-----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, Noac0yUfR+/gXvqGohlQ62osej8g1o+Ol840QpQOyxw7aw97IvTG1ue/HLwnbNYL DnZ4Uow4TrmXceUQcjSe7A== 0000914760-01-500045.txt : 20010613 0000914760-01-500045.hdr.sgml : 20010613 ACCESSION NUMBER: 0000914760-01-500045 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20010531 FILED AS OF DATE: 20010612 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: APPIANT TECHNOLOGIES INC CENTRAL INDEX KEY: 0001025985 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMPUTER INTEGRATED SYSTEMS DESIGN [7373] IRS NUMBER: 841360852 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: 4 SEC ACT: SEC FILE NUMBER: 000-21999 FILM NUMBER: 1659125 BUSINESS ADDRESS: STREET 1: 6663 OWENS DRIVE STREET 2: STE 250 CITY: PLEASANTON STATE: CA ZIP: 94588- BUSINESS PHONE: 9252513333 MAIL ADDRESS: STREET 1: 6663 OWENS DRIVE STREET 2: SUITE 265 CITY: PLEASANTON STATE: CA ZIP: 94588- FORMER COMPANY: FORMER CONFORMED NAME: NHANCEMENT TECHNOLOGIES INC DATE OF NAME CHANGE: 19961028 COMPANY DATA: COMPANY CONFORMED NAME: BALDWIN L THOMAS III CENTRAL INDEX KEY: 0001121605 STANDARD INDUSTRIAL CLASSIFICATION: [] DIRECTOR FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 141 WEST JACKSON BLVD STREET 2: SUITE 2850 CITY: CHICAGO STATE: IL ZIP: 60604 BUSINESS PHONE: 3124609200 MAIL ADDRESS: STREET 1: 141 WEST JACKSON BLVD STREET 2: SUITE 2850 CITY: CHICAGO STATE: IL ZIP: 60604 4 1 b61758f32.txt FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 4 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP ( ) Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instructions 1(b). 1. Name and Address of Reporting Person Baldwin, III, L. Thomas 141 West Jackson Boulevard, Suite 2850 Chicago, IL 60606 USA 2. Issuer Name and Ticker or Trading Symbol Appiant Technologies, Inc. APPS 3. IRS or Social Security Number of Reporting Person (Voluntary) 4. Statement for Month/Year May 2001 5. If Amendment, Date of Original (Month/Year) 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) (X) 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
___________________________________________________________________________________________________________________________________ Table I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ___________________________________________________________________________________________________________________________________| 1. Title of Security |2. |3. |4.Securities Acquired (A) |5.Amount of |6.Dir |7.Nature of Indirect | | Transaction | or Disposed of (D) | Securities |ect | Beneficial Ownership | | | | | Beneficially |(D)or | | | | | | | A/| | Owned at |Indir | | | Date |Code|V| Amount | D | Price | End of Month |ect(I)| | ___________________________________________________________________________________________________________________________________| No change from prior statem| | | | | | | | | | ent. | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| ___________________________________________________________________________________________________________________________________| ___________________________________________________________________________________________________________________________________ Table II -- Derivative Securitites Acquired, Disposed of, or Beneficially Owned | ___________________________________________________________________________________________________________________________________| 1.Title of Derivative |2.Con- |3. |4. |5.Number of De |6.Date Exer|7.Title and Amount |8.Price|9.Number |10.|11.Nature of| Security |version |Transaction | rivative Secu |cisable and| of Underlying |of Deri|of Deriva |Dir|Indirect | |or Exer | | | rities Acqui |Expiration | Securities |vative |tive |ect|Beneficial | |cise | | | red(A) or Dis |Date(Month/| |Secu |Securities |(D)|Ownership | |Price of| | | posed of(D) |Day/Year) | |rity |Benefi |or | | |Deriva- | | | |Date |Expir| | |ficially |Ind| | |tive | | | | A/|Exer-|ation| Title and Number | |Owned at |ire| | |Secu- | | | | | D |cisa-|Date | of Shares | |End of |ct | | |rity |Date |Code|V| Amount | |ble | | | |Month |(I)| | ___________________________________________________________________________________________________________________________________| Convertible Promissory|(1) |5/31/|A |V|(1) |A |6/21/| |Common Stock|(1) |150,000|(1) |D | | Note | |01 | | | | |01 | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock Warrant (|1.57 |5/31/|A |V|30,000 |A |immed| |Common Stock|30,000 |(2) |30,000 |D | | right to buy) | |01 | | | | |iate | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | | | | | ___________________________________________________________________________________________________________________________________| Explanation of Responses: (1) The number of shares into which the promissory note may be converted is equal to the amount due under the Promissory Note divided by a conversion price determined by taking 90% of the exercise or conversion price (or exchange factor) applicable to any security received in any interim financing subsequent to the date of the Promissory Note ("Interim Financing") which is exercisable or convertible into or exchangeable for shares of Common Stock of the Issuer (or securities which are exercisable or convertible into or exchangeable for Issuer's Common Stock). If there is no Interim Financing on or before the maturity date (June 21, 2001), then the reporting person may choose to convert the amount due from the Issuer into shares at 90% of the closing price of the Issuer's Common Stock on the trading day immediately preceding the maturity date. (2) Additional consideration for convertible promisorry note.
SIGNATURE OF REPORTING PERSON /s/ L. Thomas Baldwin, III DATE June 11, 2001 -----END PRIVACY-ENHANCED MESSAGE-----