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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, Section 17(a) of the Public Utility Holding Company Act of 1935 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 | ||||||||
Convertible Promissory Note | $ 1.5 | 02/15/2019 | M | $ 15,000,000 (3) | 01/11/2019 | 01/11/2022 | Common Stock | 10,083,819 (3) | (4) | 0 | I | Through SK Energy LLC | |||
Convertible Promissory Note | $ 1.79 | 02/15/2019 | M | $ 7,000,000 (3) | 10/25/2018 | 10/25/2021 | Common stock | 4,014,959 (3) | (5) | 0 | I | Through SK Energy LLC |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
KUKES SIMON G 5100 WESTHEIMER SUITE 200 HOUSTON, TX 77056 |
Chief Executive Officer |
/s/ Simon Kukes | 02/19/2019 | |
**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 Convertible Promissory Note (described in footnote 4) was Converted into common stock of the Issuer at the option of the holder, pursuant to its terms. |
(2) | The Convertible Promissory Note (described in footnote 5) was Converted into common stock of the Issuer at the option of the holder, pursuant to its terms. |
(3) | Includes the conversion of accrued interest through the date of conversion. |
(4) | The Convertible Promissory Note was originally acquired directly from the Issuer on January 11, 2019, for $15,000,000. |
(5) | The Convertible Promissory Note was originally acquired directly from the Issuer on October 25, 2018, for $7,000,000. |