4//SEC Filing
KOE RICHARD W 4
Accession 0001095449-04-000002
CIK 0000820738other
Filed
Jan 4, 7:00 PM ET
Accepted
Jan 5, 7:50 PM ET
Size
19.5 KB
Accession
0001095449-04-000002
Insider Transaction Report
Form 4
KOE RICHARD W
Director10% Owner
Transactions
- Other
5% Convertible Subordinated Note due 2008
2003-07-01$278256.00/sh(indirect: By Astoria Capital Partners, L.P.)Exercise: $5.00From: 2003-02-28Exp: 2008-05-29→ Common Stock, $.10 par value (55,651 underlying) - Other
Common Stock Purchase Warrant
2003-04-01+0→ 1,136,555 total(indirect: By Astoria Capital Partners, L.P.)Exercise: $2.35From: 2000-12-01Exp: 2005-03-16→ Common Stock, $.10 par value (1,136,555 underlying) - Other
5% Convertible Subordinated Note due 2008
2003-04-01$181970.00/sh(indirect: By Astoria Capital Partners, L.P.)Exercise: $5.00From: 2003-02-28Exp: 2008-05-29→ Common Stock, $.10 par value (36,394 underlying) - OtherSwap
5% Convertible Subordinated Note due 2008
2004-01-01$288410.00/sh(indirect: By Astoria Capital Partners, L.P.)Exercise: $5.00From: 2003-02-28Exp: 2008-05-29→ Common Stock, $.10 par value (57,682 underlying) - Other
5% Convertible Subordinated Note due 2008
2003-10-01$284821.00/sh(indirect: By Astoria Capital Partners, L.P.)Exercise: $5.00From: 2003-02-28Exp: 2008-05-29→ Common Stock, $.10 par value (56,964 underlying)
Footnotes (6)
- [F1]This warrant was previously reported as covering 1,163,860 shares at an exercise price of $2.30 per share, but has been adjusted due to an amendment to the warrant's anti-dilution provisions to exclude certain issuances, including issuances under employee stock incentive programs.
- [F2]The exercise price of this warrant was previously reported as $6.54 per share, but was adjusted pursuant to the warrant's anti-dilution provisions.
- [F3]Represents the issuance of additional notes at the option of the issuer as payment in kind for interest payments due April 1, 2003, July 1, 2003, October 1, 2003 and January 1, 2004. Issuer may, at its option, make future quarterly interest payments by issuing additional notes.
- [F4]Receipt of additional notes as interest payment on notes held.
- [F5]N/A
- [F6]The reporting person is a general partner of the limited partnership and a shareholder of the limited partnership's other general partner. The reporting person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest in the limited partnership.
Documents
Issuer
RAINING DATA CORP
CIK 0000820738
Entity typeother
Related Parties
1- filerCIK 0001063406
Filing Metadata
- Form type
- 4
- Filed
- Jan 4, 7:00 PM ET
- Accepted
- Jan 5, 7:50 PM ET
- Size
- 19.5 KB