FORM 5 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). | ||||||||||||||||
Form 3 Holdings Reported. | |||||||||||||||||
Form 4 Transactions Reported. |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
EON COMMUNICATIONS CORP [ EONC ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Statement for Issuer's Fiscal Year Ended
(Month/Day/Year) 07/31/2004 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | |||||||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned at end of Issuer's Fiscal Year (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||||||
Amount | (A) or (D) | Price | |||||||||||||
Common Stock | 10/13/2003 | S | 17,100 | D | $3.1 | 0 | I | Investment Control | |||||||
Common Stock | 10/14/2003 | S | 27,200 | D | $2.93 | 0 | I | Investment Control | |||||||
Common Stock | 10/15/2003 | S | 37,700 | D | $2.79 | 0 | I | Investment Control | |||||||
Common Stock | 10/16/2003 | S | 41,900 | D | $2.7 | 0 | I | Investment Control | |||||||
Common Stock | 10/17/2003 | S | 10,000 | D | $2.52 | 0 | I | Investment Control | |||||||
Common Stock | 10/20/2003 | S | 38,500 | D | $2.8 | 0 | I | Investment Control | |||||||
Common Stock | 10/21/2003 | S | 24,000 | D | $2.74 | 0 | I | Investment Control | |||||||
Common Stock | 10/22/2003 | S | 20,500 | D | $2.67 | 0 | I | Investment Control | |||||||
Common Stock | 10/23/2003 | S | 43,900 | D | $2.6 | 0 | I | Investment Control | |||||||
Common Stock | 10/24/2003 | S | 112,400 | D | $2.46 | 0 | I | Investment Control | |||||||
Common Stock | 10/27/2003 | S | 53,200 | D | $2.43 | 0 | I | Investment Control | |||||||
Common Stock | 10/28/2003 | S | 61,500 | D | $2.38 | 0 | I | Investment Control | |||||||
Common Stock | 10/29/2003 | S | 1,567 | D | $2.42 | 0 | I | Investment Control | |||||||
Common Stock | 10/30/2003 | S | 44,500 | D | $2.38 | 0 | I | Investment Control | |||||||
Common Stock | 10/31/2003 | S | 31,200 | D | $2.38 | 0 | I | Investment Control | |||||||
Common Stock | 11/03/2003 | S | 87,300 | D | $2.39 | 0 | I | Investment Control | |||||||
Common Stock | 11/04/2003 | S | 39,300 | D | $2.36 | 0 | I | Investment Control | |||||||
Common Stock | 11/07/2003 | S | 100 | D | $2.37 | 0 | I | Investment Control | |||||||
Common Stock | 11/10/2003 | S | 214,660 | D | $2.86 | 0 | I | Investment Control |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | ||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
(A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
Remarks: |
This final Form 5 is being filed by ChinaVest Partners IV, a Delaware partnership (?CVP?), the general partner of ChinaVest IV., L.P., the legal and beneficial owner of the Issuer?s stock (?CV4?). CV4 is contemporaneously separately filing a final Form 5 to report the same transactions during the Issuer?s fiscal year ended July 31, 2004. CV4 is one of three affiliated venture capital Funds that invest and divest side-by-side in all portfolio investments. CVP is also the general partner of one such other Fund, ChinaVest IV-A, L.P., a Delaware limited partnership (?CV4A?). An affiliate of CVP, ChinaVest Management Limited, a Bermuda corporation, is the general partner of the third venture Fund, ChinaVest IV-B, L.P., a Bermuda limited partnership (?CV4B?). CVP is filing this Form 5 by reason of its control of CV4, a 10%+ ownership of the Issuer during the fiscal year. Because CVP is the general partner of each of CV4 and CV4A, because the three Funds traditionally invest and divest side-by-side in portfolio investments, and because an affiliate of CVP is the general partner of CV4B, the sale of the common stock of the Issuer reported on this Form 5 include those shares legally owned by CV4A and CV4B. All of the shares owned by CV4, CV4A and CV4B were sold in the reported transactions during 2003 and this represents the final filing of such persons for the Issuer?s fiscal year ended July 31, 2004. |
Edward B. Collins, General Partner of ChinaVest Partners IV | 09/13/2004 | |
** Signature of Reporting Person | Date | |
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). | ||
** 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 procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |