-----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, CtYdOlZjUpoO8TXp8zxgKadoCDekUWsS8aTOxjimRuNQNWrF/7WDw5YVTAxyIP1k 9WWXkjpExbZjC3MDYR1fQw== 0001019687-03-000167.txt : 20030205 0001019687-03-000167.hdr.sgml : 20030205 20030205154420 ACCESSION NUMBER: 0001019687-03-000167 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20030205 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: UNGERMANN RALPH K CENTRAL INDEX KEY: 0001078434 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 3393 OCTAVIUS DRIVE STREET 2: SUITE 102 CITY: SANTA CLARA STATE: CA ZIP: 95054 MAIL ADDRESS: STREET 1: 3393 OCTAVIUS DRIVE STREET 2: SUITE 102 CITY: SANTA CLARA STATE: CA ZIP: 95054 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: FIRST VIRTUAL COMMUNICATIONS INC CENTRAL INDEX KEY: 0000920317 STANDARD INDUSTRIAL CLASSIFICATION: COMPUTER COMMUNICATIONS EQUIPMENT [3576] IRS NUMBER: 770357037 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-55273 FILM NUMBER: 03540770 BUSINESS ADDRESS: STREET 1: 3393 OCTAVIUS DR STE 102 CITY: SANTA CLARA STATE: CA ZIP: 95054 BUSINESS PHONE: 4085677200 MAIL ADDRESS: STREET 1: 3393 OCTAVIUS DRIVE SUITE 102 CITY: SANTA CLARA STATE: CA ZIP: 95054 FORMER COMPANY: FORMER CONFORMED NAME: FIRST VIRTUAL CORP DATE OF NAME CHANGE: 19971010 FORMER COMPANY: FORMER CONFORMED NAME: FVC COM INC DATE OF NAME CHANGE: 19980811 SC 13G 1 firstvirtual_13g-ungermann.txt ================================================================================ SEC 1745 (6-01) Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. ================================================================================ ------------------------------ OMB APPROVAL ------------------------------ OMB Number 3235-0145 Expires: December 31, 2005 Estimated average burden hours per response .........11 ------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* FIRST VIRTUAL COMMUNICATIONS, INC. ________________________________________________________________________________ (Name of Issuer) Common Stock, $.001 par value ________________________________________________________________________________ (Title of Class of Securities) 337484 10 9 _______________________ (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-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 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. 337484-10-9 ________________________________________________________________________________ 1. Name of Reporting Persons I.R.S. Identification Nos. of above persons (entities only) Ralph K. Ungermann ________________________________________________________________________________ 2. Check the Appropriate Box If a Member of a Group (See Instructions) (a) [_] (b) [_] ________________________________________________________________________________ 3. SEC Use Only ________________________________________________________________________________ 4. Citizenship or Place of Organization United States of America ________________________________________________________________________________ 5. Sole Voting Power NUMBER OF 2,555,282 (1) SHARES _________________________________________________________________ BENEFICIALLY 6. Shared Voting Power OWNED BY 0 EACH _________________________________________________________________ REPORTING 7. Sole Dispositive Power PERSON 2,555,282 (1) WITH: _________________________________________________________________ 8. Shared Dispositive Power 0 ________________________________________________________________________________ 9. Aggregate Amount Beneficially Owned by Each Reporting Person 2,555,282 (1) ________________________________________________________________________________ 10. Check Box If the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) [_] ________________________________________________________________________________ 11. Percent of Class Represented by Amount in Row (9) 6.3% ________________________________________________________________________________ 12. Type of Reporting Person (See Instructions) IN ________________________________________________________________________________ (1) Includes 79,094 shares of common stock issuable upon exercise of a warrant held by Mr. Ungermann and 2,174,577 shares of common stock held in the name of Ralph Ungermann, Trustee or Successor Trustee of the Ralph K. Ungermann Living Trust U/A/D May 18, 1988, as amended, and 301,611 shares Mr. Ungermann has the right to acquire pursuant to outstanding options exercisable within 60 days of December 31, 2002. Page 2 of 4 pages CUSIP No. 337484-10-9 ________________________________________________________________________________ Item 1(a). Name of Issuer: First Virtual Communications, Inc. ________________________________________________________________________________ Item 1(b). Address of Issuer's Principal Executive Offices: 3393 Octavius Drive, Santa Clara, CA 95054 ________________________________________________________________________________ Item 2(a). Name of Person Filing: Ralph K. Ungermann ________________________________________________________________________________ Item 2(b). Address of Principal Business Office, or if None, Residence: 3393 Octavius Drive, Santa Clara, CA 95054 ________________________________________________________________________________ Item 2(c). Citizenship: Citizen of the United States of America ________________________________________________________________________________ Item 2(d). Title of Class of Securities: Common Stock ________________________________________________________________________________ Item 2(e). CUSIP Number: 337484-10-9 ________________________________________________________________________________ ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO SS.240.13d-1(b) OR 240.13d-2(b) OR (c), 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)(1)(ii)(G); (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 ss.240.13d-1(b)(1)(ii)(J). ITEM 4. OWNERSHIP. Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1. (a) Amount beneficially owned: 2,555,282 (b) Percent of class: 6.3% (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote: 2,555,282 (ii) Shared power to vote or to direct the vote: 0 (iii) Sole power to dispose or to direct the disposition of: 2,555,282 (iv) Shared power to dispose or to direct the disposition of: 0 Page 3 of 4 pages 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. 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. February 4, 2003 ---------------------------------------- (Date) /s/ Ralph K. Ungermann ---------------------------------------- (Signature) Ralph K. Ungermann ---------------------------------------- (Name/Title) The original statement shall be signed by each person on whose behalf the statement is filed or his authorized representative. If the statement is signed on behalf of a person by his authorized representative other than an executive officer or general partner of the filing person, evidence of the representative's authority to sign on behalf of such person shall be filed with the statement, provided, however, that a power of attorney for this purpose which is already on file with the Commission may be incorporated by reference. The name and any title of each person who signs the statement shall be typed or printed beneath his signature. Note. Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See ss.240.13d-7(b) for other parties for whom copies are to be sent. Attention. Intentional misstatements or omissions of fact constitute federal criminal violations (See 18 U.S.C. 1001). Page 4 of 4 pages -----END PRIVACY-ENHANCED MESSAGE-----