SEC Form 4 · accession 0001209191-19-004284
TRANSATLANTIC PETROLEUM LTD. · TAT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Noah Malone Mitchell III
Officer — Chief Executive Officer · Director · 10% Owner
Period of report
Jan 15, 2019
Accepted (ET)
Jan 17, 2019 · 5:19 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001092289
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common SharesF1,F2 | Jan 15, 2019 | M | 1,842 | — | A | 1,452,649 | D | |
| Common SharesF3,F4 | holding | — | — | — | 11,207,182 | I | By Dalea Partners, LP | |
| Common SharesF3,F4 | holding | — | — | — | 4,360,766 | I | By Longfellow Energy, LP | |
| Common SharesF3,F4 | holding | — | — | — | 455,826 | I | By ANBE Holdings L.P. |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F5 | — | Jan 15, 2019 | M | 1,842 | D | — | — | Common Shares | 1,842 | 3,684 | D |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to receive, upon vesting, one common share of the Issuer. This transaction represents the conversion upon vesting of restricted stock units into common shares of the Issuer.
- F2Includes 80,486 common shares of the Issuer distributed by Dalea Partners, LP to the reporting person on December 31, 2018.
- F3The reporting person may be deemed to be a member of a group with respect to the Issuer or securities of the Issuer for purposes of Section 13(d) or 13(g) of the Act. The reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) or 13(g) of the Act or any other purpose, a member of a group with respect to the Issuer or securities of the Issuer.
- F4The reporting person disclaims beneficial ownership of the securities covered by this statement except to the extent of his pecuniary interest therein, and the inclusion of the securities covered by this statement herein shall not be deemed an admission of beneficial ownership of the securities covered by this statement for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Act"), or any other purpose.
- F5The restricted stock units vest in three equal annual installments. The first installment vested on January 15, 2019, the second installment will vest on January 15, 2020, and the third installment will vest on January 15, 2021.
Remarks
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 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).