0001420506-15-000503.txt : 20150821 0001420506-15-000503.hdr.sgml : 20150821 20150821095135 ACCESSION NUMBER: 0001420506-15-000503 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140812 FILED AS OF DATE: 20150821 DATE AS OF CHANGE: 20150821 ISSUER: 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 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: 08543-7528 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LOUGEE ANTHONY CENTRAL INDEX KEY: 0001096198 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-08266 FILM NUMBER: 151067774 MAIL ADDRESS: STREET 1: 5 FERN CT CITY: TINTON FALLS STATE: NJ ZIP: 07724 4 1 doc4_667.xml PRIMARY DOCUMENT X0306 4 2014-08-12 0 0000027093 DATARAM CORP DRAM 0001096198 LOUGEE ANTHONY 777 ALEXANDER ROAD, SUITE 100 PRINCETON NJ 08540 0 1 0 0 Chief Financial Officer Common Stock, $1.00 par value 2015-08-17 4 A 0 10000 0 A 11000 D Common Stock, $1.00 par value 475 I 401(k) Plan Option 1.50 2014-08-12 4 A 0 27000 A 2020-08-12 Common Stock 27000 29000 D Common Stock Warrants 2.94 2014-07-15 4 A 0 3000 2.94 A Common Stock 3000 D Common Stock Warrants 3.00 2014-07-15 4 A 0 3000 3.00 A Common Stock 3000 D Common Stock Warrants 3.50 2014-07-15 4 A 0 3000 3.50 A Common Stock 3000 D Options were granted at an exercise price equal to the closing market price of the Company's common stock on the date of the grant, and are exercisable one third on the date of grant; one third on the first anniversary and one third on the second anniversary On July 15, 2014, the reporting person entered into a Subordinated Secured Convertible Bridge Note and Warrant Purchase Agreement (the "Agreement") governing the issuance of up to $750,000 aggregate principal amount of Subordinated Secured Convertible Bridge Notes (the "Notes") and Warrants. Pursuant to the terms of the Purchase Agreement, the reporting person purchased $7,500 of Notes and Warrants to purchase 9,000 shares of the Company's Common Stock at exercise prices between $2.94 and $3.50 per share. The Warrants are exercisable for a five (5) year period commencing on the six month anniversary from the date of issuance. Anthony M. Lougee 2015-08-21