Filing Details
- Accession Number:
- 0001104659-12-000403
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-01-04 17:17:58
- Reporting Period:
- 2011-12-30
- Filing Date:
- 2012-01-04
- Accepted Time:
- 2012-01-04 17:17:58
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 752902 | Lucid Inc | LCDCU | Surgical & Medical Instruments & Apparatus (3841) | 161406957 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1255686 | J William Shea | 159 Bear Hill Rd. North Andover MA 01845 | Yes | No | Yes | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2011-12-30 | 71,330 | $0.00 | 440,272 | No | 4 | C | Direct | |
| Common Stock | Acquisiton | 2011-12-30 | 52,304 | $0.00 | 492,576 | No | 4 | C | Direct | |
| Common Stock | Acquisiton | 2011-12-30 | 71,410 | $4.20 | 563,986 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | C | Direct | |
| No | 4 | C | Direct | |
| No | 4 | P | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | 8% Convertible Note Due 2012 | Disposition | 2011-12-30 | 71,330 | $0.00 | 71,330 | $0.00 |
| Common Stock | 8% Convertible Note Due 2012 | Disposition | 2011-12-30 | 52,304 | $0.00 | 52,304 | $0.00 |
| Common Stock | Warrant to Purchase Common Stock | Acquisiton | 2011-12-30 | 71,410 | $0.00 | 71,410 | $5.04 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | No | 4 | C | Direct | ||
| 0 | No | 4 | C | Direct | ||
| 71,410 | 2011-12-30 | 2016-12-29 | No | 4 | P | Direct |
Footnotes
- Note including both principal and interest, automatically converted into shares of common stock upon closing of a qualified initial public offering at a conversion price equal to 70% of the price at which shares were sold to the public.
- Number of securities includes 62,500 shares of restricted stock that vest on March 12, 2013.
- Note including both principal and interest, automatically converted into shares of common stock upon closing of a qualified initial public offering at a conversion price equal to 70% of the price at which shares were sold to the public. These securities are held by Mr. Shea's spouse.
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