-----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, WtcD0s207XhinPiXt4C9OdklLSfHTlzKylOTc+V2AWLjZ768P3g24oqoFTMaCaqY PPZ56Ec++rav5unUVFqh0A== 0000898432-04-000640.txt : 20040810 0000898432-04-000640.hdr.sgml : 20040810 20040810184659 ACCESSION NUMBER: 0000898432-04-000640 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20040322 FILED AS OF DATE: 20040810 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: KIMBERLIN KEVIN CENTRAL INDEX KEY: 0000904841 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-28008 FILM NUMBER: 04965503 BUSINESS ADDRESS: STREET 1: SPENCER TRASK SECURITIES INC STREET 2: 535 MADISON AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2123555565 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: SMARTSERV ONLINE INC CENTRAL INDEX KEY: 0001005698 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMPUTER PROCESSING & DATA PREPARATION [7374] IRS NUMBER: 133750708 STATE OF INCORPORATION: DE FISCAL YEAR END: 0902 BUSINESS ADDRESS: STREET 1: METRO CENTER STREET 2: ONE STATION PLACE CITY: STAMFORD STATE: CT ZIP: 06902 BUSINESS PHONE: 2033535950 MAIL ADDRESS: STREET 1: ONE STATION PLACE CITY: STAMFORD STATE: CT ZIP: 06902 4 1 skimberlin_form4ex.xml X0202 4 2004-03-22 0 0001005698 SMARTSERV ONLINE INC SSOL 0000904841 KIMBERLIN KEVIN 535 MADISON AVENUE, 18TH FLOOR NEW YORK NY 10011 0 0 1 0 Warrant 1.50 2004-03-22 4 J 0 3333 0 A 2004-03-22 2009-03-22 Common Stock 3333 3333 I See Note 2 Warrant 2.82 2004-03-22 4 J 0 3333 0 A 2004-03-22 2009-03-22 Common Stock 3333 3333 I See Note 2 Warrant 1.90 2004-07-27 4 J 0 18882 0 D 2003-05-19 2008-05-19 Common Stock 18882 18882 I See Note 4 Warrant 1.50 2004-07-27 4 J 0 39953 0 D 2003-05-19 2008-05-19 Common Stock 39953 39953 I See Note 4 Warrant 1.90 2004-07-27 4 J 0 60233 0 D 2003-06-13 2008-06-13 Common Stock 60233 60233 I See Note 4 Warrant 1.50 2004-07-27 4 J 0 136012 0 D 2003-06-13 2008-06-13 Common Stock 136012 136012 I See Note 4 Warrant 1.90 2004-07-27 4 J 0 19515 0 D 2003-09-16 2008-09-16 Common Stock 19515 19515 I See Note 4 Warrant 1.50 2004-07-27 4 J 0 12334 0 D 2003-09-16 2008-09-16 Common Stock 12334 12334 I See Note 4 Warrant 1.90 2004-07-27 4 J 0 11979 0 D 2003-09-19 2008-09-19 Common Stock 11979 11979 I See Note 4 Warrant 1.50 2004-07-27 4 J 0 7667 0 D 2003-09-19 2008-09-19 Common Stock 7667 7667 I See Note 4 Warrant 1.90 2004-07-27 4 J 0 40000 0 D 2003-11-11 2008-11-11 Common Stock 40000 40000 I See Note 4 Warrant 1.50 2004-07-27 4 J 0 28000 0 D 2003-11-11 2008-11-11 Common Stock 28000 28000 I See Note 4 Warrant 2.82 2004-07-27 4 J 0 293131 0 D 2004-02-13 2009-02-13 Common Stock 293131 249200 I See Note 4 Warrant 1.50 2004-07-27 4 J 0 298100 0 D 2004-02-13 2009-02-13 Common Stock 298100 244233 I See Note 4 Warrant 2.82 2004-07-27 4 J 0 429336 0 D 2004-02-27 2009-02-27 Common Stock 429336 361664 I See Note 4 Warrant 1.50 2004-07-27 4 J 0 436616 0 D 2004-02-27 2009-02-27 Common Stock 436616 354384 I See Note 4 Warrants were earned as compensation for placement agent services. Warrants were issued as compensation for placement agent services to Spencer Trask Ventures, Inc. ("STVI"), a Delaware corporation and wholly-owned subsidiary of Spencer Trask & Co., a Delaware corporation, of which the reporting person is the 100% shareholder. Effective July 27, 2004, the warrants were transferred to Spencer Trask & Co. Warrants held by STVI were distributed to certain of its employees and brokers as compensation and to an employee equity plan for the benefit of its employees. The warrants reflected in Column 9 were transferred on the Transaction Date by STVI to Spencer Trask & Co. /s/ KEVIN KIMBERLIN 2004-08-10 -----END PRIVACY-ENHANCED MESSAGE-----