-----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, J2efhyIiSEt9y9UpnNmymee7WExR82OMVHDsCQKE49f8nOZVJny8SLFf+RcFubfR A7bqsF3bVVNjOCwknbvf9g== 0000716101-02-000018.txt : 20020415 0000716101-02-000018.hdr.sgml : 20020415 ACCESSION NUMBER: 0000716101-02-000018 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20020228 FILED AS OF DATE: 20020311 COMPANY DATA: COMPANY CONFORMED NAME: FONG HENRY CENTRAL INDEX KEY: 0000864019 DIRECTOR FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 7315 E PEAKVIEW AVE BLDG 8 STREET 2: GREENWOOD EXECUTIVE PARK CITY: ENGLEWOOD STATE: CO ZIP: 80111 BUSINESS PHONE: 3037968940 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: EQUITEX INC CENTRAL INDEX KEY: 0000716101 STANDARD INDUSTRIAL CLASSIFICATION: MORTGAGE BANKERS & LOAN CORRESPONDENTS [6162] IRS NUMBER: 840905189 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-12374 FILM NUMBER: 02572588 BUSINESS ADDRESS: STREET 1: 7315 E PEAKVIEW AVE STREET 2: GREENWOOD EXECUTIVE PARK BLDG 8 CITY: ENGLEWOOD STATE: CO ZIP: 80111 BUSINESS PHONE: 3037968940 MAIL ADDRESS: STREET 1: 7315 EAST PEAKVIEW AVENUE CITY: ENGLEWOOD STATE: CO ZIP: 80111-6701 4 1 eqtxhfform42-02.txt FEBRUARY 2002 STATEMENT OF OWNERSHIP CHANGES U.S. 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 of Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). ================================================================================ 1. Name and Address of Reporting Person FONG HENRY - -------------------------------------------------------------------------------- (Last) (First) (Middle) 7315 EAST PEAKVIEW AVENUE - -------------------------------------------------------------------------------- (Street) ENGLEWOOD COLORADO 80111 - -------------------------------------------------------------------------------- (City) (State) (Zip) ================================================================================ 2. Issuer Name and Ticker or Trading Symbol EQUITEX, INC. (EQTX) ================================================================================ 3. IRS or Social Security Number of Reporting Person (Voluntary) ================================================================================ 4. Statement for Month/Year FEBRUARY 2002 ================================================================================ 5. If Amendment, Date of Original (Month/Year) ================================================================================ 6. Relationship of Reporting Person to Issuer (Check all applicable) [ X ] Director [ ] 10% Owner [ X ] Officer (give title below) [ ] Other (specify below) PRESIDENT AND TREASURER -------------------------------------------------------------------- ================================================================================ 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 ================================================================================
6. 4. 5. Owner- Securities Acquired (A) or Amount of ship 3. Disposed of (D) Securities Form: 7. Transaction (Instr. 3, 4 and 5) Beneficially Direct Nature of 2. Code ------------------------------- Owned at End (D) or Indirect 1. Transaction (Instr. 8) (A) of Month Indirect Beneficial Title of Security Date ------------ Amount or Price (Instr. 3 (I) Ownership (Instr. 3) (mm/dd/yy) Code V (D) and 4) (Instr.4) (Instr. 4) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ COMMON STOCK, $.02 PAR VALUE 02/07/02 P 500 A 3.15 - ------------------------------------------------------------------------------------------------------------------------------------ COMMON STOCK, $.02 PAR VALUE 02/15/02 P 500 A 3.15 - ------------------------------------------------------------------------------------------------------------------------------------ COMMON STOCK, $.02 PAR VALUE 02/27/02 P 1,300 A 2.96 - ------------------------------------------------------------------------------------------------------------------------------------ COMMON STOCK, $.02 PAR VALUE 02/28/02 P 500 A 2.80 - ------------------------------------------------------------------------------------------------------------------------------------ COMMON STOCK, $.02 PAR VALUE 02/28/02 P 3,600 A 2.85 - ------------------------------------------------------------------------------------------------------------------------------------ COMMON STOCK, $.02 PAR VALUE 02/28/02 P 2,500 A 2.90 - ------------------------------------------------------------------------------------------------------------------------------------ COMMON STOCK, $.02 PAR VALUE 02/28/02 P 3,500 A 2.99 791,975 D(1) - ------------------------------------------------------------------------------------------------------------------------------------ ====================================================================================================================================
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly FORM 4 (continued) Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) ================================================================================
9. 10. Number Owner- of ship 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) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ OPTION TO PURCHASE $6.75 1/5/ 1/4/ COMMON 469, 469,700 D COMMON STOCK 1999 2004 STOCK 700 - ------------------------------------------------------------------------------------------------------------------------------------ OPTION TO PURCHASE $5.50 4/17/ 4/17/ COMMON 476, 476,000 D COMMON STOCK 2000 2005 STOCK 000 - ------------------------------------------------------------------------------------------------------------------------------------ WARRANT TO $0.02 8/6/ 11/10/ COMMON 9,902 9,902 D PURCHASE COMMON 2001 2004 STOCK STOCK - ------------------------------------------------------------------------------------------------------------------------------------ WARRANT TO $5.65 8/6/ 11/10/ COMMON 39, 39,337 D PURCHASE COMMON 2001 2004 STOCK 337 STOCK ====================================================================================================================================
Explanation of Responses: (1) Of these shares, 431,719 are owned by a corporation in which reporting person is an officer and director. /S/ HENRY FONG MARCH 11, 2002 - --------------------------------------------- ----------------------- **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 provided is insufficient, see Instruction 6 for procedures. -----END PRIVACY-ENHANCED MESSAGE-----