-----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, LCRiXD7N0AbMTjE6PGSNlYa9A5NDbkgguR37hd9/sRejBMLIkpaqAFp0Wj1Rm3oX hp+BW/3sB88g90IOxiGHag== 0000932384-99-000016.txt : 19990112 0000932384-99-000016.hdr.sgml : 19990112 ACCESSION NUMBER: 0000932384-99-000016 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19981230 FILED AS OF DATE: 19990111 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: 99504373 BUSINESS ADDRESS: STREET 1: 12012 WICKCHESTER STREET 2: SUITE 250 CITY: HOUSTON STATE: TX ZIP: 77079 BUSINESS PHONE: 2815793398 MAIL ADDRESS: STREET 1: 12012 WICKCHESTER STREET 2: SUITE 250 CITY: HOUSTON STATE: TX ZIP: 77079 COMPANY DATA: COMPANY CONFORMED NAME: CWS LIMITED LIABILITY CO CENTRAL INDEX KEY: 0001064355 STANDARD INDUSTRIAL CLASSIFICATION: [] OWNER IRS NUMBER: 133758882 STATE OF INCORPORATION: NV FISCAL YEAR END: 0101 FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: C/O THE CLARK ESTATES INC STREET 2: ONE ROCKEFELLER PLAZA 31ST FLOOR CITY: NEW YORK STATE: NY ZIP: 10020 BUSINESS PHONE: 2129776900 MAIL ADDRESS: STREET 1: C/O NINTH FLOOR CORP STREET 2: ONE ROCKEFELLER PLAZA 31ST CITY: NEW YORK STATE: NY ZIP: 10020 4 1 FORM 4 - ------ FORM 4 - ------
U.S. SECURITIES AND EXCHANGE COMMISSION / / Check this box if no longer WASHINGTON, D.C. 20549 subject to Section 16. Form 4 or Form 5 obligations may STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP continue. See Instruction 1(b) 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* 2.Issuer Name and Ticker or Trading Symbol 6.Relationship of Reporting Person to Issuer CWS LIMITED-LIABILITY COMPANY 3DX TECHNOLOGIES INC. ("TDXT") Director X 10% Owner - ------------------------------------------------------------------------------------- ----- ----- (Last) (First) (Middle) 3.IRS or Social Security 4.Statement for Officer (give Other (Specify Number of Reporting Month/Year ----- title ----- below) ONE ROCKEFELLER PLAZA, 31ST FLOOR Person (Voluntary) DECEMBER 1998 below) - ------------------------------------------ ----------------- (Street) 13-3758882 5.If Amendment, 7.Individual or Joint/Group Filing Date of Original (Check applicable line) (Month/Year) X Form filed by One Reporting Person ----- Form filed by more than one NEW YORK NEW YORK 10020 ----- Reporting Person - ------------------------------------------------------------------------------------------------------------------------------------ (City) (State) (Zip) TABLE I - NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED - ------------------------------------------------------------------------------------------------------------------------------------ 1.Title of Security 2.Trans- 3.Transaction 4.Securities Acquired (A) 5.Amount of 6.Ownership 7.Nature of (Instr. 3) action Code or Disposed of (D) Securities Form: Indirect Date (Instr. 8) (Instr. 3, 4 and 5) Beneficially Direct (D) or Beneficial Owned at End Indirect (I) Ownership (Month/ of Month (Instr. 4) (Instr. 4) Day/ ---------------------------------------- (Instr. 3 and 4) Year) Code V Amount (A) or Price (D) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 12/30/98 P 295,042 A $.30/sh D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 8/21/98 J@ 175,446 A N/A D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 12/30/98 J# 15,454 A N/A 1,347,716+ D - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ * If the Form is filed by more than one Reporting Person, see Instruction 4(b)(v). Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. (Print or Type Response) (Over)
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 2. Conver- 3. Trans- 4. Trans- 5. Number of 6. Date Exer- 7. Title and Amount 8. Price Security sion or action action Derivative cisable and of Underlying of (Instr. 3) Exercise Date Code Securities Ac- Expiration Securities Deriv- Price of (Month/ (Instr. 8) quired (A) or Date (Instr. 3 and 4) ative Deriv- Day/ Disposed of (D) (Month/Day/ Secur- ative Year) (Instr. 3, 4, Year) ity Security and 5) ------------------------------------ (Instr. 5) Date Expira- Amount or ------------------------------- Exer- tion Title Number of Code V (A) (D) cisable Date Shares - ------------------------------------------------------------------------------------------------------------------------------------ + - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of Derivative 9. Number of 10. Ownership 11. Nature of Security Derivative Form of Indirect (Instr. 3) Securities Derivative Beneficial Beneficially Security: Ownership Owned at End Direct (D) (Instr. 4) of Month or Indirect (I) (Instr. 4) (Instr. 4) - ------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------ Explanation of Responses: @ The Reporting Person acquired 877,228 shares of Common Stock on June 10, 1998. Pursuant to the Common Stock Subscription Agreement (the "Subscription Agreement") for such acquisition, the Reporting Person (and others) had certain anti-dilution rights. As the result of a sale of common stock by the Company to Santa Fe Energy Resources, Inc., which sale closed on August 21, 1998, the Company is required to issue 175,446 shares of common stock to the Reporting Person with respect to the anti-dilution rights under the Subscription Agreement. # A portion of the shares acquired by the Reporting Person on December 30, 1998 were issued to the seller under the Subscription Agreement. The Reporting Person (as the transferee of those shares) is entitled to receive 15,454 shares of Common Stock in accordance with the anti-dilution rights under the Subscription Agreement. + The Reporting Person had an option to acquire 1,112,774 shares of Common Stock that expired unexercised on August 10, 1998. ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). /s/ Kevin S. Moore January 10, 1999 -------------------------------- ---------------- **Signature of Reporting Person Date KEVIN S. MOORE, VICE PRESIDENT OF NINTH FLOOR CORPORATION MANAGER OF CWS LIMITED-LIABILITY COMPANY Note: File three copies of this Form, one of which must be manually signed. Page 2 If space provided is insufficient, see Instruction 6 for procedure.
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