-----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, PK4ZTiTxwwSfJysuW6UAk42jM0/+T5qe5beZjRRawg6gYw5T3i7vkejfCBbhoooP mRdYup74Iavo2Yhz3Z33UQ== 0001012870-97-000360.txt : 19970223 0001012870-97-000360.hdr.sgml : 19970223 ACCESSION NUMBER: 0001012870-97-000360 CONFORMED SUBMISSION TYPE: SC 13G/A CONFIRMING COPY: PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970221 SROS: PSE GROUP MEMBERS: BASS ASSOCIATES GROUP MEMBERS: CHARLIE BASS, TRUSTEE OF THE BASS TRUST SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: SOCKET COMMUNICATIONS INC CENTRAL INDEX KEY: 0000944075 STANDARD INDUSTRIAL CLASSIFICATION: RADIO & TV BROADCASTING & COMMUNICATIONS EQUIPMENT [3663] IRS NUMBER: 943155066 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-50241 FILM NUMBER: 00000000 BUSINESS ADDRESS: STREET 1: 37400 CENTRAL COURT CITY: NEWARK STATE: CA ZIP: 94560 BUSINESS PHONE: 5107442700 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: BASS ASSOCIATES CENTRAL INDEX KEY: 0000857039 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 435 TASSO ST STE 325 CITY: PALO ALTO STATE: CA ZIP: 94301 BUSINESS PHONE: 4153233655 MAIL ADDRESS: STREET 1: 435 TASSO STREET STREET 2: SUITE 325 CITY: PALO ALTO STATE: CA ZIP: 94301 SC 13G/A 1 AMENDMENT #1 TO SCHEDULE 13G THIS DOCUMENT IS A COPY OF THE SCHEDULE 13G FILED ON FEBRUARY 18, 1997 PURSUANT TO A RULE 201 TEMPORARARY HARDSHIP EXEMPTION 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. 1 )* ---------- Socket Communications, Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock / Warrants to Purchase Common Stock - -------------------------------------------------------------------------------- (Title of Class of Securities) 833672 10 8 / 833572 11 6 - -------------------------------------------------------------------------------- (CUSIP Number) Check the following box if a fee is being paid with the statement [_]. (A fee is not required only if the reporting 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 disclosures provided in a prior cover page. The information required on the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange 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. 833672 10 8 13G PAGE 2 OF 6 PAGES - ----------------------- --------------------- - ------------------------------------------------------------------------------ NAME OF REPORTING PERSON 1 S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Charlie Bass, Trustee of The Bass Trust ###-##-#### - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [_] (b) [X] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 United States - ------------------------------------------------------------------------------ SOLE VOTING POWER 5 NUMBER OF 25,401 SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 6 327,413 OWNED BY ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7 REPORTING 25,401 PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 8 327,413 - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 327,413 shares as of December 31, 1996 - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* 10 - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 11 10.8% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* 12 PN - ------------------------------------------------------------------------------ *SEE INSTRUCTION BEFORE FILLING OUT! Page 2 of 6 pages - ----------------------- --------------------- CUSIP NO. 833672 10 8 13G PAGE 3 OF 6 PAGES - ----------------------- --------------------- - ------------------------------------------------------------------------------ NAME OF REPORTING PERSON 1 S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Bass Associates 77-0233073 - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [_] (b) [X] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 United States - ------------------------------------------------------------------------------ SOLE VOTING POWER 5 NUMBER OF 0 SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 6 302,012 OWNED BY ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7 REPORTING 0 PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 8 302,012 - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 302,012 shares as of December 31, 1996 - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* 10 - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 11 10.0% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* 12 PN - ------------------------------------------------------------------------------ *SEE INSTRUCTION BEFORE FILLING OUT! Page 3 of 6 pages ITEM 1. a. NAME OF THE ISSUER: Socket Communications, Inc. b. ADDRESS OF THE ISSUER: 37400 Central Court Newark, CA 94560 ITEM 2. a. NAME OF THE PERSON FILING: Bass Associates, a California limited partnership; Charlie Bass as Trustee of the Bass Trust. b. ADDRESS OF THE PRINCIPAL OFFICE: Charlie Bass Managing Partner Bass Associates 435 Tasso Street, Suite 325 Palo Alto, CA 94301 c. CITIZENSHIP: United States of America d. TITLES OF CLASSES OF SECURITIES: Socket Communication's Common Stock / Warrants to Purchase Socket Communication's Common Stock e. CUSIP NUMBERS: 833672 20 7 / 833572 11 6 ITEM 3. Not applicable ITEM 4. OWNERSHIP a. AMOUNT BENEFICIALLY OWNED 327,413 shares of Common Stock / 5,000 Warrants to Purchase Common Stock as of December 31, 1996 b. PERCENT OF CLASS 10.8% / 1% c. NUMBER OF SHARES AS TO WHICH SUCH PERSON HAS: (i) SOLE POWER TO VOTE OR TO DIRECT THE VOTE 25,401 shares as of December 31, 1996 (ii) SHARED POWER TO VOTE OR TO DIRECT THE VOTE 327,413 shares as of December 31, 1996 (iii) SOLE POWER TO DISPOSE OR DIRECT THE DISPOSITION OF 327,413 shares as of December 31, 1996 (iv) SHARED POWER TO DISPOSE OR DIRECT THE DISPOSITION OF 327,413 shares as of December 31, 1996 ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS Not Applicable ITEM 6. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS 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 The following certification shall be included if the statement is filed to Rule 13d-1(b): By signing below I certify that, to the best of knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purposes 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. February 13, 1997 ----------------- Date /s/ CHARLIE BASS ---------------- Signature Charlie Bass General Partner, Bass Associates --------------------------------------------- Name/Title -----END PRIVACY-ENHANCED MESSAGE-----