-----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, IUv22a7KECECcq+/fSVVDLKvtAu8tQ0Dr1bbjC91Q4sAMF5Ob7ic0rb5qjol0G8f jzD4mKaEv95J5MdQNiDjCw== 0001179110-04-023457.txt : 20041216 0001179110-04-023457.hdr.sgml : 20041216 20041216190215 ACCESSION NUMBER: 0001179110-04-023457 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20041214 FILED AS OF DATE: 20041216 DATE AS OF CHANGE: 20041216 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BAAB CARLTON H CENTRAL INDEX KEY: 0001175145 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-16449 FILM NUMBER: 041209530 BUSINESS ADDRESS: BUSINESS PHONE: 9494424400 MAIL ADDRESS: STREET 1: 17500 CARTWRIGHT ROAD CITY: IRVINE STATE: CA ZIP: 92614 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: 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 4 1 edgar.xml FORM 4 - X0202 4 2004-12-14 0 0000820738 RAINING DATA CORP RDTA 0001175145 BAAB CARLTON H 17500 CARTWRIGHT ROAD IRVINE CA 92614 1 1 0 0 President and CEO Common Stock 2004-12-14 4 X 0 1136555 2.35 A 10682033 I Held by ACP Common Stock Purchase Warrant 2.35 2004-12-14 2004-12-14 4 X 0 1136555 D 2000-12-01 2005-03-16 Common Stock 1136555 0 I Held by ACP 5% Convertible Subordinated Notes 5.00 2004-12-14 4 H 0 2423775.37 2423775.37 D 2003-02-28 2008-05-29 Common Stock 484755 21630094.63 I Held by ACP Represents holdings of Astoria Capital Partners, LP (ACP), which are not beneficially owned by the reporting person Represents the exercise of common stock purchase warrants by Astoria Capital Parners, LP. Effective December 14, 2004, ACP exercised 1,136,555 of Raining Data Corporation common stock purchase warrants at a price of $2.35 per share for a total value of $2,670,904.25. Concurrent with the exercise, Raining Data Corporation paid $247,128.88 in accrued interest on the 5% Subordintated Convertible Note (Note) and re-paid $2,423,775.37 in principal on the Note. Carlton H. Baab 2004-12-16 -----END PRIVACY-ENHANCED MESSAGE-----