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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN 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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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Warrant | $ 0.08 | 12/07/2016 | 11/14/2016 | C | 300,000 (3) | 08/18/2016 | 08/18/2019 | Common Stock | 300,000 (3) | $ 0 | 1,767,500 (3) | D | |||
Warrant | $ 0.12 | 05/23/2017 | 05/23/2017 | P | 500,000 (5) | 05/23/2017 | 05/23/2020 | Common Stock | 500,000 (5) | $ 0 | 2,267,500 (5) | D | |||
Warrant | $ 0.2 | 05/26/2017 | 06/06/2017 | P | 270,000 (6) | 06/06/2017 | 06/06/2020 | Common Stock | 270,000 (6) | $ 0 | 2,537,500 (6) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Oppenheim Joel Martin 2035 SUL ROSS STREET HOUSTON, TX 77098 |
X |
/s/ Joel M Oppenheim | 02/13/2018 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(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). |
(1) | The original Form 4 indicated an earliest transaction date of 06/06/2017, it should have been 09/12/16. |
(2) | The original Form 4 filed on 06/16/2017 inadvertently omitted reporting the acquisition of Common Stock as compensation for the conversion of debt held by Mr. Oppenheim in a transaction approved by the board in September 2016 and was disclosed in the 2016 3Q 10-Q filing. |
(3) | The original Form 4 filed on 06/16/2017 inadvertently omitted reporting the acquisition of Common Stock through the exercising of Warrants previously issued on 08/18/2016 as part of his 2016 Directors Compensation and was disclosed in the 2016 3Q 10-Q filing. |
(4) | The original Form 4 filed on 06/16/2017 erroneously reported that the Amount of Securities Beneficially Owned following the as 37,590 common shares. The correct number is 1,270,000 common shares after the included transactions disclosed in this filing. |
(5) | The original Form 4 filed on 06/16/2017 erroneously reported that the Amount of Securities Beneficially Owned following the as 770,000 warrants. The correct number is 2,267,500 warrants. |
(6) | The original Form 4 filed on 06/16/2017 erroneously reported that the Amount of Securities Beneficially Owned following the as 270,000 warrants. The correct number is 2,537,500 warrants. |
Remarks: All other line items previously reported on the original Form 4 have been omitted from this Form 4/A as they have not changed. |