LUCID INC Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 12 rows, 12 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2012-09-30: Reporting owner SHEA WILLIAM J; Form 4; Security Common Stock Warrant; Transaction J Other acquisition or disposition (describe transaction).
- 2012-09-30: Reporting owner SHEA WILLIAM J; Form 4; Security Common Stock Warrant; Transaction J Other acquisition or disposition (describe transaction).
- 2012-09-30: Reporting owner SHEA WILLIAM J; Form 4; Security Common Stock Warrant; Transaction J Other acquisition or disposition (describe transaction).
- 2012-09-30: Reporting owner SHEA WILLIAM J; Form 4; Security Common Stock Warrant; Transaction J Other acquisition or disposition (describe transaction).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2012-09-30 | SHEA WILLIAM J Director | 4 | Common Stock Warrant Derivative · Direct | J Other acquisition or disposition (describe transaction) | −4,276 96,410 owned after | $8.22 exercise price | 2012-10-02 | |
| 2012-09-30 | SHEA WILLIAM J Director | 4 | Common Stock Warrant Derivative · Direct | J Other acquisition or disposition (describe transaction) | −12,500 83,910 owned after | $9.22 exercise price | 2012-10-02 | |
| 2012-09-30 | SHEA WILLIAM J Director | 4 | Common Stock Warrant Derivative · Direct | J Other acquisition or disposition (describe transaction) | −71,410 12,500 owned after | $5.04 exercise price | 2012-10-02 | |
| 2012-09-30 | SHEA WILLIAM J Director | 4 | Common Stock Warrant Derivative · Direct | J Other acquisition or disposition (describe transaction) | −12,500 0 owned after | $9.22 exercise price | 2012-10-02 | |
| 2012-01-05 holding as of filing | Northeast LCD Capital, LLC 10% Owner | 3 | Warrant to Purchase Common Stock Derivative · Direct | Holding | $9.22 exercise price | 2012-01-05 | ||
| 2012-01-05 holding as of filing | Northeast LCD Capital, LLC 10% Owner | 3 | Warrant to Purchase Common Stock Derivative · Direct | Holding | $5.04 exercise price | 2012-01-05 | ||
| 2011-12-30 | SHEA WILLIAM J Director, 10% Owner | 4 | Warrant to Purchase Common Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +71,410 71,410 owned after | $5.04 exercise price | 2012-01-04 | |
| 2011-12-27 holding as of filing | EASTMAN JAY M Director, Officer (Chief Science Officer), 10% Owner | 3 | Warrant to Purchase Common Stock Derivative · Direct | Holding | $8.22 exercise price | 2011-12-27 | ||
| 2011-12-27 holding as of filing | SHEA WILLIAM J Director, Officer (Executive Chairman of Board), 10% Owner | 3 | Warrant to Purchase Common Stock Derivative · Direct | Holding | $4.85 exercise price | 2011-12-27 | ||
| 2011-12-27 holding as of filing | SHEA WILLIAM J Director, Officer (Executive Chairman of Board), 10% Owner | 3 | Warrant to Purchase Common Stock Derivative · Direct | Holding | $8.22 exercise price | 2011-12-27 | ||
| 2011-12-27 holding as of filing | SHEA WILLIAM J Director, Officer (Executive Chairman of Board), 10% Owner | 3 | Warrant to Purchase Common Stock Derivative · Direct | Holding | $9.22 exercise price | 2011-12-27 | ||
| 2011-12-27 holding as of filing | Maggiotto Rocco J Director | 3 | Warrant to Purchase Common Stock Derivative · Direct | Holding | $8.22 exercise price | 2011-12-27 |