4/A 1 form4.txt
------------------------ FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION ----------------------------- ------------------------ WASHINGTON, D.C. 20549 OMB APPROVAL ----------------------------- [ ]Check this box if STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OMB Number: 3235-0287 no longer subject Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Expires: December 31, 2001 to Section 16. Section 17(a) of the Public Utility Holding Company Act of 1935 or Estimated average Form 4 or Form 5 Section 30(f) of the Investment Company Act of 1940 burden hours per obligations may response: 0.5 continue. ----------------------------- SEE Instruction 1(b) (Print or Type Response) ----------------------------------------------------------------------------------------------------------------------------------- 1. Name and Address of Reporting 2. Issuer Name and Ticker or Trading Symbol 6. Relationship of Reporting Person* Person(s) to Issuer KIMBERLIN KEVIN B. GraphOn Corporation (GOJO) (Check all applicable) -------------------------------------------------------------------------------------- (Last) (First) (Middle) 3. IRS or Social 4. Statement for Director X 10% Owner Security Number Month/Year ___ ___ of Reporting Officer (give Other specify Person 04/00 ___ (title below) ____ (below (Voluntary) below) 535 MADISON AVENUE, 18TH FLOOR ----------------------------------------------------------------------------------------------------------------------------------- (Street) 5. If Amendment, 7. Individual or Joint/Group Date of Original Filing (Check Applicable Line) (Month/Year) X Form filed by One Reporting Person ___ NEW YORK, NY 10022 June 8, 2000 Form filed by More than One Reporting ___ Person ----------------------------------------------------------------------------------------------------------------------------------- (City) (State) (Zip) TABLE 1 - NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED ----------------------------------------------------------------------------------------------------------------------------------- 1. Title of Security 2. Trans- 3. Trans 4. Securities Acquired (A) 5. Amount of 6. Owner- 7. Nature (Instr. 3) action action or Disposed of (D) Securities ship- of Date Code (Instr. 3, 4 and 5) Beneficially Form: Indirect (Instr. 8) Owned at Direct Beneficial End of Month (D) or Owner- Indirect ship --------------------------------------- (I) (Month/ (A) Day/ or Year Code V Amount (D) Price (Instr. 3 and 4) (Instr. 4) (Instr. 4) ---------------------------------------------------------------------------------------------- ----------------------------------------------------------------------------------------------------------------------------------- Common Stock 1/20/00 P 424,422 A $ 1.79 I By Kevin Kimberlin Ptrs LP(1) ----------------------------------------------------------------------------------------------------------------------------------- Common Stock 1/20/00 P 49,640 A $ 1.79 I By Spencer Trask Securities, Inc.(1) ----------------------------------------------------------------------------------------------------------------------------------- Common Stock 1/26/00 S 25,000 D $18.42 I By Kevin Kimberlin Ptrs LP(1) ----------------------------------------------------------------------------------------------------------------------------------- Common Stock 1/28/00 S 20,000 D $18.93 I By Kevin Kimberlin Ptrs LP(1) ----------------------------------------------------------------------------------------------------------------------------------- Common Stock 1/31/00 G 15,385 D $ - I By Spencer Trask Securities, Inc.(1) ----------------------------------------------------------------------------------------------------------------------------------- Common Stock 2/02/00 S 5,000 D $17.90 I By Kevin Kimberlin Ptrs LP(1) ----------------------------------------------------------------------------------------------------------------------------------- Common Stock 2/04/00 S 25,000 D $17.90 I By Kevin Kimberlin Ptrs LP(1) ----------------------------------------------------------------------------------------------------------------------------------- Common Stock 2/24/00 X 84,500 A $ 5.50 I By Spencer Trask Securities, Inc.(1) ----------------------------------------------------------------------------------------------------------------------------------- Common Stock 3/03/00 S 10,000 D $20.77 I By Kevin Kimberlin Ptrs LP(1) ----------------------------------------------------------------------------------------------------------------------------------- Common Stock 3/06/00 S 15,000 D $23.72 I By Kevin Kimberlin Ptrs LP(1) ----------------------------------------------------------------------------------------------------------------------------------- Common Stock 3/07/00 S 30,000 D $29.03 I By Spencer Trask Securities, Inc.(1) ----------------------------------------------------------------------------------------------------------------------------------- 1. The reporting person is the general partner of Kevin Kimberlin Partners LP, a Delaware limited partnership. The reporting person is also the controlling shareholder of Spencer Trask Holdings, Inc., a Delaware corporation, which in turn is the sole shareholder of Spencer Trask Securities, Incorporated, also a Delaware corporation
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. SEC 1474 (3-99) *If the form is filed by more than one reporting person, Page 2 of 3 see Instruction 4(b)(v).
------------------------ FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION ----------------------------- ------------------------ WASHINGTON, D.C. 20549 OMB APPROVAL ----------------------------- [ ]Check this box if STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OMB Number: 3235-0287 no longer subject Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Expires: December 31, 2001 to Section 16. Section 17(a) of the Public Utility Holding Company Act of 1935 or Estimated average Form 4 or Form 5 Section 30(f) of the Investment Company Act of 1940 burden hours per obligations may response: 0.5 continue. ----------------------------- SEE Instruction 1(b) (Print or Type Response) ----------------------------------------------------------------------------------------------------------------------------------- 1. Name and Address of Reporting 2. Issuer Name and Ticker or Trading Symbol 6. Relationship of Reporting Person* Person(s) to Issuer KIMBERLIN KEVIN B. GraphOn Corporation (GOJO) (Check all applicable) -------------------------------------------------------------------------------------- (Last) (First) (Middle) 3. IRS or Social 4. Statement for Director X 10% Owner Security Number Month/Year ___ ___ of Reporting Officer (give Other specify Person 04/00 ___ (title below) ____ (below (Voluntary) below) 535 MADISON AVENUE, 18TH FLOOR ----------------------------------------------------------------------------------------------------------------------------------- (Street) 5. If Amendment, 7. Individual or Joint/Group Date of Original Filing (Check Applicable Line) (Month/Year) X Form filed by One Reporting Person ___ NEW YORK, NY 10022 June 8, 2000 Form filed by More than One Reporting ___ Person ----------------------------------------------------------------------------------------------------------------------------------- (City) (State) (Zip) TABLE 1 - NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED ----------------------------------------------------------------------------------------------------------------------------------- 1. Title of Security 2. Trans- 3. Trans 4. Securities Acquired (A) 5. Amount of 6. Owner- 7. Nature (Instr. 3) action action or Disposed of (D) Securities ship- of Date Code (Instr. 3, 4 and 5) Beneficially Form: Indirect (Instr. 8) Owned at Direct Beneficial End of Month (D) or Owner- Indirect ship --------------------------------------- (I) (Month/ (A) Day/ or Year Code V Amount (D) Price (Instr. 3 and 4) (Instr. 4) (Instr. 4) ---------------------------------------------------------------------------------------------- ----------------------------------------------------------------------------------------------------------------------------------- Common Stock 3/13/00 S 40,000 D $22.77 I By Kevin Kimberlin Ptrs LP(1) ----------------------------------------------------------------------------------------------------------------------------------- Common Stock 3/14/00 S 10,000 D $25.94 I By Spencer Trask Holdings, Inc.(1) ----------------------------------------------------------------------------------------------------------------------------------- Common Stock 3/14/00 S 35,000 D $26.74 I By Kevin Kimberlin Ptrs LP(1) ----------------------------------------------------------------------------------------------------------------------------------- Common Stock 3/21/00 S 35,000 D $20.67 I By Kevin Kimberlin Ptrs LP(1) ----------------------------------------------------------------------------------------------------------------------------------- Common Stock 3/22/00 S 25,000 D $19.75 I By Kevin Kimberlin Ptrs LP(1) ----------------------------------------------------------------------------------------------------------------------------------- Common Stock 3/24/00 S 30,000 D $21.18 I By Kevin Kimberlin Ptrs LP(1) ----------------------------------------------------------------------------------------------------------------------------------- Common Stock 3/27/00 S 10,000 D $20.04 I By Kevin Kimberlin Ptrs LP(1) ----------------------------------------------------------------------------------------------------------------------------------- Common Stock 4/06/00 S 16,000 D $14.99 I By Kevin Kimberlin Ptrs LP(1) ----------------------------------------------------------------------------------------------------------------------------------- Common Stock 4/07/00 S 10,000 D $15.53 I By Kevin Kimberlin Ptrs LP(1) ----------------------------------------------------------------------------------------------------------------------------------- Common Stock 4/10/00 S 5,000 D $15.09 1,542,108 I By Kevin Kimberlin Ptrs LP(1) ----------------------------------------------------------------------------------------------------------------------------------- 1. The reporting person is the general partner of Kevin Kimberlin Partners LP, a Delaware limited partnership. The reporting person is also the controlling shareholder of Spencer Trask Holdings, Inc., a Delaware corporation, which in turn is the sole shareholder of Spencer Trask Securities, Incorporated, also a Delaware corporation
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. SEC 1474 (3-99) *If the form is filed by more than one reporting person, Page 2 of 3 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 2.Conver- 3.Trans- 4.Trans- 5.Number of 6.Date Exer- 7.Title 8.Price 9.Number 10.Owner- 11.Nature Derivative sion or action action of Deriv- cisable and and of of ship of Security Exercise Date Code ative Expiration Amount Deriv- Deriv- Form of Indirect (Instr. 3) Price of (Instr. Securities date (Month/ of ative ative Deriv- Benefi- Deriva- (Month/ 8) Acquired Day/ Under- Secur- Secur- ative cial tive Day/ (A) or Dis- Year) lying) ity ities Secur- Owner- Security Year) posed of (D) Securi- Instr. Benefi- ity: ship (Instr. 3, ties 5) cially Direct (Instr. 4) 4 and 5) (Instr. owned (D) or 3 and 4) at end Indirect of month (I) (Instr. (Instr. 4) 4) -------------------------------------------------------------------- Date Expira- Amount or Exer- tion Number of Code V (A) (D) isable Date Title Shares ------------------------------------------------------------------------------------------------------------------------------- Warrant to Purchase $5.50 1/31/00 J(2) 165,500 Immed. 11/12/02 Common 250,000 (2) I By Spencer Common Stock Trask Holdings, Inc. (1) ------------------------------------------------------------------------------------------------------------------------------- Warrant to Purchase $5.50 2/21/00 X 84,500 Immed. 11/12/02 Common 84,500 $5.50 0 I By Spencer Common Stock Trask Holdings, Inc. (1) ------------------------------------------------------------------------------------------------------------------------------- Warrant to Purchase $1.79 1/19/00 J(2) 14,651 Immed. 1/26/06 Common 231,141 (2) 216,490 I By Spencer Common Stock Trask Holdings, Inc. (1) ------------------------------------------------------------------------------------------------------------------------------- Explanation of Responses: 1. The reporting person is the general partner of Kevin Kimberlin Partners LP, a Delaware limited partnership. The reporting person is also the controlling stockholder of Spencer Trask Holdings, Inc., a Delaware corporation, which in turn is the sole stockholder of Spencer Trask Securities, Incorporated, also a Delaware corporation. 2. Warrants transferred to agents and brokers as compensation for services. ** Intentional misstatements or omissions of facts constitute /s/ Kevin B. Kimberlin 5/21/2001 Federal Criminal Violations. ------------------------------------ ----------------- SEE 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). **Signature of Reporting Person Date 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 Number.