DATARAM CORP 4

4 · DATARAM CORP · Filed Aug 12, 2014

Form 4

Period: 2014-07-15

General Manager MMB Unit

Transactions

Award
Subordinated Secured Convertible Bridge Note
2014-07-15$2.94/sh+3,401$9,999→ 3,401 total
Exercise: $2.94→ Common Stock
Award
Common Stock Warrants
2014-07-15$2.94/sh+4,000$11,760→ 4,000 total
Exercise: $2.94→ Common Stock
Award
Common Stock Warrants
2014-07-15$3.50/sh+4,000$14,000→ 4,000 total
Exercise: $3.50→ Common Stock
Award
Common Stock Warrants
2014-07-15$3.00/sh+4,000$12,000→ 4,000 total
Exercise: $3.00→ Common Stock

Holdings

Common Stock, $1.00 par value
1,000
Options
Exercise: $10.56From: 2011-09-13Exp: 2016-09-23→ Common Stock (16,667 underlying)
16,667
Options
Exercise: $4.14From: 2013-07-19Exp: 2018-07-19→ Common Stock (16,667 underlying)
16,667
Options
Exercise: $15.42From: 2010-09-24Exp: 2015-09-24→ Common Stock (8,333 underlying)
8,333
Options
Exercise: $6.36From: 2012-09-22Exp: 2017-09-22→ Common Stock (16,667 underlying)
16,667

Footnotes (3)

[F1]The number of options and respective prices have been adjusted to reflect a 1-for-6 reverse stock split effective as of March 15, 2013.
[F2]On July 15, 2014, the reporting person entered into a Subordinated Secured Convertible Bridge Note and Warrant Purchase Agreement (the "Agreement") governing the issuance of up to $750,000 aggregate principal amount of Subordinated Secured Convertible Bridge Notes (the "Notes") and Warrants. Pursuant to the terms of the Purchase Agreement, the reporting person purchased $10,000 of Notes and Warrants to purchase 12,000 shares of the Company's Common Stock at exercise prices between $2.94 and $3.50 per share. The Warrants are exercisable for a five (5) year period commencing on the six month anniversary from the date of issuance.
[F3]The Notes are convertible at any time prior to maturity into shares of the Company's common stock at the rate of one share for each $2.94 of principal amount of the Notes. The Notes mature on October 15, 2014 (subject to a three (3) month extension at the option of a majority in principal amount of the Notes).

Documents

1 file