Kessler Paul L. 的 Form 4/A 修正申報
修正Prairie Operating Co.（PROP），2023/6/16 申報
- 申報編號
- 0001683168-23-004193
- 申報時間
- 2023/6/16 07:57 ET
- 交易日
- 2023/5/3
- 申報延遲
- 44 天
- 10b5-1 計畫
- 沒有勾選
- 原始申報日
- 2023/5/9
這份申報列了 5 筆非衍生性交易、9 筆衍生性交易。公開市場買進合計 $59.9 萬。交易後 44 天申報。
這份修正申報取代了 0001683168-23-003087（2023/5/9 申報）。
申報人
一份 Form 4 可以有好幾位申報人，例如本人與他控制的基金。各交易表上顯示的是第一位。
| 申報人 | 與公司的關係 |
|---|---|
| Kessler Paul L.CIK 0001113835 | 董事、持股 10% 以上大股東 |
非衍生性證券（表 I）
普通股等股票的取得與處分，每一列是申報上的一筆。
| 交易日 | 證券 | 交易 | 股數 | 價格 | 金額 | 交易後持股 | 持有方式 | 旗標 |
|---|---|---|---|---|---|---|---|---|
| 2023/5/3 | Common stock, par value $0.0001 per share | C轉換取得 | +9,095,011 | $0.175 | +$1,591,626.93 | 11,752,736 | 間接 | |
| 2023/5/3 | Common stock, par value $0.0001 per share | P買進取得 | +5,496,669 | $0.109 | +$599,136.92 | 17,249,405 | 間接 | |
| 2023/5/3 | Common stock, par value $0.0001 per share | A公司授予取得 | +1,821,429 | $0.175 | +$318,750.08 | 19,070,834 | 間接 | |
| 2023/5/3 | Common stock, par value $0.0001 per share | C轉換取得 | +9,413,863 | $0.175 | +$1,647,426.03 | 28,484,697 | 間接 | |
| 2023/5/3 | Common stock, par value $0.0001 per share | A公司授予取得 | +92,857 | $0.175 | +$16,249.98 | 28,577,554 | 直接 |
衍生性證券（表 II）
選擇權、認股權證、限制型股票單位等。股數是標的股票的股數；單價與金額是衍生證券本身的價格，交易後持有是衍生證券的單位數。
| 交易日 | 證券 | 交易 | 標的股數 | 單價 | 金額 | 交易後持有 | 持有方式 | 旗標 |
|---|---|---|---|---|---|---|---|---|
| 2023/5/3 | Common Stock | C轉換處分 | −9,095,011 | $0.00 | $0 | 0 | 間接 | |
| 2023/5/3 | Common Stock | C轉換處分 | −9,413,863 | $0.00 | – | – | 間接 | |
| 2023/5/3 | Series D Convertible preferred stock | C轉換處分 | −2,523 | $0.00F3 | – | – | 間接 | |
| 2023/5/3 | Common Stock | C轉換處分 | −5,714,286 | $0.00 | – | – | 間接 | |
| 2023/5/3 | Common Stock | C轉換取得 | +14,417,143 | $0.00 | $0 | 2,523 | 間接 | |
| 2023/5/3 | Common Stock | C轉換取得 | +5,714,286 | $0.00 | – | – | 間接 | |
| 2023/5/3 | Common Stock | P買進取得 | +7,142,857 | $1,000.00F5 | +$1,250,000 | 3,773 | 間接 | |
| 2023/5/3 | Common Stock | P買進取得 | +7,142,857 | $0.00 | $0 | 7,142,857 | 間接 | |
| 2023/5/3 | Common Stock | P買進取得 | +7,142,857 | $0.00 | $0 | 7,142,857 | 間接 |
附註與備註
本站收錄交易價格引用的附註、修正申報（Form 4/A）的全部附註，以及申報的備註。其他附註，例如間接持有的方式、交易計畫的細節，請看 SEC EDGAR 上的原文。
- F1
Shares held by Bristol Investment Fund, Ltd., a Cayman Islands exempted company ("BIF") (managed by Bristol Capital Advisors, LLC, a Delaware LLC), Bristol Capital, LLC, a Delaware LLC ("BC"), Paul Kessler IRA Rollover ("PK IRA"), and Bristol Capital Advisors Profit Sharing Plan ("BCA PSP"). Mr. Kessler has voting and dispositive power over the shares beneficially owned by these holders.
- F2
The total includes: (i) 2,589,990 shares owned by BIF, (ii) 24,450 shares owned by BC, (iii) 3,935 shares owned by PK IRA, and (iv) 39,350 shares owned by BCA PSP. Numbers reflect the 1-for-20 reverse stock split effectuated by the Issuer on February 27, 2020. (the "Split").
- F3
In Dec 2016, BIF purchased $2,500,000 convertible debenture ("Debenture") and warrant to purchase 16,666,667 shares of common stock ("Warrant"). In Dec 2019, conversion and exercise price adjusted to $0.125 and Warrant shares became 20,000,000. BIF transferred 6,000,000 Warrant shares to third party in Dec 2019 and retained 14,000,000 Warrant shares. Following Split and subsequent repricing, conversion and exercise price became $0.175, number of shares underlying Debenture became 14,285,714 and shares underlying Warrant became 10,000,000. In March 2022, BIF converted $3,150 of principal into 18,000 shares which were sold on 3/31/22. On May 3, 2023, Debenture was exchanged for (a) amended debenture of $1,000,000, (b) 9,413,863 shares of Common and (c) 2,523 shares of Series D Preferred (stated value of $1,000/sh and convertible into common at $0.175/sh).
表 II 有 1 筆交易的價格引用這則附註。
- F4
Stock options for 300,000 shares issued to Paul Kessler pursuant to stock award plans, with an exercise price of $0.25. Following the 1-for-20 reverse stock split, the stock options are for 15,000 shares.
- F5
The Series D Preferred offering for shares of Series D Preferred Stock featured 100% warrant coverage for each of Series A warrants to purchase shares of Common Stock and Series B warrants to purchase shares of Common Stock.
表 II 有 1 筆交易的價格引用這則附註。
- F6
124,236 shares of Series A Preferred Stock held by Paul Kessler, includes $349,267 of accrued but unpaid dividends converted into shares of Common Stock at $0.175 per share. The shares of Series A Preferred Stock held by Mr. Kessler were issued to BC upon conversion.
- F7
Such shares of preferred stock have no expiration date.
- F8
The Form 4 filed on May 9, 2023 inadvertently reported the incorrect number of shares of common stock held by Paul Kessler in his individual capacity. The correct number is 92,857 shares of common stock.
備註
This amendment is being filed to correct the number of shares of common stock held by Paul Kessler in his individual capacity.