UNITED STATES SECURITIES AND EXCHANGE COMMISSION OMB Approval
FORM 4 WASHINGTON, D.C. 20549 ------------------
|_| Check this box if no OMB Number 3235-0287
longer subject to Expires: January 31, 2005
Section 16. Form 4 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Estimated average burden
or Form 5 Hours per response....0.5
obligations may
continue Instruction
1(b).
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
(Print or Type Responses)
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1. Name and Address of Reporting Person* 2. Issuer Name and Ticker or Trading Symbol 6. Relationship of Reporting Person(s)
to Issuer
(Check all applicable)
LINTHICUM DAVID MERCATOR SOFTWARE, INC. (MCTR) Director 10% Owner
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(Last) (First) (Middle) 3. IRS Identification y 4. Statement for X Officer (give Other (specify
Number of Reporting Month/Day/Year --- title below) --- below)
c/o Mercator Software, Inc. Person, if an entity EXECUTIVE VP, R&D, AND CTO
45 Danbury Road (Voluntary) 1/2/2003 -------------------------------------
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(Street) 5. If Amendment, 7. Individual or Joint/Group Filing
Date of Original (Check Applicable Line)
(Month/Year) X Form filed by One Reporting Person
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Form filed by More than One
Wilton CT 06897 ---Reporting Person
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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- 2A. 3.Trans- 4. Securities Acquired 5. Amount of 6. Owner- 7.Nature of
(Instr. 3) action Deemed action (A) or Disposed of Securities ship Indirect
Date Execu- Code (D) (Instr. 3, 4 Beneficially Form: Beneficial
tion if and 5) Owned Following Direct Owner-
Date, (Instr. 8) Reported Trans- (D) or ship
if any --------- ----------------------- action(s) Indirect
(I)
(Month/ (Month/ (A)
Day/ Day/ or (Instr. 3 and
Year) Year) Code V Amount (D) Price 4) (Instr. 4) (Instr.4)
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Common Stock 3,211* D
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* Shares purchased through the Issuer's Employee Stock Purchase Plan ("ESPP").
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
(Over)
SEC 1474 (9-02)
FORM 4 (CONTINUED) TABLE II-- DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED
(E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES)
------------ ---------- --------- ------ ---------- ------------ ------------- ----------- -------- --------- ---------- ---------
1.Title of 2.Conver- 3.Trans- 3A. 4.Trans- 5.Number of 6.Date Exer- 7.Title and 8.Price 9.Number 10.Owner- 11.Nature
Derivative sion action Deemed action Derivative cisable and Amount of of of ship of
Security or Date, Execu- Code Securities Expiration Underlying Deriv- Deriv- Form Indirect
Instr. 3) Exercise if any tion (Instr. Acquired Date Securities Ative ative of Beneficial
Price of (Month/ Date, 8) (A)or (Month/Day/ (Instr. 3 Secur- Secur- Deriv- Ownership
Deri- Day/ if any Disposed of Year) and 4) ity ities ative (Instr.4)
vative Year) (D)(Instr. (Instr Bene- Security:
Security (Month/ 3, 4 and 5) 5) ficially Direct
Day/ Owned (D) or
Year) Follow- Indirect
---- --- ----- ----- ------- ------- ------- ------ ing Rep- (I)
Code V (A) (D) Date Expira- Title Amount orted (Instr.
Exer- tion or Transac- 4)
cisable Date Number tion(s)
of (Instr.4)
Shares
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Stock Option $0.95 1/2/2003 A 50,000 1/2/03 1/2/13 Common 50,000 50,000 D
(right to buy) per share See Note 1 Stock
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Explanation of Responses:
1. Became exercisable as to 25% of the shares on 1/2/03 and will become exercisable
as to the remainder quarterly through 1/2/07.
/s/ DAVID LINTHICUM 1/3/2003
**Intentional misstatements or omissions of facts constitute ------------------------------- ------------------
Federal Criminal Violations. **Signature of Reporting Person Date
SEE 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). DAVID LINTHICUM
Note: File three copies of this Form, one of which must be manually signed. If
space is insufficient, SEE Instruction 6 for procedure.
Potential persons who are to respond to the collection of information contained
in this form are not required to respond unless the form displays a currently
valid OMB Number.
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