-----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, NXxTSNdDZhcMo048Bp0wzrVsk8BZSlmbH7c9HSgF0jd3VwGKIkVOhEx8Z7YTkCk+ up1RtwpX88W+323QPEF4EA== 0001095449-01-500003.txt : 20010123 0001095449-01-500003.hdr.sgml : 20010123 ACCESSION NUMBER: 0001095449-01-500003 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20001231 FILED AS OF DATE: 20010111 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 SEC ACT: SEC FILE NUMBER: 000-16449 FILM NUMBER: 1507061 BUSINESS ADDRESS: STREET 1: 17500 CARTWRIGHT ROAD CITY: IRVINE STATE: CA ZIP: 92614 BUSINESS PHONE: 6506327100 MAIL ADDRESS: STREET 1: 17500 CARTWRIGHT ROAD RD 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: KOE RICHARD W CENTRAL INDEX KEY: 0001063406 STANDARD INDUSTRIAL CLASSIFICATION: [] OTHER IRS NUMBER: 540729500 FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: S.W. NINETY SECOND AVE., SUITE 370 CITY: PORTLAND STATE: OR ZIP: 97223 BUSINESS PHONE: 5032441956 4 1 f4r1200.txt 4 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* Richard W. Koe 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) 4. Statement for Month/Year December 2000 5. If Amendment, Date of Original (Month/Year) 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) 12/4/00, 12/14/00, 12/14/00, 12/15/00, 12/18/00, 12/19/00 2/19/00, 12/20/00, 12/20/00, 12/21/00, 12/21/00, 12/22/00 2/22/00, 12/26/00, 12/26/00, 12/27/00, 12/27/00, 12/28/00 2/28/00, 12/28/00, 12/29/00, 12/29/00, 12/29/00 3. Transaction Code (Instr. 8) Code P V 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) Amount 1,975,245 shares (A) or (D)A Price $4.125/share Amount 1,000 shares (A) or (D)A Price $3.385/share Amount 2,500 shares (A) or (D)A Price $3.579/share Amount 4,200 shares (A) or (D)A Price $5.07828/share Amount 16,400 shares (A) or (D)A Price $5.77991/share Amount 7,000 shares (A) or (D)A Price $7.16143/share Amount 9,500 shares (A) or (D)A Price $6.81741/share Amount 6,000 shares (A) or (D)A Price $6.74127/share Amount 4,000 shares (A) or (D)A Price $6.94/share Amount 6,500 shares (A) or (D)A Price $7.37654/share Amount 7,000 shares (A) or (D)A Price $7.21893/share Amount 19,000 shares (A) or (D)A Price $7.58773/share Amount 20,000 shares (A) or (D)A Price $8.0005/share Amount 23,100 shares (A) or (D)A Price $10.3659/share Amount 20,000 shares (A) or (D)A Price $10.688/share Amount 9,500 shares (A) or (D)A Price $9.44185/share Amount 8,000 shares (A) or (D)A Price $9.63875/share Amount 23,200 shares (A) or (D)A Price $11.2447/share Amount 17,500 shares (A) or (D)A Price $11.7181/share Amount 37,500 shares (A) or (D)A Price $10.7057/share Amount 39,000 shares (A) or (D)A Price $13.2407/share Amount 62,000 shares (A) or (D)A Price $12.9502/share Amount 28,200 shares (A) or (D)A Price $12.9359/share 5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4) -7,740,578- (1) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) I 7. Nature of Indirect Beneficial Ownership (Instr. 4) 7,678,478 shares are owned by Astoria Capital Partners, L.P. (1) (3) 62,100 shares are owned by Montavilla Partners, L.P. (3) 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) N/A 4. Transaction Code (Instr. 8) N/A 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) (A) -0- (D) -0- 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 (2) (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) N/A 9. Number of Derivative Securities Beneficially Owned at End of Month (Instr. 4) (i) 1,086,496 (2) (ii) 500,000 (iii)300,000 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) I 11. Nature of Indirect Beneficial Ownership (Instr. 4) By Astoria Capital Partners, L.P. (3) Explanation of Responses: (1) Up to 70,391 additional shares of Raining Data common stock may be received pursuant to the terms of the Merger of PickAx Inc. into Raining Data Corp if certain performance targets relating to Raining Data's business are achieved. (2) 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. (3) The reporting person is a general partner of each of the limited partnerships and a shareholder of each of the limited partnerships' other general partner. The reporting person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest in the limited partnership. /s/ Richard W. Koe 1/9/01 Richard W. Koe Date **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. -----END PRIVACY-ENHANCED MESSAGE-----