-----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, TWLx8/soRsOMQXR4vPQPxhRxStflgR1HqBG8u48cGSaKCLTF5LUaPDhv/T07p0Eo HrV7H8Li71Ve8O7wiy75rQ== 0001181431-04-037736.txt : 20040729 0001181431-04-037736.hdr.sgml : 20040729 20040729175822 ACCESSION NUMBER: 0001181431-04-037736 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20040728 FILED AS OF DATE: 20040729 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: LUMERA CORP CENTRAL INDEX KEY: 0001137399 STANDARD INDUSTRIAL CLASSIFICATION: SEMICONDUCTORS & RELATED DEVICES [3674] BUSINESS ADDRESS: STREET 1: 19910 NORTH CREEK PARKWAY STREET 2: 19910 NORTH CREEK PARKWAY CITY: BOTHELL STATE: WA ZIP: 98011-3008 BUSINESS PHONE: 425-415-6847 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MICROVISION INC CENTRAL INDEX KEY: 0000065770 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRONIC COMPONENTS, NEC [3679] STATE OF INCORPORATION: WA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-32246 FILM NUMBER: 04940100 BUSINESS ADDRESS: STREET 1: 19910 NORTH CREEK PARKWAY CITY: BOTHELL STATE: WA ZIP: 98011-3008 BUSINESS PHONE: 4254156847 MAIL ADDRESS: STREET 1: P O BOX 3008 CITY: BOTHELL STATE: DE ZIP: 98011-3008 4 1 rrd49110.xml FORM 4 X0202 4 2004-07-28 0 0001137399 LUMERA CORP LMRA 0000065770 MICROVISION INC 19910 NORTH CREEK PARKWAY BOTHELL WA 98011 0 0 1 0 Common Stock 2004-07-28 4 C 0 300002 A 300002 D Common Stock 2004-07-28 4 C 0 433775 A 733777 D Common Stock 2004-07-28 4 C 0 4700000 A 5433777 D Series A Preferred Stock 2004-07-28 4 C 0 264000 0 D Common Stock 300002 0 D Series B Preferred Stock 2004-07-28 4 C 0 433775 0 D Common Stock 433775 0 D Class B Common Stock 2004-07-28 4 C 0 4700000 0 D Common Stock 4700000 0 D Series A Warrant (Right to Buy) 10.00 2004-07-28 4 J 0 150000 0 D 2011-03-14 Series A Preferred Stock 150000 0 D Common Stock Warrant (Right to Buy) 10.00 2004-07-28 4 J 0 170456 A 2011-03-14 Common Stock 170456 1 D Each share of Series A Preferred Stock was convertible into (10/8.79994) shares of Common Stock and automatically converted into such amount of Common Stock upon the closing of the Issuer's Initial Public Offering, for no additional consideration. Each share of Series B Preferred Stock and Class B Common Stock was convertible into 1 share of Common Stock and automatically converted into such amount of Common Stock upon the closing of the Issuer's Initial Public Offering, for no additional consideration. The Series A Warrant was immediately exerciseable. Upon the closing of the Issuer's Initial Public Offering, the Series A Warrant was not exercised but automatically converted into a Common Stock Warrant for no additional consideration. Because each share of Series A Preferred Stock was convertible into (10/8.79994) shares of Common Stock at the time of the closing, the number of shares of Common Stock underlying the Common Stock Warrant was determined by multiplying the number of shares of Series A Preferred Stock underlying the Series A Warrant by (10/8.79994). The Common Stock Warrant is immediately exerciseable. Microvision, Inc. By: Richard A. Raisig, Chief Financial Officer 2004-07-28 -----END PRIVACY-ENHANCED MESSAGE-----