-----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, BIvlYsmQxcz6eSrQ1oMGHDjRhEhCSRZ4ucB0HEBhOr8qDHbJGwzD3lMl6y50CTZu NpQAGIQM0y0x9BWPdHANfg== 0000950127-98-000387.txt : 19981012 0000950127-98-000387.hdr.sgml : 19981012 ACCESSION NUMBER: 0000950127-98-000387 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19981009 FILED AS OF DATE: 19981009 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: YES ENTERTAINMENT CORP CENTRAL INDEX KEY: 0000943747 STANDARD INDUSTRIAL CLASSIFICATION: GAMES, TOYS & CHILDREN'S VEHICLES (NO DOLLS & BICYCLES) [3944] IRS NUMBER: 943165290 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: SEC FILE NUMBER: 000-25916 FILM NUMBER: 98723530 BUSINESS ADDRESS: STREET 1: 3875 HOPYARD RD STE 375 CITY: PLEASANTON STATE: CA ZIP: 94588 BUSINESS PHONE: 5108479444 MAIL ADDRESS: STREET 1: 3875 HOPYARD ROAD STREET 2: SUITE 375 CITY: PLEASANTON STATE: CA ZIP: 94588 COMPANY DATA: COMPANY CONFORMED NAME: GLACIER CAPITAL LTD CENTRAL INDEX KEY: 0001067843 STANDARD INDUSTRIAL CLASSIFICATION: [] OWNER FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: HUTKINS WATERFRONT PLAZA, MAIN ST STREET 2: PO BOX 556, CHARLESTOWN, NEXIS WEST INDI CITY: WEST INDIES BUSINESS PHONE: 2147201600 MAIL ADDRESS: STREET 1: HUTKINS WATERFRONT PLAZA, MAIN STREET STREET 2: PO BOX 556, CHARLESTOWN, NEXIS WEST INDI CITY: WEST INDIES 4 1 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 4 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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 of 1940 [ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). ================================================================================ 1. Name and Address of Reporting Person* (Last, First Middle): Glacier Capital Limited - -------------------------------------------------------------------------------- (Street): Hunkins Waterfront Plaza, Main Street, P.O. Box 556 - -------------------------------------------------------------------------------- (City, State, Zip) Charlestown, Nevis, West Indies ================================================================================ 2. Issuer Name and Ticker or Trading Symbol YES! Entertainment Corporation (YESS) ================================================================================ 3. IRS or Social Security Number of Reporting Person (Voluntary) ================================================================================ 4. Statement for Month/Year October 1998 ================================================================================ 5. If Amendment, Date of Original (Month/Year) ================================================================================ 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) [ ] Director [ X ] 10% Owner [ ] Officer (give title below) [ ] Other (specify below) --------------------------- ================================================================================ 7. Individual or Joint/Group Filing (Check applicable line) [X ] Form filed by one Reporting Person [ ] Form filed by more than one Reporting Person * If the form is filed by more than one reporting person, see Instruction 4(b)(v). ================================================================================ Table I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned - --------------------------------------------------------------------------------
4. Securities Acquired (A) or 3. Disposed of (D) Transaction (Instr. 3, 4 and 5) 2. Code ----------------------------- 1. Transaction (Instr. 8) (A) Title of Security Date ------------ Amount or Price (Instr. 3) (mm/dd/yy) Code V (D) - ------------------------------------------------------------------------------------------------------------------------------------ (1) - ------------------------------------------------------------------------------------------------------------------------------------ - -------------------------------------------------------------------------------- Table I (cont.) -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned - -------------------------------------------------------------------------------- 5. 6. Owner- Amount of ship Securities Form: 7. Beneficially Direct Nature of Owned at End (D) or Indirect 1. of Month Indirect Beneficial Title of Security (Instr. 3 (I) Ownership (Instr. 3) and 4) (Instr.4) (Instr. 4) - ------------------------------------------------------------------------------------------------------------------ (1) - ------------------------------------------------------------------------------------------------------------------ ==================================================================================================================
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. ================================================================================ Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) - --------------------------------------------------------------------------------
6. Date 5. Exercisable and 2. 4. Number of Derivative Expiration Date 1. Conversion or Transaction Securities Acquired (A) (Month/Day/Year) Title of Exercise 3. Code or Disposed of (D) ---------------- Derivative Price of Transaction (Instr. 8) (Instr. 3, 4 and 5) Date Expira- Security Derivative Date (Month/ ------ ----------------------- Exer- tion (Instr. 3) Security Day/Year) Code V (A) (D) cisable Date - ------------------------------------------------------------------------------------------------------------------------------------ (1)Series B Convertible Preferred Stock (1) 9/2/98 S 38,061 Immed. (5) 4/30/02 - ------------------------------------------------------------------------------------------------------------------------------------ (2)Series C Convertible Preferred Stock (2) 9/2/98 P 35,216 Immed. (6) 4/30/02 - ------------------------------------------------------------------------------------------------------------------------------------ (3)5% Convertible (3) 9/2/98 S 190,831.72 Immed. (7) 4/30/02 Debentures due April 30, 2002 - ------------------------------------------------------------------------------------------------------------------------------------ (4)5% Convertible Debentures due April 30, 2002 (4) 9/2/98 P 189,494.20 Immed. (8) 4/30/02 - ------------------------------------------------------------------------------------------------------------------------------------ - -------------------------------------------------------------------------------- Table II (cont.) -- Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) - -------------------------------------------------------------------------------- 7. Title and Amount of Underlying Securities 9. 10. (Instr. 3 and 4) Number of Ownership ---------------- Derivative Form of 11. 1. Amount 8. Securities Derivative Nature of Title of or Price of Beneficially Security: Indirect Derivative Number Derivative Owned Direct (D) Beneficial Security of Security at End of Month or Indirect Ownership (Instr. 3) Title Shares (Instr. 5) (Instr.4) (I) (Instr. 4) (Instr. 4) - ------------------------------------------------------------------------------------------------------------------------------------ (1)Series B Convertible Preferred Stock Common Stock (9) (13) 0 D - ------------------------------------------------------------------------------------------------------------------------------------ (2)Series C Convertible Preferred Stock Common Stock (10) (14) 35,216.00 D - ------------------------------------------------------------------------------------------------------------------------------------ (3)5% Convertible Debentures due April 30, 2002 Common Stock (11) (15) 0 D - ------------------------------------------------------------------------------------------------------------------------------------ (4)5% Convertible Debentures due April 30, 2002 Common Stock (12) (16) 189,494.20 D - ------------------------------------------------------------------------------------------------------------------------------------
Explanation of Responses: (1) See definition of Conversion Price set forth in the Certificate of Designation of Series B Convertible Preferred Stock of YES! Entertainment Corporation. (2) See definition of Conversion Price set forth in the Amended Certificate of Designation of Series C Convertible Preferred Stock of YES! Entertainment Corporation. (3) See definition of Conversion Price set forth in the YES! Entertainment Corporation 5% Convertible Debenture due April 30, 2002 (See column 1(3)). (4) See definition of Conversion Price set forth in the YES! Entertainment Corporation 5% Convertible Debenture due April 30, 20002 (See column 1(4)). (5) Conversion is subject to an Issuable Maximum (as defined in the Certificate of Designation of Series B Convertible Preferred Stock of YES! Entertain- ment Corporation). (6) Conversion is subject to an Issuable Maximum (as defined in the Amended Certificate of Designation of Series C Perferred Stock of YES! Entertain- ment Corporation). (7) Conversion is subject to an Issuable Maximum (as defined in the YES! Entertainment Corporation 5% Convertible Debenture due April 30, 2002 (See column 1(3)). (8) Conversion is subject to an Issuable Maximum (as defined in the YES Entertainment Corporation 5% Convertible Debenture due April 30, 2002 (See column 1(4)). (9) Amount of underlying shares fluctuates according to the Conversion Ratio (as defined in the Certificate of Designation of Series B Convertible Preferred Stock of YES! Entertrainment Corporation). (10) Amount of underlying shares fluctuates according to the Conversion Ratio (as defined in the Amended Certificate of Designation of Series C Converti- ble Preferred Stock of YES! Entertainment Corporation). (11) Amount of underlying shares fluctuates according to the Conversion Ratio (as defined in the YES! Entertainment Corporation 5% Convertible Debenture due April 30, 2002 (see column 1(3)). (12) Amount of underlying shares fluctuates according to the Conversion Ratio (as defined in the YES! Entertainment Corporation 5% Convertible Debenture due April 30, 2002 (see column 1(4). (13) Exchanged for 35,216 shares of Series C Convertible Preferred Stock. (14) Received in exchange for 38,061 shares of Series B Convertible Preferred Stock. (15) Exchanged for 5% Convertible Debentures due April 30, 2002 (see column 1(3)). (16) Received in exchange for 5% Convertible Debentures due April 30, 2002 (see column 1(4)). /s/Stuart J. Chasanoff October 9, 1998 - --------------------------------------------- ----------------------- **Signature of Reporting Person Date ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedures. 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-----