LUCID INC Forms 3, 4 and 5: Corporate Securities (Bonds and Notes)
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 8 rows, 8 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2011-12-30: Reporting owner Maggiotto Rocco J; Form 4; Security 8% Convertible Note Due 2012; Transaction C Conversion of derivative security.
- 2011-12-30: Reporting owner EASTMAN JAY M; Form 4; Security 8% Convertible Note Due 2012; Transaction C Conversion of derivative security.
- 2011-12-30: Reporting owner SHEA WILLIAM J; Form 4; Security 8% Convertible Note Due 2012; Transaction C Conversion of derivative security.
- 2011-12-30: Reporting owner SHEA WILLIAM J; Form 4; Security 8% Convertible Note Due 2012; Transaction C Conversion of derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2011-12-30 | Maggiotto Rocco J Director | 4 | 8% Convertible Note Due 2012 Derivative · Direct | C Conversion of derivative security | −18,323 0 owned after | $0.00 | 2012-01-04 | |
| 2011-12-30 | EASTMAN JAY M Officer (Chief Science Officer), 10% Owner | 4 | 8% Convertible Note Due 2012 Derivative · Direct | C Conversion of derivative security | −36,054 0 owned after | $0.00 | 2012-01-04 | |
| 2011-12-30 | SHEA WILLIAM J Director, 10% Owner | 4 | 8% Convertible Note Due 2012 Derivative · Direct | C Conversion of derivative security | −71,330 0 owned after | $0.00 | 2012-01-04 | |
| 2011-12-30 | SHEA WILLIAM J Director, 10% Owner | 4 | 8% Convertible Note Due 2012 Derivative · Direct | C Conversion of derivative security | −52,304 0 owned after | $0.00 | 2012-01-04 | |
| 2011-12-27 holding as of filing | EASTMAN JAY M Director, Officer (Chief Science Officer), 10% Owner | 3 | 8% Convertible Note due 2012 Derivative · Direct | Holding | no price filed | 2011-12-27 | ||
| 2011-12-27 holding as of filing | SHEA WILLIAM J Director, Officer (Executive Chairman of Board), 10% Owner | 3 | 8% Convertible Note due 2012 Derivative · Direct | Holding | no price filed | 2011-12-27 | ||
| 2011-12-27 holding as of filing | SHEA WILLIAM J Director, Officer (Executive Chairman of Board), 10% Owner | 3 | 8% Convertible Note due 2012 Derivative · Direct | Holding | no price filed | 2011-12-27 | ||
| 2011-12-27 holding as of filing | Maggiotto Rocco J Director | 3 | 8% Convertible Note due 2012 Derivative · Direct | Holding | no price filed | 2011-12-27 |