Schedule 13G Page 1 of 5
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13G
UNDER THE SECURITIES EXCHANGE ACT OF 1934
(AMENDMENT NO. )*
Phoenix Technology Inc
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(Name of Issuer)
Common
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(Title of Class of Securities)
719153 10 8
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(CUSIP Number)
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(Date of Event which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule
is filed:
[X] Rule 13d-1(b)
[ ] Rule 13d-1(c)
[ ] Rule 13d-1(d)
*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 the
disclosures provided in a prior cover page.
The information required in 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).
Schedule 13G Page 2 of 5
CUSIP No. 719153 10 8
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1. Names of Reporting Persons. I.R.S. Identification Nos. of above persons
(entities only).
(a) U.S. Trust Corporation* 13-2927955
(b) United States Trust Company of New York 13-5459866
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2. Check the Appropriate Box if a Member of a Group (See Instructions)
(a) [ ]
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(b) [ ]
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3. SEC Use Only
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4. Citizenship or Place of Organization New York
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5. Sole Voting Power
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NUMBER OF
SHARES ------------------------------------------------------------
BENEFICIALLY 6. Shared Voting Power 1,671,999
OWNED BY -------------------------------------
EACH ------------------------------------------------------------
REPORTING 7. Sole Dispositive Power
PERSON ----------------------------------
WITH ------------------------------------------------------------
8. Shared Dispositive Power Same
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9. Aggregate Amount Beneficially Owned by Each Reporting Person Same
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10. Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See
Instructions)
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11. Percent of Class Represented by Amount in Row (11) Same
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12. Type of Reporting Person (See Instructions)
#1(a) - HC
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#1(b) - BK
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* - U.S. Trust Corporation is a wholly-owned direct subsidiary of The
Charles Schwab Corporation. Each entity files reports completely separate
and independent from the other. Correspondingly, neither entity shares
with the other any information and/or power with respect to either the
voting and/or disposition of the securities reported by each.
Schedule 13G Page 3 of 5
ITEM 1.
(a) Name of Issuer
Phoenix Technology Ltd
(b) Address of Issuer's Principal Executive Offices
411 E Plumeria Dr
San Jose, CA 95134
ITEM 2.
(a) Name of Person Filing
U.S. Trust Corporation
United States Trust Company of New York
(b) Address of Principal Business Office or, if none, Residence
114 West 47th Street
NY, NY 10036
(c) Citizenship
U.S.
(d) Title of Class of Securities
Common
(e) CUSIP Number
719153
ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO SECTIONS 240.13d-1(b) OR
240.13d-2(b) OR (c), CHECK WHETHER THE PERSON FILING IS A:
(a) [ ] Broker or dealer registered under section 15 of the Act (15
U.S.C. 78o).
(b) [X] Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c).
(c) [ ] Insurance company as defined in section 3(a)(19) of the Act (15
U.S.C. 78c).
(d) [ ] Investment company registered under section 8 of the Investment
Company Act of 1940 (15 U.S.C. 80a-8).
(e) [ ] An investment advisor in accordance with section
240.13d-1(b)(1)(ii)(E);
(f) [ ] An employee benefit plan or endowment fund in accordance with
section 240.13d-1(b)(1)(ii)(F);
(g) [X] A parent holding company or control person in accordance with
section 240.13d-1(b)(1)(ii)(G);
(h) [ ] A savings associations as defined in Section 3(b) of the
Federal Deposit Insurance Act (12 U.S.C. 1813);
(i) [ ] A church plan that is excluded from the definition of an
investment company under section 3(c)(14) of the Investment
Company Act of 1940 (15 U.S.C. 80a-3);
(j) [ ] Group, in accordance with section 240.13d-1(b)(1)(ii)(J).
Page 4 of 5
ITEM 4. OWNERSHIP
Provide the following information regarding the aggregate number and percentage
of the class of securities of the issuer identified in Item 1.
(a) Amount Beneficially Owned: See #6, p. 2
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(b) Percent of Class: See #11, p. 2
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(c) Number of shares as to which the person has:
(i) Sole power to vote or to direct the vote
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(ii) Shared power to vote or to direct the vote Same
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(iii) Sole power to dispose or to direct the disposition
of
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(iv) Shared power to dispose or to direct the disposition
of Same
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Instruction. For computations regarding securities which represent a right to
acquire an underlying security see section 240.13d3(d)(1).
Schedule 13G Page 5 of 5
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.
2/12/02
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Date
/s/ Joseph A. Tricarico
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Signature
Authorized Agent/Vice President and Trust Counsel
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Name/Title
The original statement shall be signed by each person on whose behalf the
statement is filed or his authorized representative. If the statement is signed
on behalf of a person by his authorized representative other than an executive
officer or general partner of the filing person, evidence of the
representative's authority to sign on behalf of such person shall be filed with
the statement; provided, however, that a power of attorney for this purpose
which is already on file with the Commission may be incorporated by reference.
The name and any title of each person who signs the statement shall be typed or
printed beneath his signature.
NOTE: Schedules filed in paper format shall include a signed original and five
copies of the schedule, including all exhibits, See section 240.13d-7 for other
parties for whom copies are to be sent.
ATTENTION: INTENTIONAL MISSTATEMENTS OR OMISSIONS OF FACT CONSTITUTE FEDERAL
CRIMINAL VIOLATIONS (SEE 18 U.S.C. 1001)