-----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, OfDQQNaIjOQufSGDbgjgky1NcIgV1fniMajm/7jiiczoKdVCkb8EpkPTFGGtzSBM 6OrfQkufGM0rMLYYcVu2IA== 0000932440-97-000010.txt : 19970113 0000932440-97-000010.hdr.sgml : 19970113 ACCESSION NUMBER: 0000932440-97-000010 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970110 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: 1934 Act SEC FILE NUMBER: 000-21841 FILM NUMBER: 97503841 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: DUNCAN PETER M CENTRAL INDEX KEY: 0001026498 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/1996 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 Duncan, Peter M. 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/1996 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 Technology and Treasurer 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|12/26/|P | |1,137 |A |$11.00 | |D | | 1 per share |96 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock, par value $.0|12/26/|C | |4,323 |A |n/a |355,448 |D | | 1 per share |96 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Redeemable Preferred Stock,|12/26/|J | |308 |D |$100.00* |-0- |D | | Series B, par value $.01 p|96 | | | | | | | | | er share | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| ___________________________________________________________________________________________________________________________________| ___________________________________________________________________________________________________________________________________ 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)| | ___________________________________________________________________________________________________________________________________| Warrant to purchase Se|$5.80 |12/26|X | |413 |D |immed|12/26|Senior Redee|413 | |-0- |D | | nior Redeemable Prefer| |/96 | | | | |iate |/96 |mable Conver| | | | | | red Stock, Series C, | | | | | | | | |tible Prefer| | | | | | | | | | | | | | |red Stock, S| | | | | | | | | | | | | | |eries C, | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| par value $.01 per sha| | | | | | | | |par value $.| | | | | | re | | | | | | | | |01 per share| | | | | | | | | | | | | | | ("Series C | | | | | | | | | | | | | | |Preferred") | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Series C Preferred |1-for-1 |12/26|X | |413 - |A,D|immed|12/26|Common Stock|413 | | |D | | | |/96 | | | | |iate |/96 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Series C Preferred |1-for-1 |12/26|F | |218 |D |immed|12/26|Common Stock|218 | | |D | | | |/96 | | | | |iate |/96 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Series C Preferred |1-for-1 |12/26|C | |4,323 |D |immed|12/26|Common Stock|4,323 | |-0- |D | | | |/96 | | | | |iate |/96 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | | | | | ___________________________________________________________________________________________________________________________________|
Explanation of Responses: * The reported securities were called for redemption by the Issuer at a price of $100 per share. SIGNATURE OF REPORTING PERSON /s/ Peter M. Duncan DATE January 8, 1997 -----END PRIVACY-ENHANCED MESSAGE-----