-----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, VleK4GtPADw29rZ/rjS5oR7CdNJQuk13+pH6/wU1ONvLCPlUc1YT1yZHcfP1qM8f IYVrpAZkA6pvuY7/R+lSDg== 0000898432-02-000143.txt : 20020414 0000898432-02-000143.hdr.sgml : 20020414 ACCESSION NUMBER: 0000898432-02-000143 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20011231 FILED AS OF DATE: 20020215 COMPANY DATA: COMPANY CONFORMED NAME: KIMBERLIN KEVIN CENTRAL INDEX KEY: 0000904841 OWNER FILING VALUES: FORM TYPE: 5 BUSINESS ADDRESS: STREET 1: SPENCER TRASK SECURITIES INC STREET 2: 535 MADISON AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2123555565 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: GRAPHON CORP/DE CENTRAL INDEX KEY: 0001021435 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 133899021 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 000-21683 FILM NUMBER: 02551270 BUSINESS ADDRESS: STREET 1: 400 COCHRANE CIRCLE CITY: MORGAN HILL STATE: CA ZIP: 95037 BUSINESS PHONE: 4087763232 MAIL ADDRESS: STREET 1: 40O COCHRANE CIRCLE CITY: MORGAN HILL STATE: CA ZIP: 95037 FORMER COMPANY: FORMER CONFORMED NAME: UNITY FIRST ACQUISITION CORP DATE OF NAME CHANGE: 19960823 5 1 spen183432-form5.txt FORM 5 - ---------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION ------------------------------- FORM 5 Washington, D.C. 20549 OMB APPROVAL - ---------------------------- ------------------------------- OMB Number: 3235-0362 /X/Check box if no longer subject ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Expires: December 31, 2001 to Section 16. Form 4 or Form Filed pursuant to Section 16(a) of the Securities Exchange Estimated average burden 5 obligations may continue. Act of 1934, Section 17(a) of the Public Utility Holding hours per response..........1.0 SEE Instruction 1(b) Company Act of 1935 or Section 30(f) ------------------------------- / /Form 3 Holdings Reported of the Investment Company Act of 1940 / /Form 4 Transactions Reported (Print or Type Response) - ------------------------------------------------------------------------------------------------------------------------------------ 1. Name and Address of Reporting 2. Issuer Name and Ticker or Trading Symbol 6. Relationship of Reporting Person* GraphOn Corporation (GOJO) Person(s) to Issuer Kimberlin Kevin B. (Check all applicable) - --------------------------------------------------------------------------------------------- Director X 10% Owner (Last) (First) (Middle) 3. IRS or Social Security 4. Statement for Month/Year --- --- - ----------------------------------- Number of Reporting Officer Other (specify 535 Madison Avenue, 18th Floor Person (Voluntary) December 2001 --- below) --- below) ----------------------------------------------------------------------- 5. If Amendment, Date of 7. Individual or Joint/Group - ----------------------------------- Original (Month/Year) Filing (Check Applicable Line) (Street) Form filed by One New York NY 10022 --- Reporting Person X 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. Transaction 4. Securities Acquired (A) 5. Amount of 6. Ownership 7. Nature of (Instr. 3) action Code or Disposed of (D) Securities Form: Indirect Date (Instr. 8) (Instr. 3, 4 and 5) Beneficially Direct Beneficial Owned at End (D) or Ownership of Issuer's Indirect Fiscal Year (I) (Instr. 3 and 4) (Instr. 4) (Instr. 4) --------------------------- (Month/Day/ Year) Amount (A) or (D) Price - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 6/19/01 G 113,800 D N/A I By Kevin Kimberlin Ptrs LP(1) - ------------------------------------------------------------------------------------------------------------------------------------ By Kevin Common Stock 12/28/01 G 160,000 D N/A 815,801 I Kimberlin Ptrs LP(1) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 44,500 I By Spencer Trask Ventures, Inc.(1) - ----------------------------------------------------------------------- ----------------------------------------------- ------------ Common Stock 184,807 I By Spencer Trask & Co., (1) - ----------------------------------------------------------------------- ----------------------------------------------- ------------ 1. 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 Ventures, Inc., a Delaware corporation, which in turn is the sole shareholder of Spencer Trask & Co., also a Delaware corporation. - ------------------------------------------------------------------------------------------------------------------------------------ *If the form is filed by more than one reporting person, SEE Instruction 4(b)(v). SEC2270(3-99) TABLE II - DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED (E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES) - ------------------------------------------------------------------------------------------------------------------------------------ 1.Title of 2.Con- 3.Trans- 4.Trans- 5.Number of 6.Date 7.Title 8.Price 9.Number 10.Own- 11. Nature Derivative version action action Derivative Exercis- and Amount of of Deri- ership of Indirect Security or Date on Code Securities able and of Underly- Deriva- vative Form of Beneficial (Instr. 3) Exercise (Month/ (Instr. Acquired Expir- ing Secur- tive Secur- Deriva- Ownership Deriva- Date/ 8) (A)or ation Date ities Secur- ities tive (Instr. 4) tive Year) Disposed (Month/Day/ (Instr.3 ity Benefi- Secur- Security (D) of Year) and 4) (Instr. cially ity (Instr. 3, 5) Owned at Direct 4 and 5) End of (D) or Year Indirect (Instr.4) (I) (Instr. 4) --------------------------------------------- Amount Date Expira- or No. (A) (D) Exercis tion of able Date Title Shares - ------------------------------------------------------------------------------------------------------------------------------------ Warrant to $1.79 Immed. 1/26/06 Common 216,490 I By Spencer Purchase Trask Common Ventures, Stock Inc.(1) - ------------------------------------------------------------------------------------------------------------------------------------ Warrant to By Kevin Purchase $1.79 Immed. 1/26/06 Common 16,594 I Kimberlin Common Ptrs LP(1) Stock - ------------------------------------------------------------------------------------------------------------------------------------ Warrant to By Kevin Purchase $1.79 Immed. 1/26/06 Common 47,675 I Kimberlin Common Ptrs LP(1) Stock - ------------------------------------------------------------------------------------------------------------------------------------ Warrant to $1.79 Immed. 1/26/06 Common 12,261 D Purchase Common Stock - ------------------------------------------------------------------------------------------------------------------------------------ Warrant to $1.79 Immed. 1/26/06 Common 5,576 I By Spencer Purchase Trask Common & Co. (1) Stock - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ Explanation of Responses: 1. 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 Ventures, Inc., a Delaware corporation, which in turn is the sole shareholder of Spencer Trask & Co., also a Delaware corporation. - ------------------------------------------------------------------------------------------------------------------------------------ ** Intentional misstatements or omissions of facts constitute Federal Criminal ViolationsSEE 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). /s/ Kevin B. Kimberlin February 15, 2001 --------------------------------- ------------------ ** 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. -----END PRIVACY-ENHANCED MESSAGE-----