-----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, FzGf0t0E6/c0Ip6c5NFLkpDEIetEUodlRWno3e5tn34zuGLB+pedeowBqgyWe7aM JyI59HuyG++bxuonjOwH/A== 0000895345-96-000129.txt : 19960710 0000895345-96-000129.hdr.sgml : 19960710 ACCESSION NUMBER: 0000895345-96-000129 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19960709 SROS: NONE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: HEARX LTD CENTRAL INDEX KEY: 0000821536 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-RETAIL STORES, NEC [5990] IRS NUMBER: 222748248 STATE OF INCORPORATION: DE FISCAL YEAR END: 1230 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-11655 FILM NUMBER: 96592538 BUSINESS ADDRESS: STREET 1: 471 SPENCER DRIVE CITY: WEST PALM BEACH STATE: FL ZIP: 33409 BUSINESS PHONE: 4074788770 MAIL ADDRESS: STREET 1: 471 SPENCER DRIVE CITY: WEST PALM BEACH STATE: FL ZIP: 33409 COMPANY DATA: COMPANY CONFORMED NAME: MINNESOTA MINING & MANUFACTURING CO CENTRAL INDEX KEY: 0000066740 STANDARD INDUSTRIAL CLASSIFICATION: ABRASIVE ASBESTOS & MISC NONMETALLIC MINERAL PRODUCTS [3290] OWNER IRS NUMBER: 410417775 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 3M CENTER CITY: ST PAUL STATE: MN ZIP: 55144-1000 BUSINESS PHONE: 6127331110 4 1 FORM 4 U.S. SECURITIES AND EXCHANGE COMMISSION OMB APPROVAL WASHINGTON, D.C. 20549 OMB NUMBER: 3235-0287 [ ] Check this box if no longer Expires: April 30, 1997 subject to Section 16. Form 4 Estimate average burden or Form 5 obligations may STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP hours per response.....0.5 continue. See Instructions 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 1.Name and Address of Reporting Person 2. Issuer Name and Ticker 6. Relationship of Reporting Person to Issuer or Trading Symbol (Check all applicable) Minnesota Mining and Manufacturing Director X 10% Owner Company HEARx, Ltd. / Ticker: EAR ----- ----- (Last) (First) (Middle) 3. IRS or Social Security 4. Statement for Officer (give Other Number of Reporting Month/Year ----- title ----- (specify Attention: Gregg M. Larson, Assistant Person (voluntary) below) below) General Counsel 3/96 (Street) 41-0417775 5. If Amendment, Date of Original 3M Center (Month/Year) -------------------------------- (City) (State) (Zip) N/A St. Paul MN 55144
TABLE I NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED 1. Title of Security 2. Trans- 3. Trans- 4. Securities Acquired 5. Amount of 6. Owner- 7. Nature (Instr. 3) action action (A)or Disposed of (D) Securities ship of Date Code Benefic- Form: Indirect (Instr. 8) (Instr. 3, 4 and 5) ially Direct Bene- (Month/ Owned at (D) or ficial Day/ Code V Amount (A) or Price End of Indirect Owner- Year) (D) Month (I) ship (Instr. 3 (Instr. (Instr. and 4) 4) 4) Common Stock (former Sr. Pfd. Series A) 3/15/96 C[1] 3,000,000 A 3,000,000 D Common Stock (former Sr. Pfd. Series B) 3/15/96 C[1] 2,250,000 A 2,250,000 D Common Stock (former Sr. Pfd. Series D) 3/15/96 C[1] 1,492,600 A 1,492,600 D Common Stock (former Sr. Pfd. Series E) 3/15/96 C[1] 647,200 A 647,200 D Common Stock (former Sr. Pfd. Series G) 3/15/96 C[1] 1,492,600 A 1,492,600 D [1] On March 15, 1996, the Issuer listed its Common Stock on the American Stock Exchange. As a result of the listing, the Preferred Stock of the Issuer and the Warrants and Options to purchase Preferred Stock of the Issuer, then held by the Reporting Person, automatically converted by their terms to Common Stock (or Options or Warrants to purchase Common Stock) at a ratio of 1:100. Exempt pursuant to Rule 16b-6(b). Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. (Over) (Print or Type Responses) SEC 1474 (8-92)
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- 4.Transac- 5.Number of 6.Date Exer- 7.Title 8.Price 9.Number 10.Owner- 11.Na- Derivative sion or action tion Code Derivative cisable and Amount of of Deriv- ship ture Security Exercise Date (Instr. 8) Securities and Expir- of Under- Deriv- ative Form of In- (Instr. 3) Price (Month/ Acquired (A) ation Date lying ative Secur- of De- direct of Day/ or Disposed (Month/ Securities Secur- ities rivative Bene- Deriva- Year) of (D) Day/Year) ity Bene- Secu- ficial tive (Instr. 3, (Instr. 3 (Instr. ficially rity; Own- Security 4, and 5) and 4) 5) Owned Direct ership at End (D) or (Instr. Amount of Indi- 4) Date Expir- or Month rect (I) Exer- ation Title Number (Instr. (Instr. cisa- Date of 4) 4) Code (A) (D) ble Shares Sr. Pfd. Series A 1:100 3/15/96 C[1] 30,000 immed. Common 3,000,000 -0- D Sr. Pfd. Series B 1:100 3/15/96 C[1] 22,500 immed. Common 2,250,000 -0- D Sr. Pfd. Series D 1:100 3/15/96 C[1] 14,926 immed. Common 1,492,600 -0- D Sr. Pfd. Series E 1:100 3/15/96 C[1] 6,472 immed. Common 647,200 -0- D Sr. Pfd. Series G 1:100 3/15/96 C[1] 14,926 immed. Common 1,492,600 -0- D Warrants to Purchase Sr. Pfd. Series C $.01 3/15/96 C[1] 11,000 immed. 2/22/98 Sr.Pfd. 11,000 -0- D Series C Warrants to Purchase Common Stock (former Sr. Pfd. Series C) $.0001 3/15/96 C[1] 11,000 immed. 2/22/98 Common 1,100,000 11,000 D Option to Purchase Sr. Pfd. Series F $125.00 3/15/96 C[1] 8,000 immed. 4/30/97 Sr.Pfd. 8,000 -0- D Series F Option to Purchase Common Stock (Former Sr. Pfd. Series F) $1.25 3/15/96 C[1] 8,000 immed. 4/30/97 Common 800,000 8,000 D Explanation of Responses: MINNESOTA MINING AND MANUFACTURING COMPANY By: /s/ Roger P.Smith 7-9-96 ** Intentional misstatements or omissions of facts constitute ---------------------------- ----------- Federal Criminal Violations. See 18 U.S.C. 1001 and Roger P. Smith Date 15. U.S.C. 78ff(a). Corporate Secretary Note: File three copies of this Form, one of which must be manually signed. Page 2 If space provided is insufficient, see Instruction 6 for procedure. SEC 1474 (8-92)
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