-----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, Gsq05bANo1OWpyLv5Haf6mMLtRL3DxmEfXMNLShvmrPYdh3a5kWjgmB6gJGIUkll BqPTV0EKffMnSKC+KGrSEw== 0000932440-98-000003.txt : 19980113 0000932440-98-000003.hdr.sgml : 19980113 ACCESSION NUMBER: 0000932440-98-000003 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19971222 FILED AS OF DATE: 19980112 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: 3DX TECHNOLOGIES INC CENTRAL INDEX KEY: 0000915518 STANDARD INDUSTRIAL CLASSIFICATION: CRUDE PETROLEUM & NATURAL GAS [1311] IRS NUMBER: 760386601 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: SEC FILE NUMBER: 000-21841 FILM NUMBER: 98505005 BUSINESS ADDRESS: STREET 1: 12012 WICKCHESTER STREET 2: SUITE 250 CITY: HOUSTON STATE: TX ZIP: 77079 BUSINESS PHONE: 2815793390 MAIL ADDRESS: STREET 1: 12012 WICKCHESTER STREET 2: SUITE 250 CITY: HOUSTON STATE: TX ZIP: 77079 COMPANY DATA: COMPANY CONFORMED NAME: SCHUCHARDT JOSEPH III CENTRAL INDEX KEY: 0001026501 STANDARD INDUSTRIAL CLASSIFICATION: [] OFFICER FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: KELLEY DRYE & WARREN LLP STREET 2: TWO STAMFORD PLAZA 281 TRESSER BLVD CITY: STAMFORD STATE: CT ZIP: 06901 BUSINESS PHONE: 2033518113 4 1 FORM 4 - DECEMBER 22, 1997 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 4 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP ( ) Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instructions 1(b). 1. Name and Address of Reporting Person Schuchardt III, Joseph c/o 3DX Technologies Inc. 12012 Wickchester, Suite 250 Houston, TX 77079-1218 2. Issuer Name and Ticker or Trading Symbol 3DX Technologies Inc. TDXT 3. IRS or Social Security Number of Reporting Person (Voluntary) 4. Statement for Month/Year December 22, 1997 5. If Amendment, Date of Original (Month/Year) 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) ( ) Director ( ) 10% Owner (X) Officer (give title below) ( ) Other (specify below) Vice President of Business Development 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 Acquired, Disposed of, or Beneficially Owned | ___________________________________________________________________________________________________________________________________| 1. Title of Security |2. |3. |4.Securities Acquired (A) |5.Amount of |6.Dir |7.Nature of Indirect | | Transaction | or Disposed of (D) | Securities |ect | Beneficial Ownership | | | | | Beneficially |(D)or | | | | | | | A/| | Owned at |Indir | | | Date |Code|V| Amount | D | Price | End of Month |ect(I)| | ___________________________________________________________________________________________________________________________________| Common Stock, par value $.0|12/22/|P | |10,000 |A |$2.50 |41,697 |D | | 1 per share |97 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| ___________________________________________________________________________________________________________________________________| ___________________________________________________________________________________________________________________________________ Table II -- Derivative Securitites Acquired, Disposed of, or Beneficially Owned | ___________________________________________________________________________________________________________________________________| 1.Title of Derivative |2.Con- |3. |4. |5.Number of De |6.Date Exer|7.Title and Amount |8.Price|9.Number |10.|11.Nature of| Security |version |Transaction | rivative Secu |cisable and| of Underlying |of Deri|of Deriva |Dir|Indirect | |or Exer | | | rities Acqui |Expiration | Securities |vative |tive |ect|Beneficial | |cise | | | red(A) or Dis |Date(Month/| |Secu |Securities |(D)|Ownership | |Price of| | | posed of(D) |Day/Year) | |rity |Benefi |or | | |Deriva- | | | |Date |Expir| | |ficially |Ind| | |tive | | | | A/|Exer-|ation| Title and Number | |Owned at |ire| | |Secu- | | | | | D |cisa-|Date | of Shares | |End of |ct | | |rity |Date |Code|V| Amount | |ble | | | |Month |(I)| | ___________________________________________________________________________________________________________________________________| Employee Stock Option | | | | | | |* |01/04|Common Stock|166,381|$0.19 |166,381 |D | | (Right to Buy) | | | | | | | |/04 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Option | | | | | | |** |02/07|Common Stock|10,000 |$11.875|10,000 |D | | (Right to Buy) | | | | | | | |/07 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | | | | | ___________________________________________________________________________________________________________________________________|
Explanation of Responses: * On January 4, 1994, the reporting person was granted an option to purchase 166,381 shares of Common Stock (as adjusted for the .517-to-1 reverse split occurring in connection with the Issuer's initial public offering of Common Stock), pursuant to the Issuer's 1994 Stock Option Plan, as amended. As of December 31, 1997, the reporting person had a vested interest in 162,914 shares subject to the option. The remaining shares subject to the option will vest on January 31, 1998. ** On February 7, 1997, the reporting person was granted an option to purchase 10,000 shares of Common Stock pursuant to the Issuer's 1994 Stock Option Plan, as amended. The shares subject to the option vest at a rate of 25% of the aggregate number of shares subject to the option on each of the first and second anniversary of the date of the option grant and thereafter the shares subject to the option will vest monthly at the rate of 2.084% at the end of the next succeeding 24 months. SIGNATURE OF REPORTING PERSON /s/ Joseph Schuchardt III DATE January 12, 1998
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