CALDWELL LEON 4
4 · Y3K SECURE ENTERPRISE SOFTWARE INC · Filed Nov 21, 2003
Insider Transaction Report
Form 4
CALDWELL LEON
Treasurer
Transactions
- Tax Payment
COMMON SHARES
2003-11-19$0.00/sh+486,111$486→ 1,084,768 total(indirect: By Partnership)
Footnotes (2)
- [F1]Exercised balance of vested shares in common stock gross total of 486,111
- [F2]Newly issued shares, 486,111 are held in a defined benefit pension trust in which Leon Caldwell has vested as a 100% recipient. Additional shares are held in the name of the family limited partnership, Equity Holdings and Investments, Ltd., in which Leon Caldwell has a benefical interest. The total held shares in the partnership are 994,429 common shares, of which 596,657 common shares represent a 60% beneficial interest to Leon Caldwell, via his wife, with 40% of the held shares to the benefit of the limited partners, the children of Leon Caldwell.