5/A 1 form5.txt
-------------------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION --------------------------------- FORM 5 Washington, D.C. 20549 OMB APPROVAL -------------------------------------- --------------------------------- OMB Number: 3235-0362 [ ] Check box if no longer subject to ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Expires: December 31, 2001 Section 16. Form 4 or Form 5 Filed pursuant to Section 16(a) of the Estimated average burden hours obligations may continue. See Securities Exchange Act of 1934, per response...............1.0 Instruction 1(b) Section 17(a) of the Public Utility --------------------------------- [X] Form 3 Holdings Reported Holding Company Act of 1935 or Section 30(f) [X] Form 4 Transactions Reported of the Investment Company Act of 1940 (Print or Type Response)
----------------------------------------------------------------------------------------------------------------------------------- 1. Name and Address of Reporting 2. Issuer Name and Ticker or Trading Symbol 6. Relationship of Reporting Person* Person(s) to Issuer KIMBERLIN KEVIN B. GraphOn Corporation (GOJO) (Check all applicable) -------------------------------------------------------------------------------------- (Last) (First) (Middle) 3. IRS or Social 4. Statement for Director X 10% Owner Security Number Month/Year ___ ___ of Reporting Officer (give Other specify Person December 1999 ___ (title below) ____ (below (Voluntary) below) 535 MADISON AVENUE, 18TH FLOOR ----------------------------------------------------------------------------------------------------------------------------------- (Street) 5. If Amendment, 7. Individual or Joint/Group Date of Original Filing (Check Applicable Line) (Month/Year) X Form filed by One Reporting Person ___ NEW YORK, NY 10022 June 8, 2000 Form filed by More than One Reporting ___ Person ----------------------------------------------------------------------------------------------------------------------------------- (City) (State) (Zip) TABLE 1 - NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED ----------------------------------------------------------------------------------------------------------------------------------- 1. Title of Security 2. Trans- 3. Trans 4. Securities Acquired (A) 5. Amount of 6. Owner- 7. Nature (Instr. 3) action action or Disposed of (D) Securities ship- of Date Code (Instr. 3, 4 and 5) Beneficially Form: Indirect (Instr. 8) Owned at Direct Beneficial End of Issuer's (D) or Owner- Fiscal Year Indirect ship --------------------------------------- (I) (Month/ (A) Day/ or Year Amount (D) Price (Instr. 3 and 4) (Instr. 4) (Instr. 4) ---------------------------------------------------------------------------------------------- ----------------------------------------------------------------------------------------------------------------------------------- Common Stock 3(1) 717,631 I By Kevin Kimberlin Ptrs LP(2) ----------------------------------------------------------------------------------------------------------------------------------- Common Stock 3(1) 94,792 I By Spencer Trask Securities, Inc.(2) ----------------------------------------------------------------------------------------------------------------------------------- Common Stock 7/20/99 P4 476,748 I By Kevin Kimberlin A $ 1.79 Ptrs LP(2) ----------------------------------------------------------------------------------------------------------------------------------- Common Stock 7/20/99 P4 55,760 A $ 1.79 1,344,931 I By Spencer Trask Securities, Inc.(2) ----------------------------------------------------------------------------------------------------------------------------------- 1. As a result of a merger on July 12, 1999. 2. The reporting person is the general partner of Kevin Kimberlin Partners LP, a Delaware limited partnership. The reporting person is also the controlling shareholder of Spencer Trask holdings, Inc., a Delaware corproation, which in turn is the sole shareholder of Spencer Trask Securities, Incorporated, also a Delaware corporation.
*If the form is filed by more than one reporting person, SEC 2270(3-99) see Instruction 4(b)(v).
FORM 4 (continued) TABLE II - DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED (E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES) ---------------------------------------------------------------------------------------------------------------------------------- 1.Title of 2.Conver- 3.Trans- 4.Trans- 5.Number of 6.Date Exer- 7.Title 8.Price 9.Number 10.Owner- 11.Nature Derivative sion or action action of Deriv- cisable and and of of ship of Security Exercise Date Code ative Expiration Amount Deriv- Deriv- Form of Indirect (Instr. 3) Price of (Instr. Securities date (Month/ of ative ative Deriv- Benefi- Deriva- (Month/ 8) Acquired Day/ Under- Secur- Secur- ative cial tive Day/ (A) or Dis- Year) lying) ity ities Secur- Owner- Security Year) posed of (D) Securi- Instr. Benefi- ity: ship (Instr. 3, ties 5) cially Direct (Instr. 4) 4 and 5) (Instr. owned (D) or 3 and 4) at end Indirect of Year (I) (Instr. (Instr. 4) 4) -------------------------------------------------------------------- Date Expira- Amount or Exer- tion Number of Code (A) (D) isable Date Title Shares ----------------------------------------------------------------------------------------------------------------------------------- Warrant to Purchase $1.79 3(1) Immed. 1/26/06 Common 231,141 I By Spencer Common Stock Trask Holdings, Inc.(2) ----------------------------------------------------------------------------------------------------------------------------------- Warrant to Purchase $1.79 3(1) Immed. 1/26/06 Common 16,594 I By Kevin Common Stock Kimberlin Ptrs LP(2) ----------------------------------------------------------------------------------------------------------------------------------- Warrant to Purchase $1.79 3(1) Immed. 1/26/06 Common 47,675 I By Kevin Common Stock Kimberlin Ptrs LP(2) ----------------------------------------------------------------------------------------------------------------------------------- Warrant to Purchase $1.79 3(1) Immed. 1/26/06 Common 12,261 12,261 D Common Stock ----------------------------------------------------------------------------------------------------------------------------------- Warrant to Purchase $1.79 3(1) Immed. 1/26/06 Common 5,576 I By Spencer Common Stock Trask Securities Inc.(2) ----------------------------------------------------------------------------------------------------------------------------------- Warrant to Purchase $5.50 7/12/99 3 250,000 Immed. 11/12/02 Common 250,000 550,986 I By Spencer Common Stock Trask Securities Inc.(2) ----------------------------------------------------------------------------------------------------------------------------------- Explanation of Responses: 1. As a result of a merger on July 12, 1999. 2. The reporting person is the general partner of Kevin Kimberlin Partners LP, a Delaware limited partnership. The reporting person is also the controlling shareholder of Spencer Trask holdings, Inc., a Delaware corproation, which in turn is the sole shareholder of Spencer Trask Securities, Incorporated, also a Delaware corporation. ----------------------------------------------------------------------------------------------------------------------------------- ** Intentional misstatements or omissions of facts constitute /s/ Kevin B. Kimberlin 5/21/2001 Federal Criminal Violations. ------------------------------------ ----------------- SEE 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). **Signature of Reporting Person Date Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, SEE Instruction 6 for procedure.