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FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
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OMB APPROVAL
OMB Number: 3235-0287 Expires: February 28, 2011 Estimated average burden hours per response... 0.5 |
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Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person
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Ramius LLC |
2. Issuer Name
and
Ticker or Trading Symbol
PHOENIX TECHNOLOGIES LTD [ PTEC ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director __ X __ 10% Owner _____ Officer (give title below) _____ Other (specify below) |
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599 LEXINGTON AVENUE, 20TH FLOOR |
3. Date of Earliest Transaction
(MM/DD/YYYY)
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NEW YORK, NY 10022 |
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
___ Form filed by One Reporting Person _ X _ Form filed by More than One Reporting Person |
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned |
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1.Title of Security
(Instr. 3) |
2. Trans. Date | 2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
| Code | V | Amount | (A) or (D) | Price | ||||||
| Common Stock, $0.001 par value (1) (2) | 10/29/2009 | P | 6461 | A | $2.2122 | 487800 | I | By Ramius Enterprise Master Fund Ltd (3) (4) | ||
| Common Stock, $0.001 par value (1) (2) | 10/30/2009 | P | 2600 | A | $2.2000 | 490400 | I | By Ramius Enterprise Master Fund Ltd (3) (4) | ||
| Common Stock, $0.001 par value (1) (2) | 10/30/2009 | P | 5709 | A | $2.2064 | 496109 | I | By Ramius Enterprise Master Fund Ltd (3) (4) | ||
| Common Stock, $0.001 par value (1) (2) | 10/30/2009 | P | 29429 | A | $2.2393 | 525538 | I | By Ramius Enterprise Master Fund Ltd (3) (4) | ||
| Common Stock, $0.001 par value (1) (2) | 11/2/2009 | P | 2950 | A | $2.3787 | 528488 | I | By Ramius Enterprise Master Fund Ltd (3) (4) | ||
| Common Stock, $0.001 par value (1) (2) | 11/2/2009 | P | 29916 | A | $2.3950 | 558404 | I | By Ramius Enterprise Master Fund Ltd (3) (4) | ||
| Common Stock, $0.001 par value (1) (2) | 11/2/2009 | P | 3250 | A | $2.4000 | 561654 | I | By Ramius Enterprise Master Fund Ltd (3) (4) | ||
| Common Stock, $0.001 par value (1) (2) | 10/29/2009 | P | 24353 | A | $2.2122 | 1744669 | I | By Ramius Value & Opportunity Master (5) (6) | ||
| Common Stock, $0.001 par value (1) (2) | 10/30/2009 | P | 9800 | A | $2.2000 | 1754469 | I | By Ramius Value & Opportunity Master (5) (6) | ||
| Common Stock, $0.001 par value (1) (2) | 10/30/2009 | P | 21521 | A | $2.2064 | 1775990 | I | By Ramius Value & Opportunity Master (5) (6) | ||
| Common Stock, $0.001 par value (1) (2) | 10/30/2009 | P | 110925 | A | $2.2393 | 1886915 | I | By Ramius Value & Opportunity Master (5) (6) | ||
| Common Stock, $0.001 par value (1) (2) | 11/2/2009 | P | 11121 | A | $2.3787 | 1898036 | I | By Ramius Value & Opportunity Master (5) (6) | ||
| Common Stock, $0.001 par value (1) (2) | 11/2/2009 | P | 112760 | A | $2.3950 | 2010796 | I | By Ramius Value & Opportunity Master (5) (6) | ||
| Common Stock, $0.001 par value (1) (2) | 11/2/2009 | P | 12250 | A | $2.4000 | 2023046 | I | By Ramius Value & Opportunity Master (5) (6) | ||
| Common Stock, $0.001 par value (1) (2) | 10/29/2009 | P | 18886 | A | $2.2122 | 1367458 | I | By RCG PB, Ltd (7) | ||
| Common Stock, $0.001 par value (1) (2) | 10/30/2009 | P | 7600 | A | $2.2000 | 1375058 | I | By RCG PB, Ltd (7) | ||
| Common Stock, $0.001 par value (1) (2) | 10/30/2009 | P | 16690 | A | $2.2064 | 1391748 | I | By RCG PB, Ltd (7) | ||
| Common Stock, $0.001 par value (1) (2) | 10/30/2009 | P | 86024 | A | $2.2393 | 1477772 | I | By RCG PB, Ltd (7) | ||
| Common Stock, $0.001 par value (1) (2) | 11/2/2009 | P | 8625 | A | $2.3787 | 1486397 | I | By RCG PB, Ltd (7) | ||
| Common Stock, $0.001 par value (1) (2) | 11/2/2009 | P | 87446 | A | $2.3950 | 1573843 | I | By RCG PB, Ltd (7) | ||
| Common Stock, $0.001 par value (1) (2) | 11/2/2009 | P | 9500 | A | $2.4000 | 1583343 | I | By RCG PB, Ltd (7) | ||
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Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities) |
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1. Title of Derivate Security
(Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any |
4. Trans. Code
(Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
6. Date Exercisable and Expiration Date |
7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4) |
8. Price of Derivative Security
(Instr. 5) |
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
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Reporting Owners
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| Reporting Owner Name / Address |
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| Director | 10% Owner | Officer | Other | ||
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Ramius LLC
599 LEXINGTON AVENUE 20TH FLOOR NEW YORK, NY 10022 |
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C4S & CO LLC
599 LEXINGTON AVENUE 20TH FLOOR NEW YORK, NY 10022 |
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X |
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COHEN PETER A
C/O RAMIUS LLC 599 LEXINGTON AVE., 20TH FLOOR NEW YORK, NY 10022 |
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X |
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See Explanation of Responses | |
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STARK MORGAN B
C/O RAMIUS LLC 599 LEXINGTON AVE., 20TH FLOOR NEW YORK, NY 10022 |
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X |
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See Explanation of Responses | |
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STRAUSS THOMAS W
C/O RAMIUS LLC 599 LEXINGTON AVE., 20TH FLOOR NEW YORK, NY 10022 |
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X |
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See Explanation of Responses | |
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SOLOMON JEFFREY M
C/O RAMIUS LLC 599 LEXINGTON AVE., 20TH FLOOR NEW YORK, NY 10022 |
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X |
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See Explanation of Responses | |
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COWEN GROUP, INC.
C/O RAMIUS LLC 599 LEXINGTON AVENUE NEW YORK, NY 10022 |
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X |
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RCG HOLDINGS LLC
C/O RAMIUS LLC 599 LEXINGTON AVENUE NEW YORK, NY |
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X |
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Signatures
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| By: Ramius LLC; By: /s/ Owen S. Littman, Authorized Signatory | 11/3/2009 | |
| ** Signature of Reporting Person |
Date
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| By: C4S & Co., L.L.C., By: /s/ Owen S. Littman, as Attorney in Fact for Jeffrey M. Solomon, as Managing Member | 11/3/2009 | |
| ** Signature of Reporting Person |
Date
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| By: /s/ Owen S. Littman, as Attorney in Fact for Peter A. Cohen | 11/3/2009 | |
| ** Signature of Reporting Person |
Date
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| By: /s/ Owen S. Littman, as Attorney in Fact for Morgan B. Stark | 11/3/2009 | |
| ** Signature of Reporting Person |
Date
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| By: /s/ Owen S. Littman, as Attorney in Fact for Thomas W. Strauss | 11/3/2009 | |
| ** Signature of Reporting Person |
Date
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| By: /s/ Owen S. Littman, as Attorney in Fact for Jeffrey M. Solomon | 11/3/2009 | |
| ** Signature of Reporting Person |
Date
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| By: Cowen Group, Inc.; By: /s/ Owen S. Littman, Authorized Signatory | 11/3/2009 | |
| ** Signature of Reporting Person |
Date
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| By: RCG Holdings LLC; By /s/ Owen S. Littman, Authorized Signatory | 11/3/2009 | |
| ** Signature of Reporting Person |
Date
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| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |
| * | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
| ** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
| Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
| Persons who 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. | |