-----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, MTTHe1YjL06Rf4QgA9rbWZhhMv+Fj/gaSET1bv/DT9UAJpUkU36mqlwEiX58cHZU XK/5zlk7lhPkyzeMfw/alw== 0001001746-02-000026.txt : 20020912 0001001746-02-000026.hdr.sgml : 20020912 20020912161342 ACCESSION NUMBER: 0001001746-02-000026 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20020911 FILED AS OF DATE: 20020912 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: DUNCAN JEFFREY H CENTRAL INDEX KEY: 0001006330 RELATIONSHIP: OFFICER FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 2353 PENNINGTON ROAD CITY: TRENTON STATE: NJ ZIP: 08638-1113 BUSINESS PHONE: 6097990071 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: DATARAM CORP CENTRAL INDEX KEY: 0000027093 STANDARD INDUSTRIAL CLASSIFICATION: COMPUTER STORAGE DEVICES [3572] IRS NUMBER: 221831409 STATE OF INCORPORATION: NJ FISCAL YEAR END: 0430 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-08266 FILM NUMBER: 02762662 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 4 1 dun0902.txt FORM 4 - 09-11-2002 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 Road (Street) Pennington NJ 08534 (City) (State) (Zip) 2. Issuer Name and Ticker or Trading Symbol Dataram Corporation DRAM - NASDAQ 3. IRS Identification Number of Reporting Person, if an entity (Voluntary) Not furnished 4. Statement for Month/Day/Year September 11, 2002 5. If Amendment, Date of Original (Month/Day/Year) 6. Relationship of Reporting Person to Issuer (Check all applicable) [ ] Director [ ] 10% Owner [X] Officer (give title below) [ ] Other (Specify below) Vice President, Manufacturing and 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 5(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) Following Direct(D) Indirect 2. Trans- 2A Deemed _________ ___________________ Reported or Indirect Beneficial 1. Title of Transaction Execution Date (A) or Transaction (I) Ownership Security Date if any Code V Amount (D) Price (Inst. 3&4) (Instr. 4) (Instr. 4) (Instr. 3) (Mo./Day/Yr.) (Mo./Day/Yr.) _________________ ___________ ______________ ____ ___ ______ _____ _____ ________ ___________ _________ Common Stock, 09/11/02 M 150,000 A 2.375 $1.00 Par Value 09/12/02 S 150,000 D 2.75 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.
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- Following or In- ficial Derivative Price of Date 4 and 5) Date Expir- Number ative Reported direct(I) Owner- Security Derivative (Month/ ____________________ Exer- ation of Security Trans. (Instr. ) ship (Instr. 3) Security Day/Yr.) Code V (A) (D) cisable Date Title Shares (Instr. (Instr. 4) (Instr. 5) 4) 4) ____________ _________ ________ ____ _ ______ ____ _______ _____ _____ ______ ________ _______ _________ _______ Options $2.3750 9/11/02 M 150,000 -- 9/11/02 CS 150,000 2.375 -- -- Options $2.3125 -- 9/10/06 CS 75,000 D Options $2.8125 (1) 11/18/07 CS 115,500 D Options $2.8125 (2) 11/18/07 CS 34,500 D Options $7.98 (3) 11/26/11 CS 8,200 D Explanation of Responses: (1) Options to purchase 30,800 shares are presently exercisable; 7,700 shares will become exercisable on 11/18/02. (2) Options to purchase 9,200 shares are presently exercisable; 2,300 shares will become exercisable on 11/18/02. (3) Options to purchase 2,050 shares will become exercisable on 11/26/02, 2,050 on 11/26/03, 2,050 on 11/26/04 and 2,050 on 11/26/05. * Employee Stock Option
JEFFREY H. DUNCAN September 12, 2002 __________________________ ______________________ 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-----