-----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, AZmHJlJ4PcFjtHK+FMe+AnJiFpOhUU5aXBrdd46bdfAe/1v/AQSRB3dtoX+Bv+qh 5SwdZQBx04eJuCLLS9hbcg== 0000716101-99-000001.txt : 19990112 0000716101-99-000001.hdr.sgml : 19990112 ACCESSION NUMBER: 0000716101-99-000001 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19981231 FILED AS OF DATE: 19990111 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: EQUITEX INC CENTRAL INDEX KEY: 0000716101 STANDARD INDUSTRIAL CLASSIFICATION: INVESTORS, NEC [6799] IRS NUMBER: 840905189 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: SEC FILE NUMBER: 811-09187 FILM NUMBER: 99504538 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 COMPANY DATA: COMPANY CONFORMED NAME: FONG HENRY CENTRAL INDEX KEY: 0000864019 STANDARD INDUSTRIAL CLASSIFICATION: [] 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 4 1 FORM 4 STATEMENT OF CHANGES IN OWNERSHIP ------------------------------ OMB APPROVAL ------------------------------ OMB Number 3235-0287 Expires: September 30, 1998 Estimated average burden hours per response ....... 0.5 ------------------------------ 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 DECEMBER 1998 ================================================================================ 5. If Amendment, Date of Original (Month/Year) ================================================================================ 6. Relationship of Reporting Person to Issuer (Check all applicable) [ X ] Director [ X ] 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 12/04/98 M 24,000 A $3.00 - ------------------------------------------------------------------------------------------------------------------------------------ COMMON STOCK, $.02 PAR VALUE 12/04/98 S 24,000 D $3.00 - ------------------------------------------------------------------------------------------------------------------------------------ COMMON STOCK, $.02 PAR VALUE 12/31/98 G 17,000 D 785,484 D SEE(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 $3.00 12/28/ 07/04/ COMMON 30,500 D COMMON STOCK 1993 2000 STOCK - ------------------------------------------------------------------------------------------------------------------------------------ OPTION TO PURCHASE $3.00 12/04/ M 24, 12/28/ 07/04/ COMMON 24,000 102,045 D COMMON STOCK 1998 000 1993 2000 STOCK - ------------------------------------------------------------------------------------------------------------------------------------ OPTION TO PURCHASE $3.19 6/2/ 6/2/ COMMON 31,000 D COMMON STOCK 1998 2003 STOCK - ------------------------------------------------------------------------------------------------------------------------------------ OPTION TO PURCHASE $3.19 6/2/ 6/2/ COMMON 438,655 D COMMON STOCK 1998 2003 STOCK - ------------------------------------------------------------------------------------------------------------------------------------ ====================================================================================================================================
Explanation of Responses: (1) Of these shares, 736,544 are owned by a corporation in which reporting person is an officer and director; and 48,940 are owned by a partnership in which the reporting person is a general partner. /S/ HENRY FONG JANUARY 11, 1999 - --------------------------------------------- ----------------------- **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-----