-----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, N5ru6yDMYExvOJblH00xRbILvGqGrn2Vfe1KKEX4jcNhekrx1LeStsta2kQ4qP0J 103t/VEVR+UVRPFwG+UNzg== 0000932440-96-000114.txt : 19961220 0000932440-96-000114.hdr.sgml : 19961220 ACCESSION NUMBER: 0000932440-96-000114 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19961219 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: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-21841 FILM NUMBER: 96683346 BUSINESS ADDRESS: STREET 1: 12012 WICKCHESTER STREET 2: SUITE 250 CITY: HOUSTON STATE: TX ZIP: 77084 BUSINESS PHONE: 7135793398 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: 3 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 3 1 FORM 3 - DECEMBER 19, 1996 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 Schuchardt III, Joseph c/o 3DX Technologies Inc. 12012 Wickchester, Suite 250 Houston, TX 77079-1218 2. Date of Event Requiring Statement (Month/Day/Year) December 19, 1996 3. IRS or Social Security Number of Reporting Person (Voluntary) 4. Issuer Name and Ticker or Trading Symbol 3DX Technologies Inc. TDXT 5. 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 6. If Amendment, Date of Original (Month/Day/Year) 7. Individual or Joint/Group Filing (Check Applicable Line) ( ) 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. Ownership |4. Nature of Indirect | | Securities | Form: | Beneficial Ownership | | Beneficially | Direct(D) or | | | Owned | Indirect(I) | | ___________________________________________________________________________________________________________________________________| Common Stock, par value $.01 per share |15,107 |D | | - -----------------------------------------------------------------------------------------------------------------------------------| Redeemable Preferred Stock, Series B, par v|616 |D | | alue $.01 per share | | | | - -----------------------------------------------------------------------------------------------------------------------------------| ___________________________________________________________________________________________________________________________________| ___________________________________________________________________________________________________________________________________ Table II -- Derivative Securitites Beneficially Owned | ___________________________________________________________________________________________________________________________________| 1.Title of Derivative |2.Date Exer- |3.Title and Amount | |4. Conver-|5. Owner- |6. Nature of Indirect | Security | cisable and | of Underlying | |sion or |ship | Beneficial Ownership | | Expiration | Securities | |exercise |Form of | | | Date(Month/ |-----------------------|---------|price of |Deriv- | | | Day/Year) | |Amount |deri- |ative | | | Date | Expira- | |or |vative |Security: | | | Exer- | tion | Title |Number of|Security |Direct(D) or | | | cisable | Date | |Shares | |Indirect(I) | | ___________________________________________________________________________________________________________________________________| Warrant to purchase Seni|Immediate|12/24/96 |Senior Redeemable Conve|772 |$5.80 |D | | or Redeemable Convertibl| | |rtible Preferred | | | | | e Preferred Stock, | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Series C, par value $.01| | |Stock, Series C, par v| | | | | per share | | |alue $.01 per share | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| | | |("Series C Preferred") | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Series C Preferred |Immediate|12/24/96 |Common Stock |8,492* |** |D | | - -----------------------------------------------------------------------------------------------------------------------------------| Stock Option (Right to B|*** |01/04/04 |Common Stock |166,381 |$0.19 |D | | uy) | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| ___________________________________________________________________________________________________________________________________|
Explanation of Responses: * Includes shares of Series C Preferred issuable upon exercise of Warrant to purchase Series C Preferred. ** Upon consummation of the Issuer's initial public offering of Common Stock, each issued and outstanding share of Series C Preferred will automatically convert into one share of Common Stock. *** 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 stock split occuring 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 1, 1995, 25% of the aggregate number of shares subject to the option had vested. The remaining shares will vest at the rate of 25% of the aggregate number of shares subject to the option on December 1, 1996 and thereafter at the rate of 2.084% at the end of each of the next succeeding 24 months. SIGNATURE OF REPORTING PERSON /s/ Joseph Schuchardt III DATE December 19, 1996 -----END PRIVACY-ENHANCED MESSAGE-----