| FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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| Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). | |||||||||||||||||
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
OPTIUM CORP [ OPTM ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 09/25/2007 | ||||||||||||||||||||||||||
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4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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| Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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| 1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (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 | (A) or (D) | Price | ||||||
| Common Stock | 09/25/2007 | P | 2,500 | A | $9.75 | 3,124,146(1)(2) | D | |||
| Common Stock | 09/25/2007 | P | 599 | A | $9.685 | 3,124,146(3)(1)(2) | I | Owned by the son of the reporting person | ||
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Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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| 1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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| Explanation of Responses: |
| 1. KPLJ directly owns 3,021,250 of the reported securities. Each of Messrs. Kalkhoven, Pettit, Levin and Johnson hold voting and dispositive power over the shares. Each of Messrs. Kalkhoven, Pettit, Levin and Johnson disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein. Messrs. Kalkhoven, Pettit and Johnson each directly own 19,015, 28,523 and 46,556 of the reported securities respectively and 2,500 shares are held by the Russell A. and Colene R. Johnson Family Trust Dtd 01/29/98. Each of KPLJ, Messrs. Pettit, Levin and Johnson disclaims beneficial ownership of the shares owned by Mr. Kalkhoven. Each of KPLJ, Messrs. Kalkhoven, Levin and Johnson disclaims beneficial ownership of the shares owned by Mr. Pettit. Each of KPLJ, Messrs. Kalkhoven, Pettit and Levin disclaims beneficial ownership of the shares owned by Mr. Johnson and the Russell A. and Colene R. Johnson Family Trust UAD 1/29/90. |
| 2. Of the reported securities 2,500 are owned by Mr. Johnson's son. Mr. Johnson disclaims beneficial ownership of these shares. Trusts for the benefit of Mr. Levin's children directly own an aggregate of 3,802 of the reported shares. Mr. Levin disclaims beneficial ownership of these shares. |
| 3. This amount represents the same shares reported in the total number of beneficial securities owned after the transaction reported in the line above. |
| /s/ Chris Brown, attorney-in-fact | 09/26/2007 | |
| /s/ Christopher Brown, attorney-in-fact | 09/26/2007 | |
| /s/ Christopher Brown, attorney-in-fact | 09/26/2007 | |
| /s/ Christopher Brown, attorney-in-fact | 09/26/2007 | |
| /s/ Christopher Brown, attorney-in-fact | 09/26/2007 | |
| ** Signature of Reporting Person | Date | |
| 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). | ||
| ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations 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. | ||
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. | ||