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
  1. 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.
  2. Number of securities includes 62,500 shares of restricted stock that vest on March 12, 2013.
  3. 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.