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Previous: SCHRODER CAPITAL MANAGEMENT INC/NY, SC 13G, 1999-02-10 |
Next: IDENTIX INC, S-4/A, 1999-02-10 |
FORM 4
|_| Check this box if no longer
subject to Section 16.
Form 4 or Form 5
obligations may continue.
See Instruction 1(b).
U.S. SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
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
OMB Number: 3525-0287
Expires: September 30, 1998
Estimated average burden
hours per response. . . 0.5
<TABLE>
<S> <C> <C>
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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)
Warrantech Corp. - WTEC __x__Director __x__10% Owner
_____Officer ____Other
give title below) (specify below)
7. Individual or Joint/Group Filing
(check applicable line)
X Form filed by One Reporting Person
Tweed William
Form filed by More than One Reporting Person
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3. IRS or Social Security 4. Statement for
Number of Reporting Month/Year
Person (Voluntary)
(Last) (First) (Middle) January, 1999
c/o Warrantech Corporation, 300 Atlantic Street
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(Street) 5. If Amendment,
Date of Original
(Month/Year)
Stamford CT 06907
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(City) (State) (Zip)
Table I-- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1. Title of Security 2. Trans- 3. Trans- 4. Securities Acquired (A) 5. Amount of 6. Owner- 7. Nature of
(Instr. 3) action action or Disposed of (D) Securities ship Indirect
Date Code (Instr. 3, 4 and 5) Beneficially Form: Beneficial
(Month/ (Instr. 8) Owned at End Direct Ownership
Day/ of Month (D) or (Instr. 4)
Year) (Instr. 3 and 4) Indirect
(I)
(Instr. 4)
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Code V Amount (A) or (D) Price
Common Shares 1/1/99 A V 250 A D
Common Shares 1/27/99 S 62,000 D $2.16 1,882,725 (2)(3) D
Common Shares 49,500 I (1)
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***
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</TABLE>
* 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 beneficially
owned directly or indirectly.
<PAGE>
<TABLE>
<S> <C> <C> <C> <C> <C> <C> <C>
(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)
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1.Title of 2.Conver 3.Transac- 4.Transac- 5.Number of 6.Date Exer- 7.Title 8.Price of 9.Number of 10.Owner- 11. Nature of
Derivative sion or tion Date tion Code Derivative cisable and & Amount Derivative Deriva- ship form Indirect
Security Exercise (Month/ (Instr. 8) Securities Expiration of Under Security tive of Deriva Beneficial
(Instr.3) Price of Day/Year) Acquired (A) Date (Month lying Sec (Instr.5) Securities tive Sec Ownership
Deriv- or Disposal /Day/Year) urities Beneficially urity; (Instr.4)
ative (D)(Instr. 3, (Instr.3 Owned at End Direct(D)
Security 4, and 5) and 4) of Month or In-
(Instr.4) direct(I)
(Instr.4)
Date Expira- Amount or
Code V (A) (D) Exer- tion Title Number of
cisable Date Shares
- --------------------------------------------------------------------------------
None
- --------------------------------------------------------------------------------
===============================================================================
</TABLE>
Explanation of Responses:
(1) Does not include an aggregate of 7,500 shares owned by Mr. Tweed's mother
and sister, 30,000 shares held by Lisa Tweed Barnett Trust f/b/o Brynn
Ashley Collins and 60,000 shares held by Mr. Tweed's daughter, as to which
Mr. Tweed disclaims any beneficial interest. Includes 23,000 held by Mr.
Tweed for his daughter, 1,500 held by his wife and 25,000 held in trust.
Mr. Tweed disclaims any beneficial interest in these shares as well.
(2) Includes 300,000 held by Mr. Tweed subject to a purchase option agreement
with Dr. Michael Salpeter.
(3) The total number of shares held by Mr. Tweed has been previously reported
incorrectly and has now been corrected.
Note: File three copies of this Form, one of which must be manually signed.
If space provided is insufficient, see Instruction 6 for procedure.
/s/ William Tweed 2/10/99
- --------------------------------------------- -------
**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 procedure.
<PAGE>
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