4 1 form4put.htm FORM 4 FILING FORM 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instructions 1(b)

(Print or Type Responses)

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility

OMB Number: 3235-0287

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Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940

  

1. Name and Address of Reporting Person*

Simons James H.

2. Issuer Name and Ticker or Trading Symbol

Franklin Electronic Publishers, Inc.

6. Relationship of Reporting Person(s) to Issuer

(Check all applicable)

X _ Director 10% Owner

Officer (give title Other (specify
below) below)

___________________________________

(Last) (First) (Middle)

Renaissance Technologies Corp.

800 Third Avenue
  1. IRS Identification
    Number of Reporting Person, if an entity
    (Voluntary)

    2. ###-##-####

4. Statement for
Month/Year

October 2, 2002

(Street)

New York New York 10022

5. If Amendment,
Date of Original
(Month/Year)
  • Individual or Joint/ Group Filing (Check applicable line)

    • _X__ Form filed by One Reporting Person

    ____ Form filed by More than One Reporting Person

    (City) (State) (Zip)

    Table I Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned

    1. Title of Security
    (Instr. 3)

    2. Trans-

    action date

    Month/

    Day/

    Year

    3. Trans-
    action
    Code
    (Instr. 8)

    4.Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)

    5. Amount of Securities Beneficially Owned at End of Month
    (Instr. 3 and 4)

    6. Ownership Form:
    Direct (D) or Indirect (I)
    (Instr. 4)

    7. Nature of Indirect Beneficial Ownership
    (Instr. 4)

    Code

    V

    Amount
    1. or (D)

    Price

    Common Stock

    		            

    210,000

    D

    		  

    Common Stock

    		            

    1,684,640

    I

    (1)

    Common Stock

    		            

    4,701

    I

    (2)

    Common Stock

    		            

    4,701

    I

    (3)

    Common Stock

    		            

    4,701

    I

    (4)

    Common Stock

    		            

    850

    I

    (5)

    Common Stock

    		            

    2,001

    I

    (6)

    Common Stock

    		            

    53

    I

    (7)

    Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. *If the form is filed by more than one reporting person, see Instruction 4(b)(v)

    FORM 4 (continued) Table II Derivative Securities Acquired, Disposed of, or Beneficially Owned
    (e.g., puts, calls, warrants, options, convertible securities)

    1. Title of Derivative Security
    (Instr. 3)

    2. Conver-
    sion or Exercise Price of Deriv-
    ative Security

    3. Trans-
    action
    Date

    (Month/
    Day/
    Year)

    4. Transac-
    tion Code
    (Instr. 8)

    5. Number of Derivative Securities Acquired (A) or Disposed of (D)
    (Instr. 3, 4, and 5)

    6. Date Exer-
    cisable and Expiration Date
    (Month/Day/
    Year)

    7. Title and Amount of
    Underlying Securities
    (Instr. 3 and 4)

    8. Price
    of Derivative Security
    (Instr. 5)

    9. Number of Deriv-
    ative Securities Bene-
    ficially Owned at
    End of
    Month
    (Instr. 4)

    10. Owner-
    ship
    Form
    of De-
    rivative
    Secu-
    rity:
    Direct
    (D) or Indi-
    rect (I)
    (Instr. 4)

    11. Nature of Indirect Beneficial Owner-
    ship
    (Instr. 4)

    Date Exer-
    cisable

    Expira-
    tion Date

    Title

    Amount or
    Number of Shares

    Code

    V

    (A)

    (D)

    Series A 10% Convertible Preferred Stock

    $5.00

    Immed.

    N/A

    Common Stock

    791,000 *

    3,955*

    D

    Put Option (Obligation to buy)

    $1.50

    10/2/02

    J

    1

    Immed.

    12/22/02

    Common Stock

    200,000

    1

    D

    Explanation of Responses:

    * Includes a total of 455 shares of Series A 10% Convertible Preferred Stock received as dividends on 6/30/01, 12/31/01 and 6/30/02.

    /s/ James H. Simons October 4, 2002

    **Intentional misstatements or omissions of facts constitute Federal Criminal Violations. James H. Simons Date

    See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

    Note: File three copies of this Form, one of which must be manually signed.

    If space is insufficient, see Instruction 6 for procedure.

    Potential persons who are to respond to the collection of information contained in this form are not
    required to respond unless the form displays a currently valid OMB control number.

    Page 2

     

    EXPLANATION OF RESPONSES:

    1. These shares are held by Bermuda Trust Company Limited, as trustee of the Lord Jim Trust, a trust created under the laws of the Islands of Bermuda (the "Trust"). The principal beneficiaries of the Trust are Dr. Simons and his parents and children.
    2. These shares are held directly by Dr. Simons child, Nathaniel Simons. See Note 8.
    3. These shares are held directly by Dr. Simons as custodian under the Uniform Gifts to Minors Act for the benefit of Audrey Simons.
    4. These shares are held directly by Dr. Simons as custodian under the Uniform Gifts to Minors Act for the benefit of Nicholas Simons.
    5. These shares are held directly by Dr. Simons wife. See Note 8.
    6. These shares are held directly by Dr. Simons child, Elizabeth Simons. See Note 8.
    7. These shares are held by Renaissance Ventures Ltd., a New York corporation of which Dr. Simons is the sole shareholder.
    8. The filing of this Form 4 with the inclusion of this information relating to the securities referred to in Notes 2, 5, and 6 shall not be construed as an admission that Dr. Simons is the beneficial owner of any such securities for purposes of Section 16 of the Securities Exchange Act of 1934.