-----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, QR7HzonYOV6DB9KsGMSb6ZzBDZoMDo7CDwAkKEp3RUb+a7Zno4mAJHltQ8jPR7au SLncIE99cfk1RPE4olnm3g== 0000950123-01-509093.txt : 20020412 0000950123-01-509093.hdr.sgml : 20020412 ACCESSION NUMBER: 0000950123-01-509093 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20011130 FILED AS OF DATE: 20011210 COMPANY DATA: COMPANY CONFORMED NAME: MILLER LLOYD I III CENTRAL INDEX KEY: 0000949119 STANDARD INDUSTRIAL CLASSIFICATION: [] OWNER FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 4650 GORDON DRIVE CITY: NAPLES STATE: FL ZIP: 33940 BUSINESS PHONE: 9412628577 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: FAIRMARKET INC CENTRAL INDEX KEY: 0001053676 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-BUSINESS SERVICES, NEC [7389] IRS NUMBER: 043351937 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-29423 FILM NUMBER: 1809443 BUSINESS ADDRESS: STREET 1: 500 UNICORN PARK DR CITY: WOBURN STATE: MA ZIP: 01801 BUSINESS PHONE: 7813765600 MAIL ADDRESS: STREET 1: 500 UNICORN PARK DRIVE CITY: WOBURN STATE: MA ZIP: 01801 4 1 y55639fme4.txt FORM 4 -------------------------------- OMB APPROVAL -------------------------------- OMB Number 3235-0287 Expires: September 30, 1998 Estimated average burden hours per response.......... 0.5 -------------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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 67 Check this box if no longer subject to Section 16. Form 4 or Form 5 [_] obligations may continue. (Print or Type Responses) - -------------------------------------------------------------------------------- 1. Name and Address of Reporting Person* Miller, III Lloyd I - -------------------------------------------------------------------------------- (Last) (First) (Middle) 4550 Gordon Drive - -------------------------------------------------------------------------------- (Street) Naples FL 34102 - -------------------------------------------------------------------------------- (City) (State) (Zip) - -------------------------------------------------------------------------------- 2. Issuer Name and Ticker or Trading Symbol Fairmarket Inc. - FAIM - -------------------------------------------------------------------------------- 3. IRS or Social Security Number of Reporting Person (Voluntary) ###-##-#### - -------------------------------------------------------------------------------- 4. Statement for Month/Year November, 2001 - -------------------------------------------------------------------------------- 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) [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 ================================================================================
6. 4. 5. Owner- Securities Acquired (A) or Amount of ship 3. Disposed of (D) Securities Form: 7. 2. Transaction (Instr. 3, 4 and 5) Beneficially Direct Nature of Transaction Code ------------------------------- Owned at End (D) or Indirect 1. Date (Instr. 8) (A) of Month Indirect Beneficial Title of Security (Month/Day/ ------------ Amount or Price (Instr. 3 (I) Ownership (Instr. 3) Year) Code V (D) and 4) (Instr. 4) (Instr. 4) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 11/26/01 P 4,900 A $1.1 I By Lloyd I. Miller, III, Trust C - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 11/28/01 P 2,000 A $1.05 I By Lloyd I. Miller, III, Trust C - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 11/30/01 P 9,600 A $1.0517 582,959(1) I By Lloyd I. Miller, III, Trust C - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 11/5/01 P 10,400 A $0.9942 I By Milfam II, L.P. - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 11/7/01 P 5,300 A $0.98 I By Milfam II, L.P. - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 11/27/01 P 11,100 A $1.10 884,275 I By Milfam II, L.P. - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 1,051,188(1) I By Lloyd I. Miller, III, Trust A-4 ====================================================================================================================================
Page 1 of 4 FORM 4 (CONTINUED) Table II -- DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED (E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES) ================================================================================
10. 9. Owner- Number ship of Form 2. Deriv- of Conver- 5. 7. ative Deriv- 11. sion Number of Title and Amount Secur- ative Nature or Derivative 6. of Underlying 8. ities Secur- of Exer- 4. Securities Date Securities Price Bene- ity: In- cise 3. Trans- Acquired (A) Exercisable and (Instr. 3 and 4) of ficially Direct direct Price Trans- action or Disposed Expiration Date ---------------- Deriv- Owned (D) or Bene- 1. of action Code of (D) (Month/Day/Year) Amount ative at End In- ficial Title of Deriv- Date (Instr. (Instr. 3, ---------------- or Secur- of direct Owner- Derivative ative (Month/ 8) 4, and 5) Date Expira- Number ity Month (I) ship Security Secur- Day/ ------ ------------ Exer- tion of (Instr. (Instr. (Instr. (Instr. (Instr. 3) ity Year) Code V (A) (D) cisable Date Title Shares 5) 4) 4) 4) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ ====================================================================================================================================
EXPLANATION OF RESPONSES: (1) The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. Lloyd I. Miller, III 12/10/01 - --------------------------------------------- ----------------------- **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 procedure. 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. Page 2 of 4 - -------------------------------------------------------------------------------- 1. Name and Address of Reporting Person Miller, III Lloyd I. - -------------------------------------------------------------------------------- 2. Issuer Name and Ticker or Trading Symbol Fairmarket Inc. -FAIM - -------------------------------------------------------------------------------- 3. Statement for Month/Year. November, 2001 - -------------------------------------------------------------------------------- (Continued) ================================================================================ TABLE I -- NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF OR BENEFICIALLY OWNED ================================================================================
6. 4. 5. Owner- Securities Acquired (A) or Amount of ship 3. Disposed of (D) Securities Form: 7. 2. Transaction (Instr. 3, 4 and 5) Beneficially Direct Nature of Transaction Code ------------------------------- Owned at End (D) or Indirect 1. Date (Instr. 8) (A) of Month Indirect Beneficial Title of Security (Month/Day ------------ Amount or Price (Instr. 3 (I) Ownership (Instr. 3) Year) Code V (D) and 4) (Instr. 4) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 599,065 D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 176,253(1) I By Milfam I, L.P. - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 15,400(1) I Lloyd I. Miller, III, LLC - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 15,000(1) I By Lloyd I. Miller, III, co-trustee, Crider GST - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 9,000(1) I By Wife - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 10,500(1) I By Lloyd I. Miller, III, custodian under Florida UGMA for Tyler Dulmage - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 10,500(1) I By Lloyd I. Miller, III, custodian under Florida UGMA for Wylie Dulmage - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 15,400(1) I By Lloyd I. Miller, III, Trustee GST f/b/o Kimberly I. Miller ====================================================================================================================================
Page 3 of 4 - -------------------------------------------------------------------------------- 1. Name and Address of Reporting Person: Miller, III Lloyd I. - -------------------------------------------------------------------------------- 2. Issuer Name and Ticker or Trading Symbol Fairmarket Inc. - FAIM - -------------------------------------------------------------------------------- 3. Statement for Month/Year. November, 2001 - -------------------------------------------------------------------------------- (Continued) ================================================================================ TABLE I -- NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF OR BENEFICIALLY OWNED ================================================================================
6. 4. 5. Owner- Securities Acquired (A) or Amount of ship 3. Disposed of (D) Securities Form: 7. 2. Transaction (Instr. 3, 4 and 5) Beneficially Direct Nature of Transaction Code ------------------------------- Owned at End (D) or Indirect 1. Date (Instr. 8) (A) of Month Indirect Beneficial Title of Security (Month/Date ------------ Amount or Price (Instr. 3 (I) Ownership (Instr. 3) Year) Code V (D) and 4) (Instr. 4) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock 12,800(1) I By Lloyd I. Miller, III, custodian under Florida UGMA for Alexandra B. Miller - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock 12,900(1) I By Lloyd I. Miller, III, Trustee GST f/b/o Catherine C. Miller - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ ====================================================================================================================================
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