-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, UiPsfchbqCRW0Gev08/DIkkookNUKkhaH8yk3MJGpYttrvZDiIRIt8cwPpjyJFtE zHjFnMQq4hxkCHzTobMUTA== 0001019687-04-002430.txt : 20041110 0001019687-04-002430.hdr.sgml : 20041110 20041109173002 ACCESSION NUMBER: 0001019687-04-002430 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20041105 FILED AS OF DATE: 20041109 DATE AS OF CHANGE: 20041109 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: PERSISTENCE SOFTWARE INC CENTRAL INDEX KEY: 0001084400 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 943138935 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1720 SOUTH AMPHLETT BLVD., 3RD FLOOR CITY: SAN MATEO STATE: CA ZIP: 94402 BUSINESS PHONE: 6503417733 MAIL ADDRESS: STREET 1: 1720 S. AMPHLETT BLVD, 3RD FLOOR CITY: SAN MATEO STATE: CA ZIP: 94402 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: KEENE CHRISTOPHER T CENTRAL INDEX KEY: 0001105045 STATE OF INCORPORATION: CA FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-25857 FILM NUMBER: 041130813 BUSINESS ADDRESS: STREET 1: 6001 SHELLMOUND ST. STREET 2: SUITE 800 CITY: EMERYVILLE STATE: CA ZIP: 94608 BUSINESS PHONE: 5102502500 MAIL ADDRESS: STREET 1: 1720 S. AMPHLETT BLVD. THIRD FL CITY: SAN MATEO STATE: CA ZIP: 94402 4 1 edgar.xml PRIMARY DOCUMENT X0202 4 2004-11-05 1 0001084400 PERSISTENCE SOFTWARE INC PRSW 0001105045 KEENE CHRISTOPHER T C/O PERSISTENCE SOFTWARE, INC. 1720 S. AMPHLETT BLVD, 3RD FLOOR SAN MATEO CA 94402 1 1 1 0 President and CEO Common Stock 2004-10-08 5 G 0 7800 D 285215 D Common Stock 2004-10-14 5 G 0 27000 D 258215 D Common Stock 2004-11-05 4 D 0 258215 5.70 D 0 D Common Stock 2004-11-05 4 D 0 9200 5.70 D 0 I See Note Common Stock 2004-11-05 4 D 0 9200 5.70 D 0 I See Note Employee Stock Option 2.40 2004-11-05 4 D 0 8958 5.70 D 2013-04-01 Common Stock 8958 0 D Employee Stock Option 4.11 2004-11-05 4 D 0 10000 5.70 D 2013-12-18 Common Stock 10000 0 D Includes 3,900 shares to the Allan A. Gemmell TTEE of the Keene Children's Trust U/A/D 10/30/00 FBO Auten Foster Keene and 3,900 shares to the Allan A. Gemmell TTEE of the Keene Children's Trust U/A/D 10/30/00 FBO Alexander Allan Keene, disposed of as a bona fide gift and not for value and for no consideration. Held in the mane of "Christopher Keene and Yvonne Keene Community Property." Disposed of as a bona fide gift not for value and for no consideration to The San Francisco Foundation. Disposed of pursuant to a merger agreement with Progress Software Corporation ("Progress") in exchange for $5.70 per share in cash. Held in the name of "The Alexander Allan Keene Trust." Held in the name of "The Austen Foster Keene Trust." This option was canceled in the merger with Progress in exchange for a cash payment of $29,561.40, representing the difference between the exercise price of the option and the $5.70 per share merger consideration. This option was canceled in the merger in exchange for a cash payment of $15,900.00, representing the difference between the exercise price of the option and the $5.70 per share merger consideration. Christopher T. Keene 2004-11-05 -----END PRIVACY-ENHANCED MESSAGE-----