C E UNTERBERG TOWBIN HOLDINGS INC 3
3 · SERVICEWARE TECHNOLOGIES INC/ PA · Filed Jan 12, 2004
Insider Transaction Report
Form 3
C E UNTERBERG TOWBIN HOLDINGS INC
10% Owner
Holdings
- (indirect: see footnote)
10% Convertible Notes
Exercise: $0.00From: 2002-05-06Exp: 2004-07-15→ Common Stock (10,625,980 underlying) - 311,233
Common Stock
- 95,540
Common Stock
- 357,143(indirect: see footnote)
Common Stock
- 1,064,184(indirect: see footnote)
Common Stock
- 968,644(indirect: see footnote)
Common Stock
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.