-----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, Pdh+yv6iIHeiIoA1HsJpFsLL+qTK30i0cL7sdI5buq3NYYywRhvJ+4HMxgiQmiuV MTnU3bSdgFCxpJFUeIGC7g== 0000932440-98-000002.txt : 19980113 0000932440-98-000002.hdr.sgml : 19980113 ACCESSION NUMBER: 0000932440-98-000002 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19971219 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: 98504893 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: 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 19, 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 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 19, 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 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|12/19/|G |V|10,000 | D |$3.1875 |345,448 |D | | 1 per share |97 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock, par value $.0|12/19/|G |V|5,000 |A |$3.1875 |5,000 |I |By Trust* | 1 per share |97 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Common Stock, par value $.0|12/19/|G |V|5,000 |A |$3.1875 |5,000 |I |By Trust** | 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 | | | | | | |immed|01/04|Common Stock|20,144 |$0.19 |20,144 |D | | (Right to Buy) | | | | | | |. |/04 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Employee Stock Option |$11.00 |7/23/|A |V|100,000 |A |*** |07/23|Common Stock|100,000|$11.00 |100,000 |D | | (Right to Buy) | |97 | | | | | |/07 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | | | | | ___________________________________________________________________________________________________________________________________|
Explanation of Responses: * These shares were transferred to a trust for the benefit of Mr. Duncan's son, Jeffrey Alexander Mcleod Duncan. Mr. Duncan is the sole trustee of the Trust and has both voting and dispository authority with respect to the shares of Common Stock transferred thereto. ** These shares were transferred to a trust for the benefit of Mr. Duncan's son, Andrew James Mcleod Duncan. Mr. Duncan is the sole trustee of this Trust and has both voting and dispository authority with respect to the shares of Common Stock transferred thereto. *** 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/ Peter M. Duncan DATE January 12, 1998 -----END PRIVACY-ENHANCED MESSAGE-----