- Amended tender offer statement by Issuer (SC TO-I/A)
February 04 2009 - 11:46AM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE TO
(Amendment No. 1)
Tender Offer Statement Under Section 14(d)(1) or 13(e)(1)
of the Securities Exchange Act of 1934
UNICA CORPORATION
(Name of Subject Company (Issuer) and Filing Person (Offeror))
Options to Purchase Common Stock, $0.01 Par Value Per Share
(Title of Class of Securities)
904583101
(CUSIP Number of Common Stock Underlying Class of Securities)
Yuchun Lee
President and Chief Executive Officer
Unica Corporation
170 Tracer Lane
Waltham, Massachusetts 02451
(781) 839-8000
(Name, Address and Telephone Number of Person Authorized to
Receive Notices and Communications On Behalf of Filing Person)
Copy to:
Philip P. Rossetti
Wilmer Cutler Pickering Hale and Dorr LLP
60 State Street
Boston, Massachusetts 02109
(617) 526-6439
CALCULATION OF FILING FEE
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Transaction Valuation*
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Amount of Filing Fee**
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$1,151,000
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$45.23
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*
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Estimated solely for purposes of calculating the amount of the filing fee. The calculation
of the Transaction Valuation assumes that all options to purchase shares of the issuers
common stock that may be eligible for exchange in the offer will be tendered pursuant to this
offer. These options cover an aggregate of 967,177 shares of the issuers common stock and
have an aggregate value of $1,151,000 as of January 9, 2009, calculated based on a
BlackScholes option pricing model.
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**
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The amount of the filing fee, calculated in accordance with Rule 0-11(b) of the Securities
Exchange Act of 1934, as amended, equals $39.30 per $1,000,000 of the aggregate amount of the
Transaction Valuation (or .00003930 of the aggregate Transaction Valuation). The Transaction
Valuation set forth above was calculated for the sole purpose of determining the filing fee
and should not be used for any other purpose.
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þ
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Check the box if any part of the fee is offset as provided by Rule 0-1 1(a)(2) and identify
the filing with which the offsetting fee was previously paid. Identify the previous filing by
registration statement number, or the Form or Schedule and the date of its filing.
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Amount Previously Paid:
$45.23
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Filing Party:
Unica Corporation
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Form or Registration No.:
Schedule TO
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Date Filed:
January 20, 2009
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o
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Check the box if the filing relates solely to preliminary communications made before the
commencement of a tender offer.
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Check the appropriate boxes below to designate any transactions to which the statement relates:
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o
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third-party tender offer subject to Rule 14dl.
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þ
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issuer tender offer subject to Rule 13e4.
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o
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going-private transaction subject to Rule 13e3.
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o
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amendment to Schedule 13D under Rule 13d2.
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Check the following box if the filing is a final amendment reporting the results of the tender
offer:
o
TABLE OF CONTENTS
This Amendment No. 1 amends and supplements the Tender Offer Statement on Schedule TO
originally filed with the Securities and Exchange Commission on January 20, 2009 (the Schedule
TO) by Unica Corporation (the Company), wherein the Company offered to exchange certain
outstanding eligible option grants for new option grants, on the terms and subject to the
conditions described in the Offer to Exchange Certain Outstanding Stock Option Grants for New Stock
Option Grants dated January 20, 2009.
Item 12 of the Schedule TO is hereby amended and supplemented to add the following exhibit:
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Exhibit Number
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Description
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(a)(1)(L)
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Communication to employees, dated February 4, 2009, from Unica Corporation.
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SIGNATURE
After due 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.
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UNICA CORPORATION
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By:
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/s/ Yuchun Lee
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Name:
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Yuchun Lee
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Title:
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Chief Executive Officer
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Date: February 4, 2009
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Index to Exhibits
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Exhibit Number
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Description
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(a)(1)(L)
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Communication to employees, dated
February 4, 2009, from Unica Corporation.
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