4//SEC Filing
BAAB CARLTON H 4
Accession 0001179110-04-023457
CIK 0000820738other
Filed
Dec 15, 7:00 PM ET
Accepted
Dec 16, 7:02 PM ET
Size
10.4 KB
Accession
0001179110-04-023457
Insider Transaction Report
Form 4
BAAB CARLTON H
DirectorPresident and CEO
Transactions
- Exercise of In-Money
Common Stock Purchase Warrant
2004-12-14−1,136,555(indirect: Held by ACP)Exercise: $2.35From: 2000-12-01Exp: 2005-03-16→ Common Stock (1,136,555 underlying) - Exercise of In-Money
Common Stock
2004-12-14$2.35/sh+1,136,555$2,670,904→ 10,682,033 total(indirect: Held by ACP) - Expiration (Short)
5% Convertible Subordinated Notes
2004-12-14$2423775.37/sh−2,423,775.37$5,874,687,044,219→ 21,630,094.63 total(indirect: Held by ACP)Exercise: $5.00From: 2003-02-28Exp: 2008-05-29→ Common Stock (484,755 underlying)
Footnotes (3)
- [F1]Represents holdings of Astoria Capital Partners, LP (ACP), which are not beneficially owned by the reporting person
- [F2]Represents the exercise of common stock purchase warrants by Astoria Capital Parners, LP.
- [F3]Effective December 14, 2004, ACP exercised 1,136,555 of Raining Data Corporation common stock purchase warrants at a price of $2.35 per share for a total value of $2,670,904.25. Concurrent with the exercise, Raining Data Corporation paid $247,128.88 in accrued interest on the 5% Subordintated Convertible Note (Note) and re-paid $2,423,775.37 in principal on the Note.
Documents
Issuer
RAINING DATA CORP
CIK 0000820738
Entity typeother
Related Parties
1- filerCIK 0001175145
Filing Metadata
- Form type
- 4
- Filed
- Dec 15, 7:00 PM ET
- Accepted
- Dec 16, 7:02 PM ET
- Size
- 10.4 KB