-----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, FrCfeaId+ZwtHRYic7VhXlxCGgr1FB5xg8yoFu5tG3j5z4MqeH4BgwD+L2exaMBK Y8gTJuFZBfvdiMg9+8XDvg== /in/edgar/work/20000908/0001001746-00-000056/0001001746-00-000056.txt : 20000922 0001001746-00-000056.hdr.sgml : 20000922 ACCESSION NUMBER: 0001001746-00-000056 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20000831 FILED AS OF DATE: 20000908 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: DATARAM CORP CENTRAL INDEX KEY: 0000027093 STANDARD INDUSTRIAL CLASSIFICATION: [3572 ] IRS NUMBER: 221831409 STATE OF INCORPORATION: NJ FISCAL YEAR END: 0430 FILING VALUES: FORM TYPE: 4 SEC ACT: SEC FILE NUMBER: 001-08266 FILM NUMBER: 718871 BUSINESS ADDRESS: STREET 1: P O BOX 7528 CITY: PRINCETON STATE: NJ ZIP: 08543 BUSINESS PHONE: 6097990071 MAIL ADDRESS: STREET 1: PO BOX 7528 CITY: PRINCETON STATE: NJ ZIP: 08543 COMPANY DATA: COMPANY CONFORMED NAME: DUNCAN JEFFREY H CENTRAL INDEX KEY: 0001006330 STANDARD INDUSTRIAL CLASSIFICATION: [ ]OFFICER FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 2353 PENNINGTON ROAD CITY: TRENTON STATE: NJ ZIP: 08638-1113 BUSINESS PHONE: 6097990071 4 1 0001.txt FORM 4 U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP [ ] Check if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instructions 1(b). Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 1. Name and Address of Reporting Person* Duncan Jeffrey H. (Last) (First) (Middle) 2353 Pennington Lane (Street) Pennington NJ 08534 (City) (State) (Zip) 2. Issuer Name and Ticker or Trading Symbol Dataram Corporation DRAM - NASDAQ 3. IRS or Social Security Number of Reporting Person (Voluntary) Not furnished 4. Statement for Month/Year August 2000 5. If Amendment, Date of Original (Month/Year) N/A 6. Relationship of Reporting Person to Issuer (Check all applicable) [ ] Director [ ] 10% Owner [X] Officer (give title below) [ ] Other (Specify below) Vice President, Manufacturing & Engineering ____________________________________________________ 7. Individual or Joint/Group Filing (Check applicable line) [X] Form filed by One Reporting Person [ ] Form filed by More than One Reporting Person * If the Form is filed by more than one Reporting Person, see instruction 4(b)(v) Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned 5. Amount 3. Trans- 4. Securities of Securi- action Acquired (A) or ties Bene- 6. Owner- Code Disposed of (D) ficially ship Form: 7. Nature of (Instr. 8) (Instr. 3, 4 & 5) Owned at Direct(D) Indirect 2. Trans- _________ ___________________ End of or Indirect Beneficial 1. Title of Transaction (A) or Month (I) Ownership Security Date Code V Amount (D) Price (Inst. 3&4) (Instr. 4) (Instr. 4) (Instr. 3) (Mo./Day/Yr.) _________________ ___________ ____ ___ ______ _____ _____ ________ ___________ _________ Common Stock, $1.00 Par Value 08/14/00 S 6,300 D 28.29 -- D 3,624 I By Company's 401(k) Plan Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
3 Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) 9. Number 5. Number 7. Title of of Deriv- 6. Date and Amount Deriv- 10. Own- ative Sec- Exercisable of Under- ative ership urities & Expiration lying Sec- Secur- Form of 11. Acquired Date urities (In- ities Deriva- Nature 4. Trans- (A) or (Mo./Day/Yr.)str. 3 & 4) 8. Benefi- tive Sec- of In- 2. Conver- action Disposed _____________ _____________ Price cially urity: direct sion or 3. Trans- Code of (D) Amount of Owned Direct(D) Bene- 1. Title of Exercise action (Instr. 8) (Instr. 3, or Deriv- at End or In- ficial Derivative Price of Date) 4 and 5) Date Expir- Number ative of direct(I) Owner- Security Derivative (Month/ ____________________ Exer- ation of Security Month (Instr. ) ship (Instr. 3) Security Day/Yr.) Code V (A) (D) cisable Date Title Shares (Instr. (Instr. 4) (Instr. 5) 4) 4) ____________ _________ ________ ____ _ ______ ____ _______ _____ _____ ______ ________ _______ _________ _______ Incentive Stock Option 2.3750 (1) 9/11 Common ** 50,000 D /02 Stock Incentive 9/10 Common Stock Option 2.3125 (2) /02 Stock ** 25,000 D Incentive 11/18 Common Stock Option 2.8125 (3) /07 Stock ** 38,500 D Non-Statutory 11/18 Common Stock Option 2.8125 (3) /07 Stock ** 11,500 D Explanation of Responses: (1) Fully exercisable. (2) 60% exercisable, 20% exercisable on 9/10/00, 20% exercisable on 9/10/01. (3) 40% exercisable, 20% exercisable on 11/18/00, 20% exercisable on 11/18/01, 20% exercisable on 11/18/02 ** Incentive Stock Option
JEFFREY H. DUNCAN September 6, 2000 __________________________ _________________ Jeffrey H. Duncan **Signature of Reporting Date Person **Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). -----END PRIVACY-ENHANCED MESSAGE-----