4 1 mad0902.txt FORM 4 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* Maddocks, Mark E. (Last) (First) (Middle) 11 Ginger Road (Street) Allentown, NJ 08501 (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/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, Finance and Chief Financial Officer ____________________________________________________ 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 after Direct(D) Indirect 2. Trans- _________ ___________________ Reported or Indirect Beneficial 1. Title of Transaction (A) or Transaction (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 88,995 D 28,803 I By Company's 401(k) Plan 6,000 I By Wife's _______ IRA 123,798 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- after or In- ficial Derivative Price of Date) 4 and 5) Date Expir- Number ative Reporteddirect(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) ____________ _________ ________ ____ _ ______ ____ _______ _____ _____ ______ ________ _______ _________ _______ Incentive Stock Options 2.25 11/28/05 CS 24,000 D 2.31 9/10/06 CS 15,000 D 2.81 (1) 11/19/07 CS 18,000 D 7.98 (2) 11/26/11 CS 10,000 D 2.99 9/18/02 A 8,200 (3) 9/18/12 CS 8,200 (3) 8,200 D ______ 75,200 Explanation of Responses: (1) Options to purchase 6,000 shares will become exercisable on 11/18/02. (2) Options to purchase 2,500 shares will be come exercisable on 11/26/02, 2,500 on 11/26/03, 2,500 on 11/26/04 and 2,500 on 11/26/06. (3) Options to purchase 2,050 shares will become exercisable on 9/18/03, 2,050 on 9/18/04, 2,050 on 9/18/05 and 2,050 on 9/18/06.
SIGNATURE MARK E. MADDOCKS September 20, 2002 __________________________ ___________________ Mark E. Maddocks **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).