C E UNTERBERG TOWBIN HOLDINGS INC 3

Accession 0001125282-04-000119

CIK 0001062606other

View on SEC.gov Company Profile

Filed

Jan 11, 7:00 PM ET

Accepted

Jan 12, 8:16 PM ET

Size

19.1 KB

Accession

0001125282-04-000119

Insider Transaction Report

Form 3

Period: 2004-01-01

SERVICEWARE TECHNOLOGIES INC/ PASVCW

C E UNTERBERG TOWBIN HOLDINGS INC

10% Owner

Holdings

10% Convertible Notes
(indirect: see footnote)
Exercise: $0.00From: 2002-05-06Exp: 2004-07-15→ Common Stock (10,625,980 underlying)
Common Stock
311,233
10% Convertible Notes
Exercise: $0.00From: 2002-05-06Exp: 2004-07-15→ Common Stock (8,252,352 underlying)
Common Stock
95,540
Common Stock
(indirect: see footnote)
357,143
Common Stock
(indirect: see footnote)
1,064,184
Common Stock
(indirect: see footnote)
968,644

UTCM LLC

10% Owner

Holdings

Common Stock
(indirect: see footnote)
1,064,184
10% Convertible Notes
(indirect: see footnote)
Exercise: $0.00From: 2002-05-06Exp: 2004-07-15→ Common Stock (10,625,980 underlying)
Common Stock
311,233
Common Stock
(indirect: see footnote)
968,644
Common Stock
95,540
10% Convertible Notes
Exercise: $0.00From: 2002-05-06Exp: 2004-07-15→ Common Stock (8,252,352 underlying)
Common Stock
(indirect: see footnote)
357,143

C E UNTERBERG TOWBIN LLC

10% Owner

Holdings

Common Stock
(indirect: see footnote)
357,143
10% Convertible Notes
(indirect: see footnote)
Exercise: $0.00From: 2002-05-06Exp: 2004-07-15→ Common Stock (10,625,980 underlying)
Common Stock
(indirect: see footnote)
1,064,184
Common Stock
311,233
10% Convertible Notes
Exercise: $0.00From: 2002-05-06Exp: 2004-07-15→ Common Stock (8,252,352 underlying)
Common Stock
95,540
Common Stock
(indirect: see footnote)
968,644

CE UNTERBERG TOWBIN PRIVATE EQUITY PARTNERS II Q LP

10% Owner

Holdings

Common Stock
(indirect: see footnote)
1,064,184
Common Stock
(indirect: see footnote)
968,644
10% Convertible Notes
(indirect: see footnote)
Exercise: $0.00From: 2002-05-06Exp: 2004-07-15→ Common Stock (10,625,980 underlying)
Common Stock
95,540
Common Stock
311,233
10% Convertible Notes
Exercise: $0.00From: 2002-05-06Exp: 2004-07-15→ Common Stock (8,252,352 underlying)
Common Stock
(indirect: see footnote)
357,143

Footnotes (13)

[F1]C.E. Unterberg, Towbin Holdings, Inc. reporting person.
[F10]Includes convertible notes owned by C.E. Unterberg, Towbin Capital Partners I, L.P., C.E. Unterberg, Towbin Private Equity Partners II, L.P., and C. E. Unterberg, Towbin Private Equity Partners II-Q, L.P., of which UTCM, L.L.C. is the sole general partner. UTCM, L.L.C. disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein.
[F11]Includes convertible notes owned by C.E. Unterberg, Towbin Private Equity Partners II, L.P. and C. E. Unterberg, Towbin Private Equity Partners II-Q, L.P., of which C.E. Unterberg, Towbin, LLC is the investment advisor. C.E. Unterberg, Towbin, LLC disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein.
[F12]Convertible notes held by C.E. Unterberg, Towbin Private Equity Partners II-Q, L.P.
[F13]C.E. Unterberg, Towbin Capital Partners I, L.P. purchased $265,000 of convertible notes on May 6, 2002. C.E. Unterberg, Towbin Private Equity Partners II, L.P. purchased $132,146.00 of convertible notes on May 6, 2002 and an additional $117,510.00 worth on June 19, 2002. C. E. Unterberg, Towbin Private Equity Partners II-Q, L.P. purchased $867,854.00 of convertible notes on May 6, 2002 and an additional $927,490.00 worth on June 19, 2002. Current figures reflect interest paid in kind, payable each April 30 and October 31 at a rate of 10%.
[F2]Includes common stock owned by C.E. Unterberg, Towbin Capital Partners I, L.P., C.E. Unterberg, Towbin Private Equity Partners II, L.P., and C. E. Unterberg, Towbin Private Equity Partners II-Q, L.P., of which UTCM, L.L.C. is the sole general partner, and restricted common stock owned by C.E. Unterberg, Towbin, LLC. C.E. Unterberg, Towbin Holdings, Inc. is the sole member of both UTCM, L.L.C. and C.E. Unterberg, Towbin, LLC and disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein.
[F3]UTCM, L.L.C. reporting person.
[F4]Includes common stock owned by C.E. Unterberg, Towbin Capital Partners I, L.P., C.E. Unterberg, Towbin Private Equity Partners II, L.P., and C. E. Unterberg, Towbin Private Equity Partners II-Q, L.P., of which UTCM, L.L.C. is the sole general partner. UTCM, L.L.C. disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein.
[F5]Common stock held by C.E. Unterberg, Towbin, LLC.
[F6]C.E. Unterberg, Towbin, LLC reporting person.
[F7]Includes common stock owned by C.E. Unterberg, Towbin Private Equity Partners II, L.P. and C. E. Unterberg, Towbin Private Equity Partners II-Q, L.P., of which C.E. Unterberg, Towbin, LLC is the investment advisor. C.E. Unterberg, Towbin, LLC disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein.
[F8]Common stock held by C.E. Unterberg, Towbin Private Equity Partners II-Q, L.P.
[F9]Includes convertible notes owned by C.E. Unterberg, Towbin Capital Partners I, L.P., C.E. Unterberg, Towbin Private Equity Partners II, L.P., and C. E. Unterberg, Towbin Private Equity Partners II-Q, L.P., of which UTCM, L.L.C. is the sole general partner. C.E. Unterberg, Towbin Holdings, Inc. is the sole member of both UTCM, L.L.C. and C.E. Unterberg, Towbin, LLC and disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein.

Documents

1 file

3
b329556_ex.xmlPrimary
FORM 3

Issuer

SERVICEWARE TECHNOLOGIES INC/ PA

CIK 0001062606

→

Entity typeother

IncorporatedDE

Related Parties

filerCIK 0001276021

Filing Metadata

Form type: 3
Filed: Jan 11, 7:00 PM ET
Accepted: Jan 12, 8:16 PM ET
Size: 19.1 KB

View on SEC.gov