-----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, BBDdChZj6dWc11JrWi3tIRqMGLA19Xgo8K+ikprXE1snFcoEpeWIdV85iBxP+I2T dMzf1jsA06oENLoXOrligw== 0001047469-03-037863.txt : 20031119 0001047469-03-037863.hdr.sgml : 20031119 20031119150734 ACCESSION NUMBER: 0001047469-03-037863 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20031118 ITEM INFORMATION: Financial statements and exhibits ITEM INFORMATION: Regulation FD Disclosure FILED AS OF DATE: 20031119 FILER: COMPANY DATA: COMPANY CONFORMED NAME: SCO GROUP INC CENTRAL INDEX KEY: 0001102542 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 870662823 STATE OF INCORPORATION: DE FISCAL YEAR END: 1031 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 000-29911 FILM NUMBER: 031012679 BUSINESS ADDRESS: STREET 1: 355 S 520 W, SUITE 100 CITY: LINDON STATE: UT ZIP: 84042 BUSINESS PHONE: 8017654999 FORMER COMPANY: FORMER CONFORMED NAME: CALDERA INTERNATIONAL INC/UT DATE OF NAME CHANGE: 20001101 FORMER COMPANY: FORMER CONFORMED NAME: CALDERA SYSTEMS INC DATE OF NAME CHANGE: 20000104 8-K 1 a2123204z8-k.htm 8-K
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

FORM 8-K

CURRENT REPORT
Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934

Date of Report (Date of earliest event reported) November 18, 2003

The SCO Group, Inc.
(Exact name of registrant as specified in its charter)

Delaware
(State or other jurisdiction of incorporation)
0-29911
(Commission File Number)
87-0662823
(IRS Employer Identification)

355 South 520 West
Lindon, Utah 84042
(Address of principal executive offices, including Zip Code)

Registrant's telephone number, including area code: (801) 765-4999

N/A
(Former name or former address, if changed since last report)




ITEM 7.    Financial Statements and Exhibits

(c)
The SCO Group, Inc. hereby furnishes the following exhibits:

99.1
Amendment No. 2 dated October 16, 1996 to the Asset Purchase Agreement dated September 19, 1995 between Novell, Inc. and The Santa Cruz Operation, Inc.

99.2
Technology License Agreement dated September 19, 1995 between Novell, Inc. and The Santa Cruz Operation, Inc.


ITEM 9.    Regulation FD Disclosure

        The SCO Group, Inc. hereby furnishes the following two agreements and information related to the December 6, 1995 acquisition by The Santa Cruz Operation, Inc. from Novell, Inc. of certain UNIX system related assets:

    Amendment No. 2 dated October 16, 1996 to the Asset Purchase Agreement dated September 19, 1995 between Novell, Inc. and The Santa Cruz Operation, Inc. (the "Asset Purchase Agreement").

    Technology License Agreement dated September 19, 1995 between Novell, Inc. and The Santa Cruz Operation, Inc.

        These agreements are attached to this Current Report on Form 8-K as Exhibits 99.1 and 99.2.

        Additionally, The Santa Cruz Operation, Inc. filed with the Securities and Exchange Commission a Current Report on Form 8-K on December 21, 1995 (File No. 0-21484) in which the following agreements were filed together as Exhibit 2.1 and are publicly available:

    The Asset Purchase Agreement; and

    Amendment No. 1 to Asset Purchase Agreement dated December 6, 1995 between Novell, Inc. and The Santa Cruz Operation, Inc.

        Copies of these agreements, which are not attached to this Current Report on Form 8-K, may be obtained by contacting Joanie Bingham at The SCO Group, Inc., 355 South 520 West, Lindon, Utah 84042, 801-932-5812 or email—jbingham@sco.com.

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SIGNATURES

        Pursuant to the requirements of Section 13 or 15(d) of the Securities Exchange of 1934, as amended, the Registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.

Dated:   November 18, 2003 The SCO Group, Inc.

 

 

 

By

 

/s/  
ROBERT K. BENCH      
Robert K. Bench
Chief Financial Officer
Principal Financial and Accounting Officer

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EXHIBIT INDEX

Exhibit No.
  Description
99.1   Amendment No. 2 dated October 16, 1996 to the Asset Purchase Agreement dated September 19, 1995 between Novell, Inc. and The Santa Cruz Operation, Inc.
99.2   Technology License Agreement dated September 19, 1995 between Novell, Inc. and The Santa Cruz Operation, Inc.

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SIGNATURES
EXHIBIT INDEX
EX-99.1 3 a2123204zex-99_1.htm EX-99.1
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Exhibit 99.1

AMENDMENT No. 2
TO THE ASSET PURCHASE AGREEMENT

        As of the 16th day of October, 1996, the September 19, 1995 Asset Purchase Agreement (the "Agreement") between Novell, Inc. ("Novell") and The Santa Cruz Operation, Inc. ("SCO") is amended in the following respects.

A.
With respect to Schedule 1.1(b) of the Agreement, titled "Excluded Assets", Section V, Subsection A shall be revised to read:


All copyrights and trademarks, except for the copyrights and trademarks owned by Novell as of the date of the Agreement required for SCO to exercise its rights with respect to the acquisition of UNIX and UnixWare technologies. However, in no event shall Novell be liable to SCO for any claim brought by any third party pertaining to said copyrights and trademarks.

B.
Except as provided in Section C below, and notwithstanding the provisions of Article 4.16, Sections (b) and (c) of the Agreement, any potential transaction with an SVRX licensee which concerns a buy-out of any such licensee's royalty obligations shall be managed as follows:

1.
Should either party become aware of any such potential transaction, it will immediately notify the other in writing.

2.
Any meetings and/or negotiations with the licensee will be attended by both parties, unless agreed otherwise. Novell's participation will be by personnel who are engaged in corporate business development.

3.
Any written proposal to be presented to the licensee, including drafts and final versions of any proposed amendments to the SVRX licenses, will be consented to by both parties prior to its delivery to the licensee, unless agreed otherwise.

4.
Prior to either parties' unilateral determination as to the suitability of any potential buy-out transaction, the parties will meet face to face and analyze the potential merits and disadvantages of the transaction. No such transaction will be concluded unless the execution copy of the amendment is consented to in writing by both parties, and either party will have the unilateral right to withhold its consent should it judge, for any reason whatsoever, the transaction to be contrary to its economic interests and/or its business plans and strategy.

5.
This Amendment does not give Novell the right to increase any SVRX licensee's rights to SVRX source code, nor does it give Novell the right to grant new SVRX source code licenses. In addition, Novell may not prevent SCO from exercising its rights with respect to SVRX source code in accordance with the Agreement.

6.
The parties agree that no member of Novell's sales force will receive a bonus, commission, quota attainment credit, or other type of sales incentive as a result of the buy-out of an SVRX license.

C.
Novell may execute a buy-out with a licensee without any approval or involvement of SCO, and will no longer be bound by any of the requirements stated in Section B. above, if: (i) SCO ceases to actively and aggressively market SCO's UNIX platforms; or (ii) upon a change of control of SCO as stated in schedule 6.3(g) of the Agreement.

D.
Novell and SCO agree to indemnify and hold harmless the other from and against any and all losses, liabilities, judgments, and costs incurred ("Liability") if either causes the other to incur Liability under Section 10 of Amendment No. X to Software Agreement SOFT-00015 as amended, Sublicensing Agreement SUB-00015A as amended, Software Agreement SOFT-00015 Supplement No. 170 as amended, and Substitution Agreement XPER-00015B ("Amendment No. X").

In witness whereof, the parties have executed this Amendment No. 2 to be signed by their duly authorized representatives as of the date first written above.

THE SANTA CRUZ OPERATION, INC.   NOVELL, INC.

By:

 

/s/  
STEVEN M. SABBATH      

 

By:

 

/s/  
JAMES R. TOLONEN      

Name:

 

Steven M. Sabbath


 

Name:

 

James R. Tolonen


Title:

 

Vice President Law & Corporate Affairs


 

Title:

 

EVP & CFO

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AMENDMENT No. 2 TO THE ASSET PURCHASE AGREEMENT
EX-99.2 4 a2123204zex-99_2.htm EX-99.2
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Exhibit 99.2

EXECUTION COPY


TECHNOLOGY LICENSE AGREEMENT

        This Agreement is made between Novell, Inc. ("NOVELL"), a Delaware corporation, and The Santa Cruz Operation, Inc. ("SCO"), a California corporation. The effective date of this Agreement shall be the Closing Date of the Asset Purchase Agreement.

        WHEREAS, pursuant to the Asset Purchase Agreement, NOVELL shall be entitled to retain and to exercise, after the Closing Date, certain licenses for Licensed Technology, including related documentation and support.

        NOW, THEREFORE, for mutual consideration, the adequacy and sufficiency of which are acknowledged, the parties agree as follows:

I.    DEFINITIONS

        For purposes of this Agreement:

        "Asset Purchase Agreement" means the September 19, 1995 Asset Purchase Agreement between NOVELL and SCO, as amended by Amendment No. 1 to the Asset Purchase Agreement dated as of December 6, 1995.

        "Assigned Vendor Agreement" means an agreement (i) originally entered into by NOVELL, or a predecessor in interest of NOVELL, for the acquisition of software to be incorporated into or bundled with Licensed Technology, and (ii) imposing payment obligations on NOVELL that were assumed by SCO under the Asset Purchase Agreement.

        The terms "Assets", "Change of Control", "Closing Date", "Licensed Technology" and "Transitional Contracts" shall have the respective meanings attributed to such terms in the Asset Purchase Agreement.

II.    NOVELL'S RETAINED LICENSES

    A.
    Effective upon the Closing Date and in connection with the transfer of the Assets by NOVELL to SCO pursuant to the Asset Purchase Agreement, NOVELL hereby retains, with the consent of SCO and, shall have a non-exclusive, non-terminable, world-wide, fee-free license to

    (1)
    use, reproduce and modify, and authorize its customers to use, reproduce and modify, Licensed Technology (including related documentation) in their respective internal business operations; and

    (2)
    subject to paragraphs B and C of this Section II, to sublicense and distribute, and authorize its customers to sublicense and distribute, such Licensed Technology and modifications thereof, in source and binary form; provided, however, that (i) such technology and modifications may be sublicensed and/or distributed by NOVELL solely as part of a bundled or integrated offering ("Composite Offering"); (ii) such Composite Offering shall not be directly competitive with core application server offerings of SCO, and (iii) the Licensed Technology shall not constitute a primary portion of the value of such Composite Offering. SCO understands and acknowledges that such restrictions on sublicensing and/or distribution shall not affect any rights specifically retained by NOVELL under the Asset Purchase Agreement, including but not limited to rights under Transitional Contracts.

    B.
    In the event of a Change of Control of SCO, and commencing with the effective date of such Change of Control, the proviso in subparagraph IIA(2) setting forth restrictions on the sublicense and/or distribution of Licensed Technology and modifications thereof shall cease to exist.

    C.
    In the event of a Change of Control of NOVELL, and commencing with the effective date of such Change of Control, the term "Composite Offering" in the proviso of subparagraph IIA(2) above shall be restricted to bundled and integrated offerings of NOVELL or its customers, as the case may be, that have been developed or substantially developed as of the effective date of such Change of Control.

III.    OWNERSHIP

        As between NOVELL and SCO:

    (1)
    Ownership of Licensed Technology shall reside in SCO.

    (2)
    Ownership of any modifications made to Licensed Technology pursuant to the licenses specified in Section II above shall reside in NOVELL.

IV.    REIMBURSEMENT TO SCO FOR CERTAIN PAYMENT OBLIGATIONS

        In the event that the exercise of any of NOVELL's licenses specified in Section II above results in an obligation on the part of SCO to remit any payment to a third party under an Assigned Vendor Agreement, NOVELL shall reimburse SCO for the amount of any such payment remitted by SCO to such third party.

V.    SUPPORT

        With respect to any version or load of the "Eiger" product forming part of the Licensed Technology, SCO shall provide to NOVELL a reasonable degree of support to assist NOVELL's licensing activities pursuant to Section II above.

VI.    DISCLAIMER OF WARRANTY

        THE PARTIES AGREE THAT LICENSED TECHNOLOGY IS PROVIDED "AS IS". ANY AND ALL WARRANTIES OF ANY KIND WHATSOEVER WITH RESPECT TO LICENSED TECHNOLOGY, INCLUDING THE IMPLIED WARRANTIES OF MERCHANTABILITY AND/OR FITNESS FOR A PARTICULAR PURPOSE, AND WARRANTIES AGAINST INFRINGEMENT OF ANY THIRD PARTY PROPRIETARY RIGHT, ARE EXPRESSLY DISCLAIMED AND EXCLUDED.

VII.    ASSIGNMENT

    A.
    Neither party hereto may assign this Agreement or any of its rights hereunder to any other person or entity without the prior written consent of the other party; provided, however, that either party may assign its rights and delegate its obligations under this Agreement to its corporate parent, another subsidiary of such parent, or a third party transferee of substantially the entire portion of such party's business to which this agreement relates.

    B.
    Subject to Paragraph A of this Section, this Agreement shall be binding upon and shall inure to the benefit of the successors and permitted assigns of NOVELL and SCO and is not intended to confer upon any other person any rights or remedies hereunder.

VIII.    ENTIRE AGREEMENT

        This Agreement and the Asset Purchase Agreement constitute the entire understanding between the parties with respect to its subject matter, and supersede all prior understandings, both written and oral, between them relating to such subject matter.

IX.    NO WAIVER

        No waiver, modification or amendment of any provision of this Agreement shall be effective unless made in writing and signed by duly authorized representatives of both parties.

X.    GOVERNING LAW

        This Agreement shall be governed by, and construed in accordance with, the substantive laws of California.

        IN WITNESS WHEREOF, the parties have executed this Agreement through their duly authorized representatives on the respective dates indicated below.

NOVELL, INC.   THE SANTA CRUZ OPERATION, INC.

By:

 

/s/  
R. DUFF THOMPSON      

 

By:

 

/s/  
ALOK MOHAN      

Printed Name:

 

R. Duff Thompson


 

Printed Name:

 

Alok Mohan


Title:

 

Senior Vice President-Corporate Development


 

Title:

 

Chief Executive Officer


Date:

 

December 6, 1995


 

Date:

 

December 6, 1995

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TECHNOLOGY LICENSE AGREEMENT
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