-----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, AsTKmx2tzfyD1ll43W3yLoA3JpowZaDmlIJAGqgw3+hMeoP9h9rWsiHeQy5fsk7l Xj2C94ZWzZJlFPFq8Oe2Og== 0000950144-99-009410.txt : 19990809 0000950144-99-009410.hdr.sgml : 19990809 ACCESSION NUMBER: 0000950144-99-009410 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19990726 FILED AS OF DATE: 19990730 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: 3 SEC ACT: SEC FILE NUMBER: 001-11602 FILM NUMBER: 99675207 BUSINESS ADDRESS: STREET 1: 3006 LONGHORN BOULEVARD STREET 2: SUITE 107 CITY: AUSTIN STATE: TX ZIP: 78758 BUSINESS PHONE: 5123315020 MAIL ADDRESS: STREET 1: 12100 TECHNOLOGY BOULEVARD CITY: AUSTIN STATE: TX ZIP: 78727 COMPANY DATA: COMPANY CONFORMED NAME: MARTIN NICOLAS JR CENTRAL INDEX KEY: 0001092276 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] DIRECTOR FILING VALUES: FORM TYPE: 3 BUSINESS ADDRESS: STREET 1: 3006 LONGHORN BOULEVARD CITY: AUSTIN STATE: TX ZIP: 78758 MAIL ADDRESS: STREET 1: 3006 LONGHORN BOULEVARD CITY: AUSTIN STATE: TX ZIP: 78758 3 1 SI DIAMOND TECHNOLOGY INC/NICHOLAS MARTIN JR 1
FORM 3 - EDGAR PICKUP - 90-91 - -------- -------------------------------- FORM 3 | OMB APPROVAL | - -------- |------------------------------| |OMB Number: 3235-0104| |Expires: September 30, 1998| U.S. SECURITIES AND EXCHANGE COMMISSION |Estimated average burden hours| WASHINGTON, DC 20549 |per response.............. 0.5| --------------------------------
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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(1)|2. Date of Event Requiring |4. Issuer Name and Ticker or Trading Symbol | | | Statement | | | Martin, Jr. Nicholas | (Month/Day/Year) | | |------------------------------------------| | SI Diamond Technology Inc. (SIDT) | | (Last) (First) (Middle) | |-----------------------------------------------------------| | | 7/26/99 |5. Relationship of Reporting | 6. If Amendment, Date | | 3006 Longhorn Boulevard |---------------------------| Person to Issuer | of Original | |------------------------------------------|3. IRS Identification | (Check all applicable) | (Month/Day/Year) | | (Street) | Number of Reporting | | | | | Person, if an Entity |[X] Director [ ] 10% Owner | | | | (Voluntary) | | | | | |[ ] Officer [ ] Other (specify| | | | | (give below) |-------------------------| | | | title below) | 7. Individual or Joint/ | | Austin Texas 78758 | | | Group Filing (Check | |--------------------------------------------------------------------------------------------------------| applicable line) | | (City) (State) (Zip) | | | | [X] Form Filed by | | | One Reporting | | | Person | | | [ ] Form Filed by | | | More than One | | | Reporting Person | |----------------------------------------------------------------------------------------------------------------------------------| | TABLE 1 -- NON-DERIVATIVE SECURITIES BENEFICIALLY OWNED | |----------------------------------------------------------------------------------------------------------------------------------| |1. Title of Security | 2. Amount of Securities | 3. Ownership Form: | 4. Nature of Indirect | | (Instr. 4) | Beneficially Owned | Direct (D) or | Beneficial | | | (Instr. 4) | Indirect (I) | Ownership (Instr. 4) | | | | (Instr. 5) | | |----------------------------------------|------------------------------|---------------------------|------------------------------| | Common Stock | 548,916 | D | | |----------------------------------------|------------------------------|---------------------------|------------------------------| | | | | | |----------------------------------------|------------------------------|---------------------------|------------------------------| | | | | | |----------------------------------------|------------------------------|---------------------------|------------------------------| | | | | | |----------------------------------------|------------------------------|---------------------------|------------------------------| | | | | | |----------------------------------------|------------------------------|---------------------------|------------------------------| | | | | | |----------------------------------------|------------------------------|---------------------------|------------------------------| | | | | | |----------------------------------------|------------------------------|---------------------------|------------------------------| | | | | | - -----------------------------------------------------------------------------------------------------------------------------------
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. (1) If the form is filed by more than one Reporting Person, see Instruction 5(b)(v). 2
FORM 3 (CONTINUED) TABLE II -- DERIVATIVE SECURITIES BENEFICIALLY OWNED (E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES) - ------------------------------------------------------------------------------------------------------------------------------------ | 1. Title of Derivative Security |2. Date |3. Title and Amount of |4. Conver- | 5. Owner- |6. Nature of Indirect| | (Instr. 4) | Exercisable and | Securities Underlying | sion or | ship | Beneficial Owner- | | | Expiration Date | Derivative Securities | Exercise | Form of | ship (Instr. 5) | | | (Month/Day/Year )| (Instr. 4) | Price of | Deriva- | | | | | | Deriva- | tive | | | | | | tive | Security:| | | | | | Security | Direct | | | |--------------------|--------------------------| | (D) or | | | | Date | Expira- | | Amount or | | Indirect | | | | Exercis-| tion | Title | Number of | | (I) | | | | able | Date | | Shares | | (Instr. | | | | | | | | | 5) | | |---------------------------------|----------|---------|--------------|-----------|------------|-------------|---------------------| | Series G Preferred | Immed. | N/A | Common Stock | 241,425(1)| (1) | D | | |---------------------------------|----------|---------|--------------|-----------|------------|-------------|---------------------| | Series G Warrants | Immed. | 6/26/02 | Common Stock | 100,000 | $1.00 | D | | |---------------------------------|----------|---------|--------------|-----------|------------|-------------|---------------------| | | | | | | | | | |---------------------------------|----------|---------|--------------|-----------|------------|-------------|---------------------| | | | | | | | | | |---------------------------------|----------|---------|--------------|-----------|------------|-------------|---------------------| | | | | | | | | | |---------------------------------|----------|---------|--------------|-----------|------------|-------------|---------------------| | | | | | | | | | |---------------------------------|----------|---------|--------------|-----------|------------|-------------|---------------------| | | | | | | | | | |---------------------------------|----------|---------|--------------|-----------|------------|-------------|---------------------| | | | | | | | | | |---------------------------------|----------|---------|--------------|-----------|------------|-------------|---------------------| | | | | | | | | | |---------------------------------|----------|---------|--------------|-----------|------------|-------------|---------------------| | | | | | | | | | |---------------------------------|----------|---------|--------------|-----------|------------|-------------|---------------------| | | | | | | | | | - ------------------------------------------------------------------------------------------------------------------------------------
Explanation of Responses: (1) Each share of Series G Preferred is convertible into shares of SI Diamond Common Stock as determined by dividing the original issue price of the Series G Preferred plus an accretion amount equal to 10% of the issue price per annum, by $1.00. As of 7/26/99 Mr. Martin's Series G Preferred was convertible into 241,425 shares of SI Diamond Common Stock. /s/ Donald T. Locke 07-30-99 ** Intentional misstatements or omissions of facts constitute Federal Criminal --------------------------------- --------- Violations. Donald T. Locke Date Attorney-in-Fact See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note. File three copies of this form, one of which must be manually signed. If space provided is insufficient, see Instruction 6 for procedure. Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. Page 2
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