1% of the outstanding Class A Common Stock based upon the outstanding share figure as of that date. (c) The reporting person has sole power to vote and to dispose of 38,000 shares of Class A Common Stock. ITEM 5. Ownership of Five Percent or Less of a Class If this statement is being filed to report the fact 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 the Group Not applicable. ITEM 9. Notice of Dissolution of Group Not applicable. ITEM 10. Certification Not applicable. 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: February 12, 1999 /s/ John E. Bagalay, Jr. -------------------- John E. Bagalay, Jr. -----END PRIVACY-ENHANCED MESSAGE-----