UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Series A Convertible Preferred Shares | 06/17/2004 | Â (1) | Common Stock | 1,937,046 | $ 2.065 (2) | D | Â |
Warrants to purchase Common Stock | 12/20/2004 | 06/17/2015 | Common Stock | 433,149 | $ 3.1 | D | Â |
Series B Convertible Preferred Shares | 11/02/2005 | Â (3) | Common Stock | 3,955,070 | $ 1.2642 (4) | D | Â |
Warrants to purchase Common Stock | 11/02/2005 | 11/02/2015 | Common Stock | 1,483,151 | $ 1.26 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
EMC CORP 176 SOUTH STREET HOPKINTON, MA 01748 |
 |  X |  |  |
Paul T. Dacier, Senior Vice President and General Counsel | 11/10/2005 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Each share of Series A Convertible Preferred Stock is convertible at any time. |
(2) | Through an investment made on June 17, 2004, each of the Series A Convertible Preferred shares were convertible into a number of shares of common stock equal to its stated value of $26.4645 per share (subject to adjustment) divided by the conversion price of $2.6465 per share (subject to adjustment). As a result of the purchase of Series B Convertible Preferred Shares, each of the Series A Convertible Preferred shares now has a conversion price of $2.0650. |
(3) | Each share of Series B Convertible Preferred Stock is convertible at any time. |
(4) | Each of the Series B Convertible Preferred shares is convertible into a number of shares of common stock equal to its stated value of $12.6420 per share divided by the conversion price of $1.2642. |