-----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, Je7Bf9s26BrgcewcXRHuTq//nrsgz09b6NgROF9FPi/5kUIVtQ6zWmWQ68pVMih/ Ensg5NtP/HBYrht7Cp6E6A== 0000950123-02-000154.txt : 20020413 0000950123-02-000154.hdr.sgml : 20020413 ACCESSION NUMBER: 0000950123-02-000154 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20011231 FILED AS OF DATE: 20020108 COMPANY DATA: COMPANY CONFORMED NAME: WHITE JEFF J CENTRAL INDEX KEY: 0001085014 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] DIRECTOR STATE OF INCORPORATION: CT FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: WARRANTECH CORP STREET 2: 300 ATLANTIC ST CITY: STAMFORD STATE: CT ZIP: 06901 MAIL ADDRESS: STREET 1: WARRANTECH CORP STREET 2: 300 ATLANTIC ST CITY: STAMFORD STATE: CT ZIP: 06901 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: WARRANTECH CORP CENTRAL INDEX KEY: 0000735571 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-BUSINESS SERVICES, NEC [7389] IRS NUMBER: 133178732 STATE OF INCORPORATION: DE FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-13084 FILM NUMBER: 2503700 BUSINESS ADDRESS: STREET 1: 300 ATLANTIC ST CITY: STAMFORD STATE: CT ZIP: 06901 BUSINESS PHONE: 2039751100 MAIL ADDRESS: STREET 1: 300 ATLANTIC STREET STREET 2: 300 ATLANTIC STREET CITY: STAMFORD STATE: CT ZIP: 06901 4 1 y56293de4.txt FORM 4
FORM 4 OMB APPROVAL --------------------------- [ ] Check this box if no longer U.S. SECURITIES AND EXCHANGE COMMISSION OMB Number: 3525-0287 subject to Section 16. Form WASHINGTON, D.C. 20549 Expires: September 30, 1998 4 or Form 5 obligations may Estimated average burden continue. See Instruction 1(b). STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP hours per response: .. 0.5 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 - ------------------------------------------------------------------------------------------------------------------------------------ 1. Name and Address of Reporting Person*| 2. Issuer Name and Ticker or Trading Symbol | 6. Relationship of Reporting Person | | to Issuer (Check all applicable) WHITE JEFFREY | WARRANTECH CORPORATION -- WTEC | - -------------------------------------------------------------------------------------------| X Director X 10% Owner (Last) (First) (Middle) | 3. IRS or Social | 4. Statement for | ----- ----- | Security Number | Month/Year | Officer (give title below) C/O MARCHON EYEWEAR, INC. | of Reporting | | ----- 35 HUB DRIVE | Person (Voluntary) | 12/01 | Other (specify below) - ----------------------------------------| | | ----- (Street) | ###-##-#### | | | | | -------------------------------- MELVILLE NY 11747 | | | - ----------------------------------------| |-------------------------|---------------------------------------- (City) (State) (Zip) | | 5. If Amendment, | 7. Individual or Joint/Group Filing | | Date of Original | (check applicable line) | | (Month/Year) | | | | X Form filed by One Reporting | | | ----- Person | | | | | | Form filed by One Reporting | | | ----- Person | | | - ------------------------------------------------------------------------------------------------------------------------------------ Table I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned - ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of Security | 2. Transaction | 3. Transaction | 4. Securities Acquired (A)| 5. Amount of | 6. Ownership | 7. Nature (Instr. 3) | Date | Code | or Disposed of (D) | Securities | Form: Direct | of Indirect | (Month/Day/ | (Instr. 8) | (Instr. 3, 4 and 5) | Beneficially | (D) or | Beneficial | Year) | | | Owned at End | Indirect (I) | Ownership | |----------------|---------------------------| of Month | (Instr. 4) | (Instr. 4) | | Code | V | Amount | (A) | Price | (Instr. 3 | | | | | | | or | | and 4) | | | | | | | (D) | | | | - ------------------------|----------------|-------|--------|--------|------|-----------|--------------|--------------|--------------- COMMON STOCK | 4/01/01 | A | V | 375 | A | -- | 1,595,529(1) | D | -- - ------------------------|----------------|-------|--------|--------|------|-----------|--------------|--------------|--------------- COMMON STOCK | 7/01/01 | A | V | 375 | A | -- | 1,595,904(1) | D | -- - ------------------------|----------------|-------|--------|--------|------|-----------|--------------|--------------|--------------- COMMON STOCK | 10/01/01 | A | V | 375 | A | -- | 1,596,279(1) | D | -- - ------------------------|----------------|-------|--------|--------|------|-----------|--------------|--------------|--------------- | | | | | | | 244 | I | BY RNJH | | | | | | | | | ASSOC., LTD. - ------------------------|----------------|-------|--------|--------|------|-----------|--------------|--------------|--------------- | | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ (Print or Type Responses)
FORM 4 (CONTINUED) TABLE II - DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED (E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES) - ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of Derivative Security|2. Conversion |3. Transaction |4. Transaction | 5. Number of | 6. Date Exer- |7. Title and Amount (Instr. 3) |or Exercise |Date | Code | Derivative | cisable and |of Underlying |Price of | | (Instr. 8) | Securities | Expiration Date |Securities |Derivative | (Month/Day/ | | Acquired (A) | (Month/Day/Year) |(Instr. 3 and 4) |Security | Year) | | or Disposed | | | | | | of (D) |-------------------------------------- | | | | (Instr. 3, | Date | Expir- | | Amount or | | | | 4, and 5) | Exer- | ation | Title | Number of | | |---------------|--------------| cisable | Date | | Shares | | | Code | V | (A) | (D) | | | | - ------------------------------------------------------------------------------------------------------------------------------------ OPTION TO PURCHASE STOCK | $1.3125 | | | | | | 4/05/01 | 4/05/11|COMMON | 25,000 | | | | | | | | |STOCK | - -------------------------------|--------------|---------------|-------|-------|------|-------|---------|--------|--------|---------- | | | | | | | | | | - -------------------------------|--------------|---------------|-------|-------|------|-------|---------|--------|--------|---------- | | | | | | | | | | - -------------------------------|--------------|---------------|-------|-------|------|-------|---------|--------|--------|---------- | | | | | | | | | | - -------------------------------|--------------|---------------|-------|-------|------|-------|---------|--------|--------|---------- | | | | | | | | | | - -------------------------------|--------------|---------------|-------|-------|------|-------|---------|--------|--------|---------- | | | | | | | | | | - -------------------------------|--------------|---------------|-------|-------|------|-------|---------|--------|--------|---------- | | | | | | | | | | - -------------------------------|--------------|---------------|-------|-------|------|-------|---------|--------|--------|---------- | | | | | | | | | | - -------------------------------|--------------|---------------|-------|-------|------|-------|---------|--------|--------|---------- | | | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------ 8. Price of |9. Number of | 10. Ownership |11. Nature of | Derivative | Derivative | Form of | Indirect | Security | Securities | Derivative | Beneficial | (Instr. 5) | Beneficially | Security; | Ownership | | Owned at End | Direct (D) or | (Instr. 4) | | of Month | Indirect (I) | | | (Instr. 4) | (Instr. 4) | | - -------------------------------------------------------------------| | 25,000 | D | -- | | | | | - --------------|----------------|-------------------|---------------| | | | | - --------------|----------------|-------------------|---------------| | | | | - --------------|----------------|-------------------|---------------| | | | | - --------------|----------------|-------------------|---------------| | | | | - --------------|----------------|-------------------|---------------| | | | | - --------------|----------------|-------------------|---------------| | | | | - --------------|----------------|-------------------|---------------| | | | | - --------------|----------------|-------------------|---------------| | | | | - -------------------------------------------------------------------- Explanation of Responses: (1) Does not include an aggregate of 17,000 Shares owned /s/ JEFFREY WHITE JANUARY 7, 2002 by Mr. White's mother and sister, as to which he disclaims ------------------------------------ ----------------- any beneficial interest. **Signature of Reporting Person Date * If the Form is filed by more than one Reporting Person, see Instruction 4(b)(v). Reminder: Report on a separate line for each class of securities owned directly or Indirectly. ** 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 provided is insufficient, See Instruction 6 for procedure.
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