-----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, ColHz4fxUX5gN0ACa3A0B91DIYs33pviyMlHC1H1h/40O8PYMNx3+uicGAiFnd4x TO9joSGF1go+s9cUqbdGJQ== 0000906344-07-000612.txt : 20071009 0000906344-07-000612.hdr.sgml : 20071008 20071009213927 ACCESSION NUMBER: 0000906344-07-000612 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20071005 FILED AS OF DATE: 20071009 DATE AS OF CHANGE: 20071009 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: RAINING DATA CORP CENTRAL INDEX KEY: 0000820738 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 943046892 STATE OF INCORPORATION: DE FISCAL YEAR END: 0331 BUSINESS ADDRESS: STREET 1: 25A TECHNOLOGY DRIVE CITY: IRVINE STATE: CA ZIP: 92618 BUSINESS PHONE: 949-442-4400 MAIL ADDRESS: STREET 1: 25A TECHNOLOGY DRIVE CITY: IRVINE STATE: CA ZIP: 92618 FORMER COMPANY: FORMER CONFORMED NAME: OMNIS TECHNOLOGY CORP DATE OF NAME CHANGE: 19971022 FORMER COMPANY: FORMER CONFORMED NAME: BLYTH HOLDINGS INC DATE OF NAME CHANGE: 19920703 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ASTORIA CAPITAL PARTNERS L P CENTRAL INDEX KEY: 0000889926 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-16449 FILM NUMBER: 071163811 BUSINESS ADDRESS: STREET 1: 1675 SW MARLOW AVENUE STREET 2: SUITE 315 CITY: PORTLAND STATE: OR ZIP: 97225 BUSINESS PHONE: 9257782390 MAIL ADDRESS: STREET 1: 1675 SW MARLOW AVENUE STREET 2: SUITE 315 CITY: PORTLAND STATE: OR ZIP: 97225 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: KOE RICHARD W CENTRAL INDEX KEY: 0001063406 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-16449 FILM NUMBER: 071163812 BUSINESS ADDRESS: STREET 1: S.W. NINETY SECOND AVE., SUITE 370 CITY: PORTLAND STATE: OR ZIP: 97223 BUSINESS PHONE: 5032441956 MAIL ADDRESS: STREET 1: 1675 SW MARLOW AVENUE STREET 2: SUITE 315 CITY: PORTLAND STATE: OR ZIP: 97225 4 1 edgar.xml PRIMARY DOCUMENT X0202 4 2007-10-05 0000820738 RAINING DATA CORP RDTA 0001063406 KOE RICHARD W 1675 S.W. MARLOW AVENUE, SUITE 315 PORTLAND OR 97225 1 0 1 0 0000889926 ASTORIA CAPITAL PARTNERS L P 1675 S.W. MARLOW AVENUE, SUITE 315 PORTLAND OR 97225 0 0 1 0 Common Stock, $.10 par value 2007-10-05 4 C 0 4583400 22917000.00 A 14959556 I By: Astoria Capital Partners, L.P. 5% Convertible Subordinated Note due 2008 5.00 2007-10-05 4 C 0 22917000.00 0 D 2003-02-28 2008-05-29 Common Stock, $.10 par value 4583400 0 I By: Astoria Capital Partners, L.P. Effective October 5, 2007, Astoria Capital Partners, L.P. ("Astoria") elected to convert in full all of the principal outstanding under the 5% Convertible Subordinated Notes due 2008 reported on Table II of this Form (the "Notes"). The Notes were convertible at a fixed conversion price of $5.00 per share (in whole multiples of $1,000), resulting in the issuance of 4,583,400 shares of Common Stock. 14,894,956 shares of Common Stock reported on this Form are beneficially held by Astoria, and the balance is beneficially held by an investment fund managed by Astoria Capital Management, LLC ("ACM"), a general partner of Astoria. Richard W. Koe is the Chairman of the Issuer's Board of Directors, a general partner of Astoria and a shareholder of ACM. Richard W. Koe disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest in Astoria. Astoria Capital Partners, L.P.; By: Astoria Capital Management, Inc., its General Partner; By: Richard W. Koe, its President; /s/ Richard W. Koe 2007-10-09 Richard W. Koe; /s/ Richard W. Koe 2007-10-09 -----END PRIVACY-ENHANCED MESSAGE-----