-----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, VCbpmIk5daQ12lLUbAZTP/Nph54lNZDnYTcYa2Qr9Z/xdz0ceGEsd60TnOT/HZ+P F5GgEe3rTdufxwOnRegIIw== 0001104659-03-011102.txt : 20030523 0001104659-03-011102.hdr.sgml : 20030523 20030523142150 ACCESSION NUMBER: 0001104659-03-011102 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20030523 GROUP MEMBERS: BRIAN E. PEIERLS GROUP MEMBERS: ETHEL F. PEIERLS TRUST FOR BRIAN E. PEIERLS GROUP MEMBERS: ETHEL F. PEIERLS TRUST FOR E. JEFFREY PEIERLS GROUP MEMBERS: JENNIE N. PEIERLS TRUST FOR BRIAN E. PEIERLS GROUP MEMBERS: JENNIE N. PEIERLS TRUST FOR E. JEFFREY PEIERLS GROUP MEMBERS: MALCOLM A. MOORE GROUP MEMBERS: THE PEIERLS FOUNDATION, INC. GROUP MEMBERS: U.S TRUST COMPANY OF N.Y. SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: DOCUMENT SCIENCES CORP CENTRAL INDEX KEY: 0001016831 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 330485994 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-49433 FILM NUMBER: 03717957 BUSINESS ADDRESS: STREET 1: 6339 PASEO DEL LAGO CITY: CARLSBAD STATE: CA ZIP: 92009 BUSINESS PHONE: 7606021400 MAIL ADDRESS: STREET 1: 6339 PASEO DEL LAGO CITY: CARLSBAD STATE: CA ZIP: 92009 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: PEIERLS E JEFFREY CENTRAL INDEX KEY: 0000942453 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 73 SOUTH HOLMAN WAY CITY: GOLDEN STATE: CO ZIP: 80401 BUSINESS PHONE: 3032782889 MAIL ADDRESS: STREET 1: 73 SOUTH HOLMAN WAY CITY: GOLDEN STATE: CO ZIP: 80401 SC 13G 1 j1533_sc13g.htm SC 13G

SEC 1745
(02-02)


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.

 

 

UNITED STATES

OMB APPROVAL

 

SECURITIES AND EXCHANGE COMMISSION

OMB Number:
3235-0145

 

Washington, D.C. 20549

Expires: December 31, 2005

 

SCHEDULE 13G

Estimated average burden hours per response. . 11

 

Under the Securities Exchange Act of 1934
(Amendment No.    )*

 

DOCUMENT SCIENCES CORP.

(Name of Issuer)

 

Common Stock

(Title of Class of Securities)

 

25614R105

(CUSIP Number)

 

April 5, 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).

 



 

 

CUSIP No.  25614R105

 

 

1.

Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only)
The Peierls Foundation, Inc.
13-6082503

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

[     ]

 

 

(b)

[ X ]

 

 

3.

SEC Use Only

 

 

4.

Citizenship or Place of Organization
NEW YORK, U.S.A.

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power
0

 

6.

Shared Voting Power
230,100

 

7.

Sole Dispositive Power
0

 

8.

Shared Dispositive Power
230,100

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
349,100

 

 

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)  [     ]

 

 

11.

Percent of Class Represented by Amount in Row (9)
9.0%

 

 

12.

Type of Reporting Person (See Instructions)
CO

 

2



 

 

1.

Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only)
E. Jeffrey Peierls

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

[     ]

 

 

(b)

[ X ]

 

 

3.

SEC Use Only

 

 

4.

Citizenship or Place of Organization
U.S.

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power
45,800

 

6.

Shared Voting Power
287,900

 

7.

Sole Dispositive Power
45,800

 

8.

Shared Dispositive Power
287,900

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
349,100

 

 

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)  [     ]

 

 

11.

Percent of Class Represented by Amount in Row (9)
9.0%

 

 

12.

Type of Reporting Person (See Instructions)
IN

 

3



 

 

1.

Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only)
Brian E. Peierls

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

[     ]

 

 

(b)

[ X ]

 

 

3.

SEC Use Only

 

 

4.

Citizenship or Place of Organization
U.S.

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power
15,400

 

6.

Shared Voting Power
230,100

 

7.

Sole Dispositive Power
15,400

 

8.

Shared Dispositive Power
230,100

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
349,100

 

 

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)  [     ]

 

 

11.

Percent of Class Represented by Amount in Row (9)
9.0%

 

 

12.

Type of Reporting Person (See Instructions)
IN

 

4



 

 

1.

Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only)
Malcolm A. Moore

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

[     ]

 

 

(b)

[ X ]

 

 

3.

SEC Use Only

 

 

4.

Citizenship or Place of Organization
U.S.

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power
0

 

6.

Shared Voting Power
287,900

 

7.

Sole Dispositive Power
0

 

8.

Shared Dispositive Power
287,900

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
349,100

 

 

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)  [     ]

 

 

11.

Percent of Class Represented by Amount in Row (9)
9.0%

 

 

12.

Type of Reporting Person (See Instructions)
IN

 

5



 

 

1.

Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only)
Ethel F. Peierls Trust for Brian E. Peierls
13-6713953

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

[     ]

 

 

(b)

[ X ]

 

 

3.

SEC Use Only

 

 

4.

Citizenship or Place of Organization
NEW YORK, U.S.A.

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power
0

 

6.

Shared Voting Power
13,000

 

7.

Sole Dispositive Power
0

 

8.

Shared Dispositive Power
13,000

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
349,100

 

 

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)  [     ]

 

 

11.

Percent of Class Represented by Amount in Row (9)
9.0%

 

 

12.

Type of Reporting Person (See Instructions)
OO

 

6



 

 

1.

Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only)
Ethel F. Peierls Trust for E. Jeffrey Peierls
13-6713960

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

[     ]

 

 

(b)

[ X ]

 

 

3.

SEC Use Only

 

 

4.

Citizenship or Place of Organization
NEW YORK, U.S.A.

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power
0

 

6.

Shared Voting Power
13,000

 

7.

Sole Dispositive Power
0

 

8.

Shared Dispositive Power
13,000

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
349,100

 

 

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)  [     ]

 

 

11.

Percent of Class Represented by Amount in Row (9)
9.0%

 

 

12.

Type of Reporting Person (See Instructions)
OO

 

7



 

 

1.

Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only)
Jennie N. Peierls Trust for Brian E. Peierls
13-6042649

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

[     ]

 

 

(b)

[ X ]

 

 

3.

SEC Use Only

 

 

4.

Citizenship or Place of Organization
NEW YORK, U.S.A.

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power
0

 

6.

Shared Voting Power
15,900

 

7.

Sole Dispositive Power
0

 

8.

Shared Dispositive Power
15,900

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
349,100

 

 

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)  [     ]

 

 

11.

Percent of Class Represented by Amount in Row (9)
9.0%

 

 

12.

Type of Reporting Person (See Instructions)
OO

 

8



 

 

1.

Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only)
Jennie N. Peierls Trust for E. Jeffrey Peierls
13-6042650

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

[     ]

 

 

(b)

[ X ]

 

 

3.

SEC Use Only

 

 

4.

Citizenship or Place of Organization
NEW YORK, U.S.A.

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power
0

 

6.

Shared Voting Power
15,900

 

7.

Sole Dispositive Power
0

 

8.

Shared Dispositive Power
15,900

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
349,100

 

 

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)  [     ]

 

 

11.

Percent of Class Represented by Amount in Row (9)
9.0%

 

 

12.

Type of Reporting Person (See Instructions)
OO

 

9



 

 

1.

Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only)
U.S. Trust Company of N.Y.
13-3818954

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

[     ]

 

 

(b)

[ X ]

 

 

3.

SEC Use Only

 

 

4.

Citizenship or Place of Organization
NEW YORK, U.S.A.

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power
0

 

6.

Shared Voting Power
57,800

 

7.

Sole Dispositive Power
0

 

8.

Shared Dispositive Power
57,800

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
349,100

 

 

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)  [     ]

 

 

11.

Percent of Class Represented by Amount in Row (9)
9.0%

 

 

12.

Type of Reporting Person (See Instructions)
OO

 

10



 

Item 1.

 

(a)

Name of Issuer

Document Sciences Corporation

 

(b)

Address of Issuer’s Principal Executive Offices

6339 Paseo del Lago

Carlsbad, California

 

Item 2.

 

(a)

Name of Person Filing

 

 

The Peierls Foundation, Inc.

E. Jeffrey Peierls

Brian E. Peierls

Malcolm A. Moore

Ethel F. Peierls Trust for Brian E. Peierls

Ethel F. Peierls Trust for E. Jeffrey Peierls

Jennie N. Peierls Trust for Brian E. Peierls

Jennie N. Peierls Trust for E. Jeffrey Peierls

U.S. Trust Company of N.Y.

 

(b)

Address of Principal Business Office or, if none, Residence

 

 

The Peierls Foundation, Inc.

c/o U.S. Trust Company of N.Y.

114 West 47th Street

New York, NY 10036

 

 

E. Jeffrey Peierls

73 S. Holman Way

Golden, CO 80401

 

 

Brian E. Peierls

7808 Harvestman Cove

Austin, TX 78731

 

 

Malcolm A. Moore

Davis Wright Tremaine LLP

2600 Century Square

1501 Fourth Avenue

Seattle, WA 98101

 

11



 

 

 

Ethel F. Peierls Trust for Brian E. Peierls

c/o U.S. Trust Company of N.Y.

114 West 47th Street

New York, NY 10036

 

 

Ethel F. Peierls Trust for E. Jeffrey Peierls

c/o U.S. Trust Company of N.Y.

114 West 47th Street

New York, NY 10036

 

 

Jennie N. Peierls Trust for Brian E. Peierls

c/o U.S. Trust Company of N.Y.

114 West 47th Street

New York, NY 10036

 

 

Jennie N. Peierls Trust for E. Jeffrey Peierls

c/o U.S. Trust Company of N.Y.

114 West 47th Street

New York, NY 10036

 

 

U.S. Trust Company of N.Y.

114 West 47th Street

New York, NY 10036

 

(c)

Citizenship / Place of Organization
See Item 4 of Cover Pages

 

(d)

Title of Class of Securities
Common Stock

 

(e)

CUSIP Number
25614R105

 

Item 3.

If this statement is filed pursuant to §§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).

 

12



 

 

(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 §240.13d-1(b)(1)(ii)(E);

 

(f)

[  ]

An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);

 

(g)

[  ]

A parent holding company or control person in accordance with § 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 §240.13d-1(b)(1)(ii)(J).

 

 

 

Not applicable.

 

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:    See Item 9 of Cover Pages

 

(b)

Percent of class:    See Item 11 of Cover Pages

 

(c)

Number of shares as to which the person has:

 

 

(i)

Sole power to vote or to direct the vote    See Item 5 of Cover Pages

 

 

(ii)

Shared power to vote or to direct the vote    See Item 6 of Cover Pages

 

 

(iii)

Sole power to dispose or to direct the disposition of    See Item 7 of Cover Pages

 

13



 

 

 

(iv)

Shared power to dispose or to direct the disposition of    See Item 8 of Cover Pages

 

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 [  ].

Not Applicable

 

Item 6.

Ownership of More than Five Percent on Behalf of Another Person

If any other person is known to have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, such securities, a statement to that effect should be included in response to this item and, if such interest relates to more than five percent of the class, such person should be identified. A listing of the shareholders of an investment company registered under the Investment Company Act of 1940 or the beneficiaries of employee benefit plan, pension fund or endowment fund is not required.

Not applicable.

 

Item 7.

Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company or Control Person

If a parent holding company has filed this schedule, pursuant to Rule 13d-1(b)(ii)(G), so indicate under Item 3(g) and attach an exhibit stating the identity and the Item 3 classification of the relevant subsidiary. If a parent holding company has filed this schedule pursuant to Rule 13d-1(c) or Rule 13d-1(d), attach an exhibit stating the identification of the relevant subsidiary.

Not applicable.

 

Item 8.

Identification and Classification of Members of the Group

If a group has filed this schedule pursuant to §240.13d-1(b)(1)(ii)(J), so indicate under Item 3(j) and attach an exhibit stating the identity and Item 3 classification of each member of the group. If a group has filed this schedule pursuant to §240.13d-1(c) or §240.13d-1(d), attach an exhibit stating the identity of each member of the group.

Not applicable.

 

14



 

Item 9.

Notice of Dissolution of Group

Notice of dissolution of a group may be furnished as an exhibit stating the date of the dissolution and that all further filings with respect to transactions in the security reported on will be filed, if required, by members of the group, in their individual capacity. See Item 5.

Not applicable.

 

15



 

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: May 22, 2003

 

THE PEIERLS FOUNDATION, INC.

U.S. TRUST COMPANY OF N.Y.

 

 

 

 

/s/ E. Jeffrey Peierls

 

/s/ Sharon M. Davison

 

Title:

President

 

Title:

SVP, Director of Compliance, Securities

 

 

 

 

 

ETHEL F. PEIERLS TRUST FOR E. JEFFREY PEIERLS

ETHEL F. PEIERLS TRUST FOR BRIAN E. PEIERLS

 

 

/s/ E. Jeffrey Peierls

 

/s/ E. Jeffrey Peierls

 

Title:

Co-Trustee

 

Title:

Co-Trustee

 

 

 

 

 

JENNIE N. PEIERLS TRUST FOR E. JEFFREY PEIERLS

JENNIE N. PEIERLS TRUST FOR BRIAN E. PEIERLS

 

 

/s/ E. Jeffrey Peierls

 

/s/ E. Jeffrey Peierls

 

Title:

Co-Trustee

 

Title:

Co-Trustee

 

 

 

 

 

/s/ E. Jeffrey Peierls

 

/s/ Brian E. Peierls

 

E. Jeffrey Peierls

Brian E. Peierls

 

 

 

 

/s/ Malcolm A. Moore

 

 

Malcolm A. Moore

 

 

16



 

INDEX OF EXHIBITS

 

EXHIBIT

 

NAME

 

PAGE NO. IN
CONSECUTIVELY
NUMBERED COPY

 

 

 

 

 

1

 

Joint Filing Agreement

 

18

 

17


EX-1 3 j1533_ex1.htm EX-1

Exhibit 1

 

JOINT FILING AGREEMENT

 

WHEREAS, the statement or amended statement on Schedule 13G to which this agreement is an exhibit (the “Joint Statement”) is being filed on behalf of the undersigned persons (collectively the “Filing Persons”); and

 

WHEREAS, the Filing Persons prefer to file the Joint Statement on behalf of all of Filing Persons rather than individual statements on Schedule 13G on behalf of each of the Filing Persons;

 

NOW, THEREFORE, the undersigned hereby agree as follows with each of the other Filing Persons:

 

1.                                               Each of the Filing Persons is individually eligible to use the Joint Statement.

 

2.                                               Each of the Filing Persons is responsible for the timely filing of the Joint Statement and any amendments thereto.

 

3.                                               Each of the Filing Persons is responsible for the completeness and accuracy of the information concerning such person contained in the Joint Statement

 

4.                                               None of the Filing Persons is responsible for the completeness of accuracy of the information concerning the other Filing Persons contained in the Joint Statement; unless such person knows or has reason to believe that such information is inaccurate.

 

5.                                               The undersigned agree that the Joint Statement is, and any amendment thereto will be, filed on behalf of each of the Filing Persons.

 

Dated:                     May 22, 2003

 

THE PEIERLS FOUNDATION, INC.

U.S. TRUST COMPANY OF N.Y.

 

 

 

 

/s/ E. Jeffrey Peierls

 

/s/ Sharon M. Davison

 

Title:

President

 

Title:

SVP, Director of Compliance, Securities

 

 

 

 

 

ETHEL F. PEIERLS TRUST FOR E. JEFFREY PEIERLS

ETHEL F. PEIERLS TRUST FOR BRIAN E. PEIERLS

 

 

/s/ E. Jeffrey Peierls

 

/s/ E. Jeffrey Peierls

 

Title:

Co-Trustee

 

Title:

Co-Trustee

 

 

1



 

 

 

JENNIE N. PEIERLS TRUST FOR E. JEFFREY PEIERLS

JENNIE N. PEIERLS TRUST FOR BRIAN E. PEIERLS

 

 

/s/ E. Jeffrey Peierls

 

/s/ E. Jeffrey Peierls

 

Title:

Co-Trustee

 

Title:

Co-Trustee

 

 

 

 

 

/s/ E. Jeffrey Peierls

 

/s/ Brian E. Peierls

 

E. Jeffrey Peierls

Brian E. Peierls

 

 

 

 

/s/ Malcolm A. Moore

 

 

Malcolm A. Moore

 

 

2


-----END PRIVACY-ENHANCED MESSAGE-----