-----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, VHu7gMDcXeaB5s+sjdU/Tqtq01O17SCRepdN7SiszRK9DoSYi1IRZw7p/CXEtUly 8iCFXhYO+R7k0EvyyDZfOA== 0000859360-98-000001.txt : 19980218 0000859360-98-000001.hdr.sgml : 19980218 ACCESSION NUMBER: 0000859360-98-000001 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980217 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: LEGATO SYSTEMS INC CENTRAL INDEX KEY: 0000859360 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 943077394 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-45291 FILM NUMBER: 98540338 BUSINESS ADDRESS: STREET 1: 3210 PORTER DR CITY: PALO ALTO STATE: CA ZIP: 94304 BUSINESS PHONE: 4158126000 MAIL ADDRESS: STREET 1: 3210 PORTER DRIVE CITY: PALO ALTO STATE: CA ZIP: 94304 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: LEGATO SYSTEMS INC CENTRAL INDEX KEY: 0000859360 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 943077394 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 3210 PORTER DR CITY: PALO ALTO STATE: CA ZIP: 94304 BUSINESS PHONE: 4158126000 MAIL ADDRESS: STREET 1: 3210 PORTER DRIVE CITY: PALO ALTO STATE: CA ZIP: 94304 SC 13G/A 1 13G SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION STATEMENT PURSUANT TO RULES 13d-1 AND 13d-2 UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 1)1 LEGATO SYSTEMS, INC. - -------------------------------------------------------------------------------- (Name of Issuer) COMMON STOCK - -------------------------------------------------------------------------------- (Title of Class of Securities) 524651106 - -------------------------------------------------------------------------------- (CUSIP Number) ------------- 1 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 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). (Continued on following pages) Page 1 of 6 Pages - --------------------------- ---------------------------- CUSIP NO. 524651106 13G Page 2 of 6 Pages - --------------------------- ---------------------------- - ----------- ------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON LOUIS C. COLE - ----------- ------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) (b) - ----------- ------------------------------------------------------------------- - ----------- ------------------------------------------------------------------- 3 SEC USE ONLY - ----------- ------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION UNITED STATES - ----------- ------------------------------------------------------------------- - ----------------------------------- -------- ---------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES BENEFICIALLY 203,182 shares issuable upon exercise of options. -------- ----------------------------------------------------- -------- ----------------------------------------------------- OWNED BY REPORTING 6 SHARED VOTING POWER PERSON WITH 789,996 shares, all of which are directly owned by The Louis & Jolene 1988 Revocable Trust, Dated November 7, 1988 (the "Cole Trust"). Mr. Cole is a trustee of the Cole Trust and may be deemed to have shared power to vote these shares. -------- ----------------------------------------------------- -------- ----------------------------------------------------- 7 SOLE DISPOSITIVE POWER 203,182 shares issuable upon exercise of options. -------- ----------------------------------------------------- -------- ----------------------------------------------------- 8 SHARED DISPOSITIVE POWER 789,996 shares, all of which are directly owned by The Louis & Jolene 1988 Revocable Trust, Dated November 7, 1988 (the "Cole Trust"). Mr. Cole is a trustee of the Cole Trust and may be deemed to have shared power to dispose of these shares. - ----------------------------------- -------- ----------------------------------- - ----------- -------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON 993,178 shares - ----------- -------------------------------------------------------------------- - ----------- -------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES CERTAIN SHARES N/A - ----------- - ----------- -------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 5.5% - ----------- -------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON IN - ----------- -------------------------------------------------------------------- ITEM 1(a). NAME OF ISSUER: Legato Systems, Inc. ITEM 1(b). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: 3210 Porter Drive Palo Alto, CA 94304 ITEM 2(a). NAME OF PERSONS FILING. This Statement is filed by Louis C. Cole. ITEM 2(b). ADDRESS OF PRINCIPAL BUSINESS OFFICE: The address for the Reporting Person is: Legato Systems, Inc. 3210 Porter Drive Palo Alto, CA 94304 ITEM 2(c). CITIZENSHIP: Louis C. Cole is a citizen of the United States. ITEM 2(d). TITLE OF CLASS OF SECURITIES: Common Stock ITEM 2(e). CUSIP NUMBER: 524651106 ITEM 3. Not Applicable. ITEM 4. OWNERSHIP: The following information with respect to the ownership of Common Stock of the Issuer by the person filing this Statement is provided as of December 31, 1997: (a) Amount beneficially owned: See Row 9 of cover page for the Reporting Person. (b) Percent of Class: See Row 11 of cover page for the Reporting Person. (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote: See Row 5 of cover page for the Reporting Person. (ii) Shared power to vote or to direct the vote: See Row 6 of cover page for the Reporting Person. (iii) Sole power to dispose or to direct the disposition of: See Row 7 of cover page for the Reporting Person. (iv) Shared power to dispose or to direct the disposition of: See Row 8 of cover page for the Reporting Person. 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. SIGNATURES 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. Dated: February 13, 1998 /s/Louis C. Cole ------------------- LOUIS C. COLE -----END PRIVACY-ENHANCED MESSAGE-----