-----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, Ug6pGOJUurvcihLvGQJiTCnMdbdv6f+kJVz1tY3LNxGgvbXHmYN8ITV77lHeqiug FtIlGju8r7JyygXtCNi8Rw== 0000893220-04-000286.txt : 20040224 0000893220-04-000286.hdr.sgml : 20040224 20040224155646 ACCESSION NUMBER: 0000893220-04-000286 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20040224 GROUP MEMBERS: SAFEGUARD DELAWARE, INC. GROUP MEMBERS: SAFEGUARD SCIENTIFICS (DELAWARE), INC. GROUP MEMBERS: SAFEGUARD SCIENTIFICS, INC. SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: TANGRAM ENTERPRISE SOLUTIONS INC CENTRAL INDEX KEY: 0000804121 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 232214726 STATE OF INCORPORATION: PA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-38569 FILM NUMBER: 04624972 BUSINESS ADDRESS: STREET 1: 11000 REGENCY PARKWAY, SUITE 401 STREET 2: GREAT VALLEY CORPORATE CTR CITY: CARY STATE: NC ZIP: 27511 BUSINESS PHONE: 9196536000 MAIL ADDRESS: STREET 1: 11000 REGENCY PKWY STREET 2: STE 401 CITY: CARY STATE: NC ZIP: 27511 FORMER COMPANY: FORMER CONFORMED NAME: RABBIT SOFTWARE CORP /PA / DATE OF NAME CHANGE: 19920703 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: SAFEGUARD SCIENTIFICS INC CENTRAL INDEX KEY: 0000086115 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-BUSINESS SERVICES, NEC [7389] IRS NUMBER: 231609753 STATE OF INCORPORATION: PA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 435 DEVON PARK DR STREET 2: 800 THE SAFEGUARD BLDG CITY: WAYNE STATE: PA ZIP: 19087 BUSINESS PHONE: 6102930600 MAIL ADDRESS: STREET 1: 435 DEVON PARK DR STREET 2: BLDG 800 CITY: WAYNE STATE: PA ZIP: 19087 FORMER COMPANY: FORMER CONFORMED NAME: SAFEGUARD INDUSTRIES INC DATE OF NAME CHANGE: 19810525 FORMER COMPANY: FORMER CONFORMED NAME: SAFEGUARD CORP DATE OF NAME CHANGE: 19690521 SC 13D/A 1 w94569sc13dza.txt AMENDMENT NO. 11 TO SCHEDULE 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED ON STATEMENTS FILED PURSUANT TO RULE 13D-1(A) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13D-2(A) Amendment No. 11 Tangram Enterprise Solutions, Inc. (Name of Issuer) Common Stock, par value $.01 per share (Title of Class of Securities) 875924 10 2 (CUSIP Number) Karen M. Keating, Esq. Safeguard Scientifics, Inc. 435 Devon Park Drive, Building 800 Wayne, PA 19087 (610) 975-4984 (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) February 20, 2004 (Date of Event which Requires Filing of this Statement) If the filing person has previously filed a statement on Schedule 13G to report the acquisition which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(e), 13d-1(f) or 13d-1(g), check the following box __. NOTE: Schedules filed in paper format shall include a signed original and give copies of the schedule, including all exhibits. See Rule 13d-7(b) for other parties to whom copies are to be sent. (Continued on following pages) CUSIP No. 875924 10 2 Page 2 of 10 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON SAFEGUARD SCIENTIFICS, INC. 23-1609753 - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [X] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS N/A - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e) [ ] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION PENNSYLVANIA - -------------------------------------------------------------------------------- NUMBER OF 7 SOLE VOTING POWER SHARES BENEFICIALLY -0- OWNED BY ----------------------------------------------------- EACH REPORTING PERSON WITH 8 SHARED VOTING POWER -0- ---------------------------------------------------- 9 SOLE DISPOSITIVE POWER -0- --------------------------------------------------- 10 SHARED DISPOSITIVE POWER -0- - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON -0- - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [X] ** - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 0.0% - -------------------------------------------------------------------------------- 14E TYPE OF REPORTING PERSON CO - -------------------------------------------------------------------------------- ** Excludes an aggregate of 12,833 shares that have been pledged to Safeguard Scientifics, Inc. as collateral for a loan it provided to a former officer. Safeguard Scientifics, Inc. disclaims beneficial ownership of such shares. CUSIP No. 875924 10 2 Page 3 of 10 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON SAFEGUARD DELAWARE, INC. 52-2081181 - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [X] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS N/A - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e) [ ] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION DELAWARE - -------------------------------------------------------------------------------- NUMBER OF 7 SOLE VOTING POWER SHARES BENEFICIALLY -0- OWNED BY ---------------------------------------------------- EACH REPORTING 8 SHARED VOTING POWER PERSON WITH -0- --------------------------------------------------- 9 SOLE DISPOSITIVE POWER -0- --------------------------------------------------- 10 SHARED DISPOSITIVE POWER -0- - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON -0- - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 0.0% - -------------------------------------------------------------------------------- 14E TYPE OF REPORTING PERSON CO - -------------------------------------------------------------------------------- CUSIP No. 875924 10 2 Page 4 of 10 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON SAFEGUARD SCIENTIFICS (DELAWARE), INC. 51-0291171 - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [X] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS N/A - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e) [ ] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION DELAWARE - -------------------------------------------------------------------------------- NUMBER OF 7 SOLE VOTING POWER SHARES BENEFICIALLY -0- OWNED BY ---------------------------------------------------- EACH REPORTING 8 SHARED VOTING POWER PERSON WITH -0- ---------------------------------------------------- 9 SOLE DISPOSITIVE POWER -0- ---------------------------------------------------- 10 SHARED DISPOSITIVE POWER -0- - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON -0- - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 0.0% - -------------------------------------------------------------------------------- 14E TYPE OF REPORTING PERSON CO - -------------------------------------------------------------------------------- CUSIP No. 875924 10 2 Page 5 of 10 ITEM 1. SECURITY AND ISSUER. This Amendment No. 11 to Schedule 13D amends and supplements the Schedule 13D, as amended, previously filed by the Reporting Persons relating to the common stock, par value $.01 per share (the "Common Stock") of Tangram Enterprise Solutions, Inc. (the "Company"). This Statement on Schedule 13D relates to the closing of the Agreement and Plan of Reorganization by and among Opsware Inc., TES Acquisition Corp. and the Company. The executive office of the Company is located at 11000 Regency Parkway, Suite 401, Cary, North Carolina 27511-8504. ITEM 2. IDENTITY AND BACKGROUND. NO CHANGE EXCEPT AS FOLLOWS: (a) - (c) This Schedule 13D is being filed by: Safeguard Scientifics, Inc. ("Safeguard"), Safeguard Delaware, Inc. ("SDI") and Safeguard Scientifics (Delaware), Inc. ("SSDI") (collectively, the "Safeguard Reporting Persons"). Safeguard is a leader in developing companies primarily in the information technology and healthcare life sciences areas. SDI and SSDI are wholly owned subsidiaries of Safeguard. Set forth in Schedule I annexed hereto are the name, identity and background of each Safeguard Reporting Person and set forth in Schedules II, III and IV annexed hereto is the information required by Item 2 of Schedule 13D about the identity and background of each Safeguard Reporting Person's directors, executive officers and controlling persons, if any. The Safeguard Reporting Persons are sometimes referred to herein, collectively, as the "Reporting Persons," and, individually, as a "Reporting Person." ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION. Not applicable ITEM 4. PURPOSE OF TRANSACTION. In accordance with the Agreement and Plan of Reorganization dated December 4, 2003 (the "Merger Agreement"), on February 20, 2004, TES Acquisition Corp., a wholly owned subsidiary of Opsware, Inc., was merged with and into Company (the "Merger"), with the Company continuing as the surviving corporation as a wholly owned subsidiary of Opsware, Inc. As a result of the Merger, (i) Safeguard Delaware, Inc. will receive approximately 533,756 shares of Opsware, Inc. common stock in payment of an outstanding note in the principal amount of $650,000 plus accrued interest of $4,513.89, and in exchange for 3,000 shares of Series F Preferred Stock of the Company, and (ii) Safeguard Scientifics (Delaware), Inc. will receive approximately 247,483 shares of Opsware, Inc. common stock in exchange for 10,816,604 shares of Company common stock. ITEM 5. INTEREST IN SECURITIES OF THE ISSUER. Replace the disclosure previously contained in Item 5 with the following: The table below sets forth the aggregate number of shares and percentage of the Company's outstanding shares beneficially owned by each Reporting Person. Except as otherwise noted, each person listed has sole voting and dispositive power over all shares listed opposite its name. Any of the aforementioned persons whose names do not appear in the table below do not, to the best of each Reporting Person's knowledge, beneficially own any shares of the Company. No Reporting Person or director or executive officer of a Reporting Person listed on Schedules II-IV annexed hereto has consummated any transaction in the Company's shares during the past sixty days other than as set forth herein. As a result of the Merger, as of February 20, 2004, the Reporting Persons ceased to be the beneficial owner of more than five percent of the class of securities. CUSIP No. 875924 10 2 Page 6 of 10
Beneficial Ownership Number of Percentage Shares of Total Safeguard Scientifics, Inc. 0 0.0% Safeguard Delaware, Inc. 0 0.0% Safeguard Scientifics 0 0.0% (Delaware), Inc.
ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT TO SECURITIES OF THE ISSUER. None ITEM 7. MATERIAL TO BE FILED AS EXHIBITS. None 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: February 24, 2004 Safeguard Scientifics, Inc. By: CHRISTOPHER J. DAVIS --------------------------- Christopher J. Davis Managing Director and Chief Financial Officer Safeguard Delaware, Inc. Date: February 24, 2004 By: CHRISTOPHER J. DAVIS --------------------------- Christopher J. Davis Vice President and Treasurer Date: February 24, 2004 Safeguard Scientifics (Delaware), Inc. By: CHRISTOPHER J. DAVIS --------------------------- Christopher J. Davis Vice President and Treasurer CUSIP No. 875924 10 2 Page 7 of 10 SCHEDULE I 1. Safeguard Scientifics, Inc. Safeguard Scientifics, Inc., a Pennsylvania corporation ("Safeguard"), owns all of the outstanding capital stock of Safeguard Delaware, Inc. ("SDI") and Safeguard Scientifics (Delaware) Inc., a Delaware corporation ("SSDI"). Safeguard has an address at 800 The Safeguard Building, 435 Devon Park Drive, Wayne, PA 19087-1945. Safeguard is a leader in developing companies primarily in the information technology and healthcare life sciences areas. See Schedule II with respect to the executive officers and directors of Safeguard as of the date of filing this Schedule 13D. 2. Safeguard Delaware, Inc. SDI is a wholly owned subsidiary of Safeguard. SDI is a holding company and has an office at 103 Springer Building, 3411 Silverside Road, P.O. 7048, Wilmington, DE 19803. Schedule III provides information about the executive officers and directors of SDI as of the date of filing this Schedule 13D. 3. Safeguard Scientifics (Delaware), Inc. SSDI is a wholly owned subsidiary of Safeguard. SSDI is a holding company and has an office at 103 Springer Building, 3411 Silverside road, P.O. Box 7048, Wilmington, DE 19803. Schedule IV provides information about the executive officers and directors of SSDI as of the date of filing this Schedule 13D. CUSIP No. 875924 10 2 Page 8 of 10 SCHEDULE II EXECUTIVE OFFICERS AND DIRECTORS OF SAFEGUARD SCIENTIFICS, INC.
Name Present Principal Employment Business Address ---- ---------------------------- ---------------- EXECUTIVE OFFICERS* Anthony L. Craig President, Chief Executive Safeguard Scientifics,Inc. Officer and Director 800 The Safeguard Building 435 Devon Park Drive Wayne, PA 19087 Michael F. Cola Managing Director, Corporate Safeguard Scientifics,Inc. Operations 800 The Safeguard Building 435 Devon Park Drive Wayne, PA 19087 Christopher J. Davis Managing Director and Chief Safeguard Scientifics,Inc. Financial Officer 800 The Safeguard Building 435 Devon Park Drive Wayne, PA 19087 Anthony A. Ibarguen Managing Director, Business & Safeguard Scientifics,Inc. IT Services 800 The Safeguard Building 435 Devon Park Drive Wayne, PA 19087 DIRECTORS* Robert E. Keith, Jr. Managing Director, TL Ventures TL Ventures 435 Devon Park Drive, Bldg. 700 Wayne, PA 19087 Anthony L. Craig Same as above Same as above Julie A. Dobson Consultant 12617 Greenbriar Road Potomac, MD 20854 Andrew E. Lietz Managing Director, Rye P. O. Box 738 Capital Management Rye, NH 03870 George MacKenzie Consultant 360 High Ridge Road Chadds Ford, PA 19317 Jack L. Messman Chairman and CEO, Novell, Inc. Novell, Inc. 404 Wyman Street, Suite 500 Waltham, MA 02451 Russell E. Palmer Chairman and CEO, The Palmer The Palmer Group Group 3600 Market Street, Suite 530 Philadelphia, PA 19104 John W. Poduska Sr. Consultant 295 Meadowbrook Rd. Weston, MA 02493-2450 Robert Ripp Chairman, Lightpath 21 Old Logging Road Technologies, Inc. Bedford, NY 10506 John J. Roberts Consultant 1007 Canterbury Lane Villanova, PA 19085
* All Executive Officers and Directors are U.S. Citizens. CUSIP No. 875924 10 2 Page 9 of 10 SCHEDULE III EXECUTIVE OFFICERS AND DIRECTORS OF SAFEGUARD DELAWARE, INC.
Name Present Principal Employment Business Address ---- ---------------------------- ---------------- EXECUTIVE OFFICERS* Anthony L. Craig President, Safeguard Safeguard Scientifics, Inc. Delaware, Inc.; President and 800 The Safeguard Building CEO, Safeguard Scientifics, 435 Devon Park Drive Inc. Wayne, PA 19087 Christopher J. Davis Vice President & Treasurer, Safeguard Scientifics,Inc. Safeguard Delaware, Inc.; 800 The Safeguard Building Managing Director and CFO, 435 Devon Park Drive Safeguard Scientifics, Inc. Wayne, PA 19087 DIRECTORS* Deirdre Blackburn Manager, Legal Systems & Safeguard Scientifics, Inc. Corporate Secretary, 800 The Safeguard Building Safeguard Scientifics, Inc. 435 Devon Park Drive Wayne, PA 19087 Steve Grenfell Director, Safeguard Safeguard Scientifics, Inc. Scientifics, Inc. 800 The Safeguard Building 435 Devon Park Drive Wayne, PA 19087
* All Executive Officers and Directors are U.S. Citizens. CUSIP No. 875924 10 2 Page 10 of 10 SCHEDULE IV EXECUTIVE OFFICERS AND DIRECTORS OF SAFEGUARD SCIENTIFICS (DELAWARE), INC.
Name Present Principal Employment Business Address ---- ---------------------------- ---------------- EXECUTIVE OFFICERS* Anthony L. Craig President, Safeguard Safeguard Scientifics, Inc. Delaware, Inc.; President and 800 The Safeguard Building CEO, Safeguard Scientifics, 435 Devon Park Drive Inc. Wayne, PA 19087 Christopher J. Davis Vice President & Treasurer, Safeguard Scientifics,Inc. Safeguard Delaware, Inc.; 800 The Safeguard Building Managing Director and CFO, 435 Devon Park Drive Safeguard Scientifics, Inc. Wayne, PA 19087 DIRECTORS* Deirdre Blackburn Manager, Legal Systems & Safeguard Scientifics, Inc. Corporate Secretary, 800 The Safeguard Building Safeguard Scientifics, Inc. 435 Devon Park Drive Wayne, PA 19087 Steve Grenfell Director, Safeguard Safeguard Scientifics, Inc. Scientifics, Inc. 800 The Safeguard Building 435 Devon Park Drive Wayne, PA 19087
* All Executive Officers and Directors are U.S. Citizens. -----END PRIVACY-ENHANCED MESSAGE-----