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4//SEC Filing

SOFTBANK CAPITAL PARTNERS LP 4

Accession 0001253646-03-000003

CIK 0001003740other
View on SEC.govCompany Profile

Filed

Nov 11, 7:00 PM ET

Accepted

Nov 12, 4:06 PM ET

Size

18.8 KB

Accession

0001253646-03-000003

Insider Transaction Report

Form 4
Period: 2002-12-30
VIE FINANCIAL GROUP INCVIEF
SB CAPITAL MANAGERS LLC
10% Owner
Transactions
  • Award

    Warrants

    2002-12-30+4,464,286→ 4,464,286 total(indirect: See Footnote)
    Exercise: $0.04From: 2002-12-30Exp: 2005-12-30→ Common Stock (4,464,286 underlying)
  • Other

    Series H Convertible Preferred Stock

    2003-10-29$100.00/sh+14,933$1,493,300→ 49,933 total(indirect: See Footnote)
    Exercise: $0.01From: 2004-09-30→ Common Stock (280,227,685 underlying)
Footnotes (14)
  • [F1]$.005329 represents (i) the purchase price for the Series H Convertible Preferred Stock divided by (ii) the number of shares of Common Stock that the Series H Convertible Preferred Stock is initially convertible into. Each share of Series H Convertible Preferred Stock is initially convertible into approximately 18,765 shares of common stock of the issuer.
  • [F10]Consists of 2,232,054 warrants owned of record by SOFTBANK Capital Partners LP, a Delaware limited partnership ("SB Capital Partners"), 2,193,705 warrants owned of record by SOFTBANK Capital LP, a Delaware limited partnership ("SB Capital"), and 38,527 warrants owned of record by SOFTBANK Capital Advisors Fund LP, a Delaware limited partnership ("Advisors Fund").
  • [F11]Consists of 2,232,054 shares owned of record by SOFTBANK Capital Partners LP, a Delaware limited partnership ("SB Capital Partners"), 2,193,705 shares owned of record by SOFTBANK Capital LP, a Delaware limited partnership (SB Capital"), and 38,527 shares owned of record by SOFTBANK Capital Advisors Fund LP, a Delaware limited partnership ("Advisors Fund").
  • [F12]Not applicable.
  • [F13]The shares are directly owned by SOFTBANK Capital Partners LP, a Delaware limited partnership ("SB Capital Partners"), SOFTBANK Capital LP, a Delaware limited partnership ("SB Capital"), and SOFTBANK Capital Advisors Fund LP, a Delaware limited partnership ("Advisors Fund").
  • [F14]SOFTBANK Capital Partners LLC, a Delaware limited liability company ("SB CP LLC"), is the sole general partner of each of SB Capital Partners, SB Capital and Advisors Fund (the "SB Funds"), and, pursuant to the Limited Liability Company Agreement of SB CP LLC, all investment decisions on behalf of SB CP LLC must be approved by SB Capital Managers LLC, a Delaware limited liability company ("SB CM LLC"); accordingly, securities owned by the SB Funds may be regarded as being beneficially owned by SB CP LLC and SB CM LLC. Each of SB Capital Partners, SB Capital, Advisors Fund, SB CP LLC and SB CM LLC disclaims beneficial ownership of securities owned by any other person or entity except to the extent of its respective pecuniary interest, if any, therein.
  • [F2]Shares acquired through the conversion of the principal and interest due under promissory notes issued by the issuer to SOFTBANK Capital Partners LP, SOFTBANK Capital LP and SOFTBANK Advisors Fund LP, each a Delaware limited partnership (the "SB Funds"), pursuant to the Loan Agreement, dated December 30, 2002, by the issuer, the SB Funds and Draper Fisher Jurvetson ePlanet Ventures L.P., a Cayman Islands limited partnership, Draper Fisher Jurvetson ePlanet Partners Fund, L.L.C., a California limited liability partnership, and Draper Fisher Jurvetson ePlanet Ventures GmbH & Co., a German partnership.
  • [F3]Consists of 7,466 shares owned of record by SOFTBANK Capital Partners LP, a Delaware limited partnership ("SB Capital Partners"), 7,338 shares owned of record by SOFTBANK Capital LP, a Delaware limited partnership ("SB Capital"), and 129 shares owned of record by SOFTBANK Capital Advisors Fund LP, a Delaware limited partnership ("Advisors Fund").
  • [F4]The shares are convertible immediately at the option of the issuer. The earliest date that the shares are convertible by the holders thereof is 09/30/2004.
  • [F5]Consists of 140,108,238 shares held by SOFTBANK Capital Partners LP, a Delaware limited partnership ("SB Capital Partners"), 137,701,082 shares held by SOFTBANK Capital LP, a Delaware limited partnership ("SB Capital"), and 2,418,365 shares held by SOFTBANK Capital Advisors Fund LP, a Delaware limited partnership ("Advisors Fund").
  • [F6]None.
  • [F7]$100 per share.
  • [F8]Consists of 24,965 shares owned of record by SOFTBANK Capital Partners LP, a Delaware limited partnership ("SB Capital Partners"), 24,537 shares owned of record by SOFTBANK Capital LP, a Delaware limited partnership ("SB Capital"), and 431 shares owned of record by SOFTBANK Capital Advisors Fund LP, a Delaware limited partnership ("Advisors Fund").
  • [F9]$.0448 represents the exercise price for one warrant to be exercised for one share of Common Stock.

Documents

1 file

Issuer

VIE FINANCIAL GROUP INC

CIK 0001003740

→
Entity typeother
IncorporatedDE

Related Parties

1
  • filerCIK 0001091819

Filing Metadata

Form type
4
Filed
Nov 11, 7:00 PM ET
Accepted
Nov 12, 4:06 PM ET
Size
18.8 KB
View on SEC.gov