-----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, HkbCdkZcJnoFVnKjxQn6lYdebsOBZaSV/o9XQeAQFyS/6CsO0qZFB6pEiLXe7fDf B9y1tQQUgV75XVLofqE+Mg== 0000932440-97-000245.txt : 19970912 0000932440-97-000245.hdr.sgml : 19970912 ACCESSION NUMBER: 0000932440-97-000245 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19970831 FILED AS OF DATE: 19970910 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: 97678274 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: ENNIS C EUGENE CENTRAL INDEX KEY: 0001026497 STANDARD INDUSTRIAL CLASSIFICATION: [] DIRECTOR 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 - AUGUST 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 Ennis, C. Eugene 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 August 1997 5. If Amendment, Date of Original (Month/Year) 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) (X) Director ( ) 10% Owner (X) Officer (give title below) ( ) Other (specify below) President and Chief Executive Officer 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|08/20/|P | |10,000 |A |$8.625 |269,267* |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)| | ___________________________________________________________________________________________________________________________________| Stock Option (Right to|n/a |01/04| | | | |** |01/04|Common Stock|20,144 |$0.19 |20,144 |D | | Buy) | |/94 | | | | | |/04 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Stock Option (Right to|n/a |07/23|A |V|100,000 |A |*** |07/23|Common Stock|100,000|$11.00 |100,000 |D | | Buy) | |/97 | | | | | |/07 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | | | | | ___________________________________________________________________________________________________________________________________|
Explanation of Responses: * Subsequent to the date of the reporting person's most recent previous ownership statement, the reporting person transferred 226,351 shares of the Issuer's Common Stock to the reporting person's former wife pursuant to a domestic relations order. Additionally, no fractional shares of Common Stock were issued in connection with either the conversion of the previously outstanding shares of the Issuer's Senior Redeemable Convertible Preferred Stock, Series C, par value $.01 per share (the "Series C Preferred") or the exercise of warrants to purchase Series C Preferred. As a result, the reporting person's most recent previous ownership report reflected ownership of six (6) shares of Common Stock never issued to the reporting person. ** On January 4, 1994, the reporting person was granted an option to purchase 20,144 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 August 31, 1997, 18,045 shares subject to the option had vested. The remaining shares will vest at the rate of 2.084% of the aggregate number of shares subject to the option at the end of each of the next succeeding five months. *** On July 23, 2997, the reporting person was granted an option to purchase 100,000 shares of Common Stock pursuant to the Issuer's 1994 Stock Option Plan, as amended. The shares subject to the option will vest at the 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 each of the next succeeding 24 months. SIGNATURE OF REPORTING PERSON /s/ C. Eugene Ennis DATE September 10, 1997
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