OAK BROOK CAPITAL III INC 5/A
5/A · OAK BROOK CAPITAL III INC · Filed Jun 22, 2000
Insider Transaction Report
Form 5
Mark T. Thatcher
DirectorPresident10% Owner
Transactions
- Other
COMMON STOCK (voting)
[***]2000-05-15$1.00/sh−4,671,650$4,671,650→ 552,600 total
Footnotes (2)
- [***]Since May 08, 2000 (the date of the original Form 5 filing), the reporting person has transferred this equity position to the Treasury of the Issuer. Amended equity positions are hereby reported in the table below in transactions summarized as follows: Name Date of Shares Aggregate Purchase Number of Transfer Transfer Price Shares Owned Price as of this Date Gerard Werner 05/15/00 4,671,650 $1.00(1) $1.00 552,600 (1) In general, under Rule 144, a person (or persons whose shares are aggregated) who has satisfied a one year holding period, under certain circumstances, may sell within any three-month period a number of shares which does not exceed the greater of one percent of the then outstanding Common Stock or the average weekly trading volume during the four calendar weeks prior to such sale. Rule 144 also permits, under certain circumstances, the sale of shares without any quantity limitation by a person who has satisfied a two-year holding period and who is not, and has not been for the preceding three months, an affiliate of the Issuer. Each of the sales listed above was made for cash. Sales were made in reliance upon the exemption from registration offered by Section 4(2) of the Securities Act of 1933. The reporting person had access to pertinent information enabling them to ask informed questions. The shares were issued without the benefit of registration. An appropriate restrictive legend is imprinted upon each of the certificates representing such shares, and stop-transfer instructions have been entered in the Issuer's transfer records. All such sales were effected without the aid of underwriters, and no sales commissions were paid. -----------------------------------------------------------------------------
- [1]In general, under Rule 144, a person (or persons whose shares are aggregated) who has satisfied a one year holding period, under certain circumstances, may sell within any three-month period a number of shares which does not exceed the greater of one percent of the then outstanding Common Stock or the average weekly trading volume during the four calendar weeks prior to such sale. Rule 144 also permits, under certain circumstances, the sale of shares without any quantity limitation by a person who has satisfied a two-year holding period and who is not, and has not been for the preceding three months, an affiliate of the Issuer. Each of the sales listed above was made for cash. Sales were made in reliance upon the exemption from registration offered by Section 4(2) of the Securities Act of 1933. The reporting person had access to pertinent information enabling them to ask informed questions. The shares were issued without the benefit of registration. An appropriate restrictive legend is imprinted upon each of the certificates representing such shares, and stop-transfer instructions have been entered in the Issuer's transfer records. All such sales were effected without the aid of underwriters, and no sales commissions were paid.