0001095449-01-500117.txt : 20011019 0001095449-01-500117.hdr.sgml : 20011019 ACCESSION NUMBER: 0001095449-01-500117 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20010930 FILED AS OF DATE: 20011011 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: 1934 Act SEC FILE NUMBER: 000-16449 FILM NUMBER: 1756515 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: BLYTH HOLDINGS INC DATE OF NAME CHANGE: 19920703 FORMER COMPANY: FORMER CONFORMED NAME: OMNIS TECHNOLOGY CORP DATE OF NAME CHANGE: 19971022 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 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 1 f4a0901.txt FORM 4 FOR SEPTEMBER 2001 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 3. IRS Identification Number of Reporting Person, if an Entity (Voluntary) 94-3160631 4. Statement for Month/Year September 2001 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) 9/27/01 3. Transaction Code (Instr. 8) Code P V 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) Amount 1,760,000 shares (A) or (D)A Price $1.25/share 5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4) -9,545,478- (1) 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) $2.30 (2) (ii) $6.54 (3) (iii) N/A 3. Transaction Date (Month/Day/Year) N/A 4. Transaction Code (Instr. 8) Code N/A V 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 1,163,860 (2)(4) (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 (5) 8. Price of Derivative Security (Instr. 5) N/A 9. Number of Derivative Securities Beneficially Owned at End of Month (Instr. 4) (i) 1,163,860 (2)(4) (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) 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) This warrant was previously reported as covering 1,086,496 shares at an exercise price of $2.46 per share, but has been adjusted pursuant to its anti-dilution provisions. (3) The exercise price of this warrant was previously reported as $7.00 per share, but was adjusted pursuant to the warrant's anti-dilution provisions. (4) The common stock purchase warrant may be exercisable for up to 129,318 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. (5) This amount may be subject to adjustment as a result of anti- dilution provisions in the Certificate of Designation. ASTORIA CAPITAL PARTNERS, L.P. /s/ Richard W. Koe 10/10/01 --------------------- ---------- 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.