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FORM 5
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/ / CHECK BOX IF NO U.S. SECURITIES AND EXCHANGE COMMISSION
LONGER SUBJECT TO WASHINGTON, DC 20549
SECTION 16. FORM
4 OR FORM 5 ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
OBLIGATIONS MAY
CONTINUE. SEE Filed pursuant to Section 16(a) of the Securities
INSTRUCTION 1(b) Exchange Act of 1934,
/ / FORM 3 HOLDINGS Section 17(a) of the Public Utility
REPORTED Holding Company Act of 1935 or Section 30(f) of
/ / FORM 4 the Investment Company Act
TRANSACTIONS of 1940
REPORTED
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<S> <C> <C> <C> <C> <C> <C>
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1. Name and Address of Reporting Person* 2. Issuer Name and Ticker or Trading Symbol 6. Relationship of Reporting Person to
Baker Douglas P. SI Diamond Technology, Inc. (SIDT) Issuer (Check all applicable)
- ------------------------------------------- ---------------------------------------------- Director 10% Owner
(Last) (First) (Middle) 3. IRS Identification 4. Statement for --- ---
12100 Technology Blvd. Number of Reporting Month/Year X Officer (give Other (specify
- ------------------------------------------- Person, if an Entity 12/97 --- title --- below)
(Street) (Voluntary) ------------------- below)
Austin Texas 78727 5. If Amendment, Vice President and
- ------------------------------------------- Date of Original Chief Financial Officer
(City) (State) (Zip) (Month/Year) -------------------------------
7. Individual or Joint/Group Filing
------------------ (Check applicable line)
X Form Filed by one
--- Reporting Person
Form Filed by more than
--- one Reporting Person
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TABLE 1 -- NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED
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1. Title of Security 2. Trans- 3. Transac- 4. Securities Acquired (A) 5. Amount of Se- 6. Owner- 7. Nature
(Instr. 3) action tion or Disposed of (D) curities Benefi- ship of In-
Date Code (Instr. 3, 4 and 5) cially Owned at Form: direct
(Instr. End of Issuer's Direct Benefi-
(Month/ 8) Fiscal Year (D) or cial
Day/ ---------------------------- (Instr. 3 and 4) Indirect Owner-
Year) Amount (A) or Price (I) ship
(D) (Instr. 4) (Instr.
4)
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Common Stock 22,000 (D)(1)
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*If the form is filed by more than one Reporting Person, see Instruction 4(b)(v). (Over)
SEC 2270 (7-96)
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FORM 5 (CONTINUED) TABLE II -- DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED
(E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES)(1)
<S> <C> <C> <C> <C> <C> <C> <C>
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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 Expiration Securities Deriv-
Price of (Month/ (Instr. Acquired (A) Date (Instr. 3 and 4) ative
Deriv- Day/ 8) or Disposed (Month/Day/ Secur-
ative Year) of (D) Year) ity
Security (Instr. 3, (Instr. 5)
4, and 5) -----------------------------------------
Date Expira- Amount or
--------------- Exer- tion Title Number of
(A) (D) cisable Date Shares
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Stock Option - Rt. to Buy $4.00 6/17/96 (2) 6/17/06 Common Stock 75,000
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Stock Option - Rt. to Buy $4.00 7/28/97 D 25,000 (2) Common Stock 25,000
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Stock Option - Rt. to Buy $2.00 7/28/97 A 25,000 (2) 6/17/06 Common Stock 25,000
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Stock Option - Rt. to Buy $1.125 7/28/97 A 20,000 (3) 7/28/07 Common Stock 20,000
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<C> <C> <C> <C>
1. Title of Derivative 9. Number of 10. Ownership 11. Nature of
Security Derivative of Derivative Indirect
(Instr. 3) Securities Security: Beneficial
Beneficially Direct (D) Ownership
Owned at End or Indirect (I) (Instr. 4)
of Year (Instr. 4)
(Instr. 4)
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Common Stock 75,000 D
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Common Stock -0-
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Common Stock 25,000 D
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Common Stock 20,000 D
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Explanation of Responses:
(1) Of the 22,000 shares 9,500 are in a Keogh Plan.
(2) These options vest in the following proportions: 1/3 upon the grant date, 1/3 every 3 months for the next succeeding 6 months
after the original grant date.
(3) These options are vested immediately upon grant.
**Intentional misstatements or omissions of facts constitute Federal Criminal Violations. /s/ Douglas P. Baker 2/13/98
See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). ------------------------------- -------
**Signature of Reporting Person Date
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
SEC 2200 (7-96)
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