-----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, T/Z63yJC4VfC0J3zMIT/zHkKir3lC6EJsx67cbPdN/aaavMKyINmcT9bQpt6FUjW coPOXb11C54t8uMuZWAvsQ== 0000899243-97-001921.txt : 19971010 0000899243-97-001921.hdr.sgml : 19971010 ACCESSION NUMBER: 0000899243-97-001921 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19970926 FILED AS OF DATE: 19971009 SROS: NONE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: SI DIAMOND TECHNOLOGY INC CENTRAL INDEX KEY: 0000891417 STANDARD INDUSTRIAL CLASSIFICATION: GENERAL INDUSTRIAL MACHINERY & EQUIPMENT [3560] IRS NUMBER: 760273345 STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: SEC FILE NUMBER: 001-11602 FILM NUMBER: 97693250 BUSINESS ADDRESS: STREET 1: 12100 TECHNOLOGY BOULEVARD CITY: AUSTIN STATE: TX ZIP: 78727 BUSINESS PHONE: 5123310200 MAIL ADDRESS: STREET 1: 12100 TECHNOLOGY BOULEVARD CITY: AUSTIN STATE: TX ZIP: 78727 COMPANY DATA: COMPANY CONFORMED NAME: SCHMIDT HOWARD K CENTRAL INDEX KEY: 0001033769 STANDARD INDUSTRIAL CLASSIFICATION: [] DIRECTOR STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 12100 TECHNOLOGY BLVD CITY: AUSTIN STATE: TX ZIP: 78727 MAIL ADDRESS: STREET 1: 1300 POST OAK BLVD STREET 2: SUITE 1750 CITY: HOUSTON STATE: TX ZIP: 77056 4 1 FORM 4 U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 4 OMB APPROVAL ----------------------------- [x] Check this box if no longer OMB NUMBER: 3235-0287 subject to Section 16. Form 4 Expires: April 30, 1997 or Form 5 obligations may Estimated average burden continue. SEE Instruction 1(b). hours per response ...... 0.5 ----------------------------- STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 1. Name and Address of Reporting Person SCHMIDT HOWARD K. - -------------------------------------------------------------------------------- (Last) (First) (Middle) 12100 TECHNOLOGY BLVD. - -------------------------------------------------------------------------------- (Street) AUSTIN TX 78727 - -------------------------------------------------------------------------------- (City) (State) (Zip) - -------------------------------------------------------------------------------- 2. Issuer Name and Ticker or Trading Symbol S.I. DIAMOND TECHNOLOGY, INC. (SIDT) - -------------------------------------------------------------------------------- 3. IRS or Social Security Number of Reporting Person (Voluntary) - -------------------------------------------------------------------------------- 4. Statement for Month/Year 9/97 - -------------------------------------------------------------------------------- 5. If Amendment, Date of Original (Month/Year) - -------------------------------------------------------------------------------- 6. Relationship of Reporting Person to Issuer (Check all applicable) (1) X Director 10% Owner ----- ------ Officer (give Other (Specify ----- title below) ------ below) ---------------------------------- - --------------------------------------------------------------------------------
Table 1 -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned 1. Title of Security 2. Trans- 3. Trans- 4. Securities Acquired (A) 5. Amount of 6. Ownership 7. Nature (Instr. 3) action action or Disposed of (D) Securities Form: of Indirect Date Code Beneficially Direct Beneficial (Instr. 8) (Instr. 3,4 and 5) Owned at (D) or Ownership (Month/ ------------ -------------------------- End of Month Indirect (Instr. 4) Day/ Code V Amount (A) or Price (Instr. 3 (I) Year) (D) and 4) (Instr. 4) - -------------------------- ---------- ------ ---- -------- ------ ------ -------------- ------------ ------------- COMMON STOCK 9/26/97 S 8,000 D 23/32 - -------------------------- ---------- ------ ---- -------- ------ -------- -------------- ------------ ------------- COMMON STOCK 9/26/97 S 2,000 D 3/4 - -------------------------- ---------- ------ ---- -------- ------ -------- -------------- ------------ ------------- COMMON STOCK 10/02/97 S 10,000 D 11/16 576,900 - -------------------------- ---------- ------ ---- -------- ------ -------- -------------- ------------ ------------- 1,500 I (2) - -------------------------- ---------- ------ ---- -------- ------ -------- -------------- ------------ ------------- - -------------------------- ---------- ------ ---- -------- ------ -------- -------------- ------------ ------------- - -------------------------- ---------- ------ ---- -------- ------ ------ -------------- ------------ ------------- - -------------------------- ---------- ------ ---- -------- ------ ------ -------------- ------------ ------------- - -------------------------- ---------- ------ ---- -------- ------ ------ -------------- ------------ ------------- - -------------------------- ---------- ------ ---- -------- ------ ------ -------------- ------------ ------------- - -------------------------- ---------- ------ ---- -------- ------ ------ -------------- ------------ -------------
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. (Print or Type Responses) (Over) SEC 1473 (8-92) ++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++ FORM 4 (continued)
Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) 1. Title of Derivative Security 2. Conversion 3. Transaction 4. Transacation 5. Number of Derivative 6. Date Exercisable (Instr. 3) or Exercise Date Code Securities Acquired (A) and Expiration Price of (Month/Day/ (Instr. 8) or Disposed of (D) Date Derivative Year) (Instr. 3, 4, and 5) (Month/Day/ Security Year) --------------- -------------------------- ------------------- Code V (A) (D) Date Expiration Exer- Date cisable - ------------------------------- -------------- -------------- -------- ----- --------------- ---------- -------- ---------- - ------------------------------- -------------- -------------- -------- ----- --------------- ---------- -------- ---------- - ------------------------------- -------------- -------------- -------- ----- --------------- ---------- -------- ---------- - ------------------------------- -------------- -------------- -------- ----- --------------- ---------- -------- ---------- - ------------------------------- -------------- -------------- -------- ----- --------------- ---------- -------- ---------- - ------------------------------- -------------- -------------- -------- ----- --------------- ---------- -------- ---------- - ------------------------------- -------------- -------------- -------- ----- --------------- ---------- -------- ---------- - ------------------------------- -------------- -------------- -------- ----- --------------- ---------- -------- ---------- - ------------------------------- -------------- -------------- -------- ----- --------------- ---------- -------- ----------
7. Title and Amount of 8. Price of Derivative 9. Number of Derivative 10. Ownership Form 11. Nature of Indirect Underlying Securities Security (Instr. 5) Securities Beneficially of Derivative Security: Beneficial Ownership (Instr. 3 and 4) Owned at End of Month Direct (D) or (Instr. 4) Instr. 4) Indirect (I) (Instr. 4) - ------------------------ Title Amount or Number of Shares - ------------------------ ---------------------- -------------------------- --------------------------- ------------------------ - ------------------------ ---------------------- -------------------------- --------------------------- ------------------------ - ------------------------ ---------------------- -------------------------- --------------------------- ------------------------ - ------------------------ ---------------------- -------------------------- --------------------------- ------------------------ - ------------------------ ---------------------- -------------------------- --------------------------- ------------------------ - ------------------------ ---------------------- -------------------------- --------------------------- ------------------------ - ------------------------ ---------------------- -------------------------- --------------------------- ------------------------ - ------------------------ ---------------------- -------------------------- --------------------------- ------------------------ - ------------------------ ---------------------- -------------------------- --------------------------- ------------------------
Explanation of Responses: (1) Resigned as Director; effective May 13, 1997. (2) 1,500 shares of Common Stock are held in the name of Dr. Schmidt's daughter. **Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). /s/ Howard K. Schmidt 10/9/97 _______________________________ ______________ **Signature of Reporting Person Date by: Howard K. Schmidt Note: File three copies of this Form, one of which must be manually signed. If space provided is insufficient, See Instruction 6 for procedure. Page 2 SEC 1474 (8-92) -----END PRIVACY-ENHANCED MESSAGE-----