SEC FORM 3 SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
 
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1. Name and Address of Reporting Person*
OCONNOR JOHN MICHAEL

(Last) (First) (Middle)
C/O 3DICON CORPORATION
6804 SOUTH CANTON AVENUE, SUITE 150

(Street)
TULSA OK 74136

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
05/03/2012
3. Issuer Name and Ticker or Trading Symbol
3DICON CORP [ TDCP.BB ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
Officer (give title below) Other (specify below)
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock, par value $.0002 3,143 D
Common Stock, par value $.0002 2,857 I By Reporting Person as Trustee for John M. and Lucia D. O'Connor Revocable Living Trust
Common Stock, par value $.0002 619,205 I By Reporting Person as Partial owner of Newton O'Connor & Ketchum(1)
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Option to buy Common Stock 06/20/2012 02/25/2018 Common Stock 19,634 8.64 D
Option to buy Common Stock 06/20/2012 02/25/2020 Common Stock 657,480 0.175 D
Option to buy Common Stock 06/20/2012 05/17/2021 Common Stock 56,511 1.4 D
Warrants to buy Common Stock 05/22/2009 09/30/2014 Common Stock 125,097 (2) I By Reporting Person as Partial owner of Newton O'Connor & Ketchum(1)
Warrants to buy Common Stock 06/02/2012 09/30/2016 Common Stock 96,024 (3) I By Reporting Person as Partial owner of Newton O'Connor & Ketchum(1)
Explanation of Responses:
1. Mr. O'Connor is a part owner of Newton O'Connor & Ketchum, a corporation.
2. On May 22, 2009 the Company issued to Newton O'Connor & Ketchum warrants to purchase 125,097 shares of common stock at an exercise price of $3.15 per share through September 30, 2010 and after September, 30, 2010, at an exercise price of $6.30 per share until the expiration date of September 30, 2014.
3. On June 2, 2010 the Company issued to Newton O'Connor & Ketchum warrants to purchase 96,024 shares of common stock at an exercise price of $3.15 per share through September 30, 2012 and after September, 30, 2012, at an exercise price of $6.30 per share until the expiration date of September 30, 2016.
/s/ John O'Connor 07/25/2012
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations 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 is insufficient, see Instruction 6 for procedure.
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