-----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, KvAVIqz8UsVrG62ly06wKpzSM0vzZlSIrmENbfiJTuaLkGcrBykNE5EKPCY8qS4/ 2OQOPjT65E/7iTggISwFaw== 0001095449-00-500013.txt : 20001225 0001095449-00-500013.hdr.sgml : 20001225 ACCESSION NUMBER: 0001095449-00-500013 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20001130 FILED AS OF DATE: 20001222 SUBJECT COMPANY: 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 FILING VALUES: FORM TYPE: 4/A SEC ACT: SEC FILE NUMBER: 000-16449 FILM NUMBER: 793915 BUSINESS ADDRESS: STREET 1: 17500 CARTWRIGHT ROAD STREET 2: SAME CITY: IRVINE STATE: CA ZIP: 92614 BUSINESS PHONE: 800-367-7425 MAIL ADDRESS: STREET 1: 17500 CARTWRIGHT ROAD CITY: IRVINE STATE: CA ZIP: 92614 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 COMPANY DATA: COMPANY CONFORMED NAME: ASTORIA CAPITAL PARTNERS L P CENTRAL INDEX KEY: 0000889926 STANDARD INDUSTRIAL CLASSIFICATION: [] OWNER IRS NUMBER: 943160631 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4/A BUSINESS ADDRESS: STREET 1: 6600 S W NINETY SECOND AVENUE, STE. 370 CITY: PORTLAND STATE: OR ZIP: 97223 BUSINESS PHONE: 9257782390 MAIL ADDRESS: STREET 1: 6600 S W NINETY SECOND AVE, STE. 370 CITY: PORTLAND STATE: OR ZIP: 97223 4/A 1 f4a1100a.txt F O R M 4 U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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 [] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). 1. Name and Address of Reporting Person* Astoria Capital Partners, L.P. 6600 SW 92nd Avenue, Ste. 370 Portland, Oregon 97223 2. Issuer Name and Ticker or Trading Symbol Raining Data Corporation (f/k/a Omnis Technology Corp.) 3. IRS Identification Number of Reporting Person, if an Entity (Voluntary) 94-3160631 4. Statement for Month/Year November 2000 5. If Amendment, Date of Original (Month/Year) December 11, 2000 6. Relationship of Reporting Person to Issuer (Check all applicable) [] Director [X] 10% Owner [] Officer (give title below) [] Other (specify below) 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). Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. Table 1 -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned 1. Title of Security (Instr. 3) Common Stock, $.10 par value 2. Transaction Date (Month/Day/Year) (i) 11/30/00 (ii) 11/30/00 3. Transaction Code (Instr. 8) (i) Code J(1) V (ii) Code P V 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) (i) Amount 633,522 shares (2) (A) or (D)A Price (1) (ii) Amount 645,467 shares (A) or (D)A Price $5/share 5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4) -5,332,133- 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) D 7. Nature of Indirect Beneficial Ownership (Instr. 4) Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) 1. Title of Derivative Security (Instr. 3) (i) Common Stock Purchase Warrant (ii) Common Stock Purchase Warrant (iii) Series A Convertible Preferred Stock par value $1.00 2. Conversion or Exercise Price of Derivative Security (i) $2.46 (ii) $7.00 (iii) N/A 3. Transaction Date (Month/Day/Year) (i) 11/30/00 (ii) 11/30/00 (iii) N/A 4. Transaction Code (Instr. 8) (i) Code J(3) V (ii) Code J(5) V (iii) Code N/A V 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) (i) (A) 1,086,496 (4) (D) (ii) (A) 500,000 (D) (iii)(A) 0 (D) 6. Date Exercisable and Expiration Date (Month/Day/Year) (i) Date Exercisable 12/01/00 Expiration Date 03/16/05 (ii) Date Exercisable 11/30/00 Expiration Date 11/30/05 (iii) Date Exercisable At discretion of holder Expiration Date None 7. Title and Amount of Underlying Securities (Instr. 3 and 4) (i) Title Common Stock, $.10 par value Amount or Number of Shares 1,086,496 (ii) Title Common Stock, $.10 par value Amount or Number of Shares 500,000 (iii) Title Common Stock, $.10 par value Amount or Number of Shares 500,100 8. Price of Derivative Security (Instr. 5) (i) (3) (ii) (5) (iii) $1.667 9. Number of Derivative Securities Beneficially Owned at End of Month (Instr. 4) (i) 1,086,496 (ii) 500,000 (iii)300,000 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) D 11. Nature of Indirect Beneficial Ownership (Instr. 4) Explanation of Responses: (1) Received in exchange for stock of PickAx, Inc. pursuant to a merger of PickAx into a subsidiary of Raining Data Corporation (the "Merger"). On the closing date of the Merger, the closing price of Raining Data's common stock was $4 1/8 per share. (2) Up to 70,391 additional shares of Raining Data common stock may be received pursuant to the terms of the Merger if certain performance targets relating to Raining Data's business are achieved in the twelve month period following the effective date of the Merger. (3) Received in exchange for common stock purchase warrants of PickAx, Inc. pursuant to the Merger. (4) The common stock purchase warrant may be exercisable for up to 120,722 additional shares of Raining Data common stock pursuant to the terms of the Merger if certain performance targets relating to Raining Data's business are achieved in the twelve month period following the effective date of the Merger. (5) Acquired as part of the consideration received from Raining Data in connection with the forgiveness at the time of the Merger of a $17,300,000 convertible note from PickAx, Inc. and all interest accrued thereon. Consideration also included a non- convertible note from Raining Data in the principal amount of $18,525,416.67. ASTORIA CAPITAL PARTNERS, L.P. /s/ Richard W. Koe 12/19/00 Richard W. Koe Date General Partner of Astoria Capital Partners, L.P. **Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this Form, one of which must be manually signed. If space provided is insufficient, see Instruction 6 for procedure. (..continued) -1- WD 121900/1-1155208/885554/v1 -----END PRIVACY-ENHANCED MESSAGE-----