-----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, QyMxbgycGGtWLX53ps7KrBCt7H9VLTtdY4qsxJthrbB+ZOXc//wZKezX5D4crv3L xKrFX15ZIL7hkgwoHv0X+w== 0001001746-02-000033.txt : 20020920 0001001746-02-000033.hdr.sgml : 20020920 20020920132903 ACCESSION NUMBER: 0001001746-02-000033 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20020918 FILED AS OF DATE: 20020920 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: 02768603 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 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: TUCKER HUGH F CENTRAL INDEX KEY: 0001017433 RELATIONSHIP: OFFICER FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 28912 TOP OF THE WORLD DR CITY: LAGUNA BEACH STATE: CA ZIP: 92651 BUSINESS PHONE: 6097990071 MAIL ADDRESS: STREET 1: 28912 TOP OF THE WORLD DR CITY: LAGUNA BEACH STATE: CA ZIP: 92651 4 1 tuck0902.txt FORM SEPTEMBER 18, 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* Tucker Hugh F. (Last) (First) (Middle) 28912 Top of the World Drive (Street) Laguna Beach CA 92651 (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 18, 2002 5. If Amendment, Date of Original (Month/Day/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 - Sales ____________________________________________ 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) 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 144,655 D Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
-2- 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) ____________ _________ ________ ____ _ ____ ______ _______ _____ _____ ______ ________ _______ _________ _______ Options 2.3125 --- 9/01/06 CS 54,000 D Options 7.98 (1) 11/26/11 CS 8,200 D Options 2.99 9/18/02 A 8,200 (2) 9/18/12 CS 8,200 (2) 8,200 D ______ 70,400 Explanation of Responses: *2A. Deemed Execution Date - 9/19/02 - Stock Option Award (1) Options to purchase 2,050 shares are exercisable on 11/26/02, 2,050 on 11/26/03, 2,050 on 11/26/04 and 2,050 on 11/26/05. (2) Stock Option Award; options to purchase 2,050 shares are exercisable on 9/18/03, 2,050 on 9/18/04, 2,050 on 9/18/05, and 2,050 on 9/18/02.
HUGH F. TUCKER December 10, 2001 __________________________ _____________________ Hugh F. Tucker **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). -3- -----END PRIVACY-ENHANCED MESSAGE-----