-----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, AxO+YCxdCR6+cpney5v5fNBriABa1wSRu+mhz3VW7hQLl8fWVPdrIiPxSWPYJNfY 00jj45phnAx6529dM24TIQ== 0000843006-99-000001.txt : 19990108 0000843006-99-000001.hdr.sgml : 19990108 ACCESSION NUMBER: 0000843006-99-000001 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19981220 FILED AS OF DATE: 19990107 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: DOCUCON INCORPORATED CENTRAL INDEX KEY: 0000843006 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMPUTER PROGRAMMING, DATA PROCESSING, ETC. [7370] IRS NUMBER: 742418590 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: SEC FILE NUMBER: 001-10185 FILM NUMBER: 99502063 BUSINESS ADDRESS: STREET 1: 7461 CALLAGHAN RD CITY: SAN ANTONIO STATE: TX ZIP: 78229 BUSINESS PHONE: 2105259221 MAIL ADDRESS: STREET 1: 7461 CALLAGHAN ROAD CITY: SAN ANTONIO STATE: TX ZIP: 78229 COMPANY DATA: COMPANY CONFORMED NAME: DOCUCON INCORPORATED CENTRAL INDEX KEY: 0000843006 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMPUTER PROGRAMMING, DATA PROCESSING, ETC. [7370] OFFICER IRS NUMBER: 742418590 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 BUSINESS ADDRESS: STREET 1: 7461 CALLAGHAN RD CITY: SAN ANTONIO STATE: TX ZIP: 78229 BUSINESS PHONE: 2105259221 MAIL ADDRESS: STREET 1: 7461 CALLAGHAN ROAD CITY: SAN ANTONIO STATE: TX ZIP: 78229 3 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 3 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 1. Name and Address of Reporting Person Barratt, Warren 1419 Evie Lane West Chester, PA 19382 2. Date of Event Requiring Statement (Month/Day/Year) 12/20/98 3. I.R.S. Identification Number of Reporting Person, if an entity (Voluntary) 4. Issuer Name and Ticker or Trading Symbol Docucon, Inc. (DOCU) 5. Relationship of Reporting Person to Issuer (Check all applicable) [ ] Director [ ] 10% Owner [X] Officer (give title below) [ ] Other (specify below) CFO 6. If Amendment, Date of Original (Month/Day/Year) 7. Individual or Joint/Group Filing (Check Applicable Line) [X] Form filed by One Reporting Person [ ] Form filed by More than One Reporting Person
Table I Non-Derivative Securities Beneficially Owned - ----------------------------------------------------------------------------------------------------- 1)Title of Security 2)Amount of 3) 4)Nature of Securities D Indirect Beneficially or Beneficial Owned I Ownership - ----------------------------------------------------------------------------------------------------- Table II Derivative Securitites Beneficially Owned - ------------------------------------------------------------------------------------------------------------------------------------ 1)Title of Derivative Security 2)Date Exercisable 3)Title and Amount of 4)Conver- 5)Ownership 6)Nature of and Expiration Date Securities Underlying sion or Form of Indirect (Month/Day/Year) Derivative Security exercise Derivative Beneficial price of Security Ownership Date Expira- Amount or Deri- Direct(D) Exer- tion Number of vative or cisable Date Title Shares Security Indirect(I) - ------------------------------------------------------------------------------------------------------------------------------------ Incentive Stock Option (right to06/20/99 12/20/08 Common Stock 25,000 $0.880 D Direct buy) (1) (2) Non-Qualified Stock Option 12/20/05 12/20/05 Common Stock 75,000 $0.880 D Direct (right to buy) (3) Explanation of Responses: (1) Beneficial holdings reflected on this report do not include changes in the reporting person's holdings of securities resulting from participation in the issuer's qualified employee stock plan since the last filing of a report disclosing transactions related to such participation (2) Incentive stock option becoming exercisable in equal semi-annual installments over an eighteen month period, at the rate of 33% per six month period commencing six months after the date of grant. (3) Stock option has provisions for time accelerated vesting rights. (4) Incentive Stock Option Employee stock option (right to buy) granted pursuant to the Docucon, Inc. 1998 Executive Stock Option Plan, in reliance upon the exemption provided by former Rule 16b-3, subject to shareholder approval.
SIGNATURE OF REPORTING PERSON /S/ Barratt, Warren DATE
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