-----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, RGfq2C42jFTX/0OeTbhwxfWGTcjQvwBZkqfnNRE49Zue9SIDRpNT6EBDrT+pECUQ i0SRTFCqqRNNdk/LO5D16g== 0000899078-02-000682.txt : 20021113 0000899078-02-000682.hdr.sgml : 20021113 20021112180559 ACCESSION NUMBER: 0000899078-02-000682 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20021111 FILED AS OF DATE: 20021113 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: THOMAS GROUP INC CENTRAL INDEX KEY: 0000900017 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-MANAGEMENT CONSULTING SERVICES [8742] IRS NUMBER: 720843450 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-22010 FILM NUMBER: 02818200 BUSINESS ADDRESS: STREET 1: 5221 N OCONNOR BLVD STE 500 CITY: IRVING STATE: TX ZIP: 75039 BUSINESS PHONE: 9728693400 MAIL ADDRESS: STREET 1: 5221 N OCONNOR SUITE 500 CITY: IRVING STATE: TX ZIP: 75039 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: CHAIN JOHN T JR CENTRAL INDEX KEY: 0001087772 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] RELATIONSHIP: DIRECTOR FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 1301 AVENUE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 2122585600 MAIL ADDRESS: STREET 1: 1301 AVENUE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10019 4 1 nov112002-form4.txt FORM 4 U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 [ ] Check this box if OMB APPROVAL no longer subject OMB Number 3235-0287 to Section 16. Form 4 Expires: January 31,2005 or Form 5 obligations Estimated ave. burden may continue. See hours per response...0.5 instruction 1(b). 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 1940
- ---------------------------------------------------------------------------------------------------------------------------- 1.Name and Address of 2.Issuer Name and Ticker or Trading Symbol 6.Relationship of Reporting Reporting Person* Person(s) to Issuer Thomas Group, Inc. (TGIS.OB) (check all applicable) ---------------------------------------------- Chain, Jr. John T. 3. I.R.S. Identification 4. Statement for X Director X 10% Owner - --------------------------------------- Number of Reporting Month/Day/Year --- --- (Last) (First) (MI) Person, if an entity Officer Other (Voluntary) 11/11/02 --- (give title --- (specify 5221 North O'Connor Boulevard, Suite 500 ----------------- below) below) - ---------------------------------------- ------------------------- 5. If Amendment, (Street) Date of Original ----------------------------------- Irving TX 75039-3714 (Month/Day/Year) 7.Individual or Joint/Group - ---------------------------------------- Filing (Check Applicable (City) (State) (Zip) ------------------- Line) X Form filed by One Reporting Person --- Form filed by More than One --- Reporting Person
- ----------------------------------------------------------------------------------------------------------------------------------- Table I - Non-Derivative Securities Acquired, Disposed of or Beneficially Owned - ----------------------------------------------------------------------------------------------------------------------------------- 1. Title of Security 2. Transaction 2A. 3. Transaction 4. Security Acquired (A) 5. Amount of 6. Owner 7. Nature of (Instr.3) Date Deemed Code or Disposed of (D) Securities ship Indirect (Month/ Execution (Instr.8) (Inst.3, 4 & 5) Beneficially Form: Beneficial Day/Yr) Date, if ----------------------------------------- Owned Direct Owner- any Following (D) or Ship (Month/ Reported Indirect Day/ (A) Transaction(s) (I) Year) or (Instr. 3 and 4) (Instr. 4) (Instr. 4) Code V Amount (D) Price Common Stock, par value $0.01 11/11/02 C 2,690,450 A $ .375 2,806,038 (1) D - ---------------------- -------------- --------- ----- ----- ----------- ---- ------ -------------- ---------- ---------- - ---------------------- -------------- --------- ----- ----- ----------- ---- ------ -------------- ---------- ---------- - ---------------------- -------------- --------- ----- ----- ----------- ---- ------ -------------- ---------- ---------- - ---------------------- -------------- --------- ----- ----- ----------- ---- ------ -------------- ---------- ---------- - ---------------------- -------------- --------- ----- ----- ----------- ---- ------ -------------- ---------- ----------
Page 1 Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. *If the form is filed by more than one reporting person, see Instruction 4(b)(v).
- ------------------------------------------------------------------------------------------------------------------------ Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) - ------------------------------------------------------------------------------------------------------------------------ 1. Title of 2. Conversion 3. Transaction 3A. Deemed 4. Transaction 5. Number of Deriv- Derivative or Exercise Date (Month Execution Code ative Securities Ac- Security Price of (Day/Year) Date, if (Instr. 8) quired (A) or Dis- (Instr.3) Derivative any posed of (D) Security (Month/ (Instr. 3,4, and 5) Day/Year) Code V (A) (D) 6% Convertible Note $ .375 11/11/02 C $1,000,000 - ------------------------------- ------------ ----------- ------------ ----- ---- ---------- ---------- - ------------------------------- ------------ ----------- ------------ ----- ---- ---------- ---------- - ------------------------------- ------------ ----------- ------------ ----- ---- ---------- ---------- - ------------------------------- ------------ ----------- ------------ ----- ---- ---------- ---------- - ------------------------------- ------------ ----------- ------------ ----- ---- ---------- ----------
6. Date Exercisable 7. Title & Amount of 8. Price 9. Number 10. Owner- 11. Nature & Expiration Date Underlying Securities of Deriv- of Deriv- ship of (Mon./Day/Year) (Inst. 3 & 4) ative ative Form of Indirect Secur- Secur- Deriv- Benefi- ity ities ative cial (Instr. 5) Bene- Security: Owner- ficially (D) or ship Owned Indirect (Instr. 4) Follow- (I) ing (Instr. 4) Reported Trans- action(s) (Instr. 4) - --------------------------------------------------------------------------------------------------------------------------------- Date Expira- Title Amount or number Exer- tion of Shares cisable Date (2) 12/31/02 Common Stock 2,694,450 $ .375 -0- D - ----------- -------------- --------------- ------------- ---------- ----------- ------------ ---------- - ----------- -------------- --------------- ------------- ---------- ----------- ------------ ---------- - ----------- -------------- --------------- ------------- ---------- ----------- ------------ ---------- - ----------- -------------- --------------- ------------- ---------- ----------- ------------ ---------- - ----------- -------------- --------------- ------------- ---------- ----------- ------------ ----------
Explanation of Responses: (1) The shares of common stock consist of 2,690,450 shares resulting from the conversion of the principal and interest of the 6% convertible promissory note in the original principal amount of $1 million, held by General John T. Chain, Jr. and 115,588 shares of common stock owned by General Chain prior to the conversion of the note. (2) The 6% convertible promissory note held by General Chain was immediately converted into common stock upon approval of such conversion by the stockholders of the Company at the Annual Meeting of Stockholders held on November 11, 2002.
/s/ John T. Chain 11/11/02 **Intentional misstatements or omissions of facts constitute Federal ------------------------------------------ Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). **Signature of Reporting Person Date
Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. -----END PRIVACY-ENHANCED MESSAGE-----