-----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, OkSzhwIO0k9Y9u/BXxv3BpBazQ/LhQR03oDH89Bd8XK5yqk/rJJdDEMaeAqvdr5h 1hQxYcCUzZpqdgjAaqCCKg== 0001001746-99-000085.txt : 19991223 0001001746-99-000085.hdr.sgml : 19991223 ACCESSION NUMBER: 0001001746-99-000085 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19991222 FILED AS OF DATE: 19991222 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: SEC FILE NUMBER: 001-08266 FILM NUMBER: 99778800 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: MADDOCKS MARK E CENTRAL INDEX KEY: 0001006332 STANDARD INDUSTRIAL CLASSIFICATION: [] OFFICER FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 11 GINGER ROAD CITY: ALLENTOWN STATE: NJ ZIP: 08501 BUSINESS PHONE: 6097990071 4 1 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 DTM-AMEX 3. IRS or Social Security Number of Reporting Person (Voluntary) Not furnished 4. Statement for Month/Year December 1999 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, 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 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 12/17/99 M 25,892 A (1) 130,595 D 28,803 I By Company's 401(k) Plan 6,000 I By Wife's _______ IRA 165,398 (1) From $2.25 to $2.81, see Table II 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- 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 Options 12/17/99 ** 2.25 M 19,892 (1) 11/28/05 CS 19,892 ** 24,000 2.37 F 4,108 9/11/02 CS 4,108 ** 2.31 M 0 (2) 9/10/06 CS ** 30,000 D 2.81 M 6,000 (3) 11/19/07 CS 6,000 ** 18,000 D ______ 72,000 Explanation of Responses: (1) Of the remaining 24,000 options, 24,000 options will become exercisable on 11/28/00. (2) Of the remaining 30,000 options, 15,000 options will become exercisable on 9/10/00 and 15,000 more on 9/10/01. (3) Of the remaining 18,000 options, 6,000 will become exercisable on 11/18/00, 6,000 will become exercisable on 11/18/01 and 6,000 will become exercisable on 11/18/02. Information set forth in this report reflects a 3 for 2 split distributed in December of 1999. ** Incentive Stock Option
SIGNATURE MARK E. MADDOCKS December ___, 1999 __________________________ _________________ 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). -----END PRIVACY-ENHANCED MESSAGE-----