SEC Form 4 · accession 0001078782-15-000661
Zivo Bioscience, Inc. · ZIVO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
HEP INVESTMENTS LLC
10% Owner
Period of report
Apr 28, 2015
Accepted (ET)
Apr 30, 2015 · 8:53 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001101026
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Apr 28, 2015 | P | 299,400 | $0.1331 | A | 1,540,527 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock Purchase WarrantF2,F1,F4 | $0.15 | Sep 19, 2014 | P | 166,667 | A | Sep 19, 2014 | Sep 19, 2019 | Common Stock | 166,667 | 38,090,000 | D |
| Common Stock Purchase WarrantF2,F1,F4 | $0.10 | Dec 8, 2014 | P | 84,700 | A | Dec 8, 2014 | Dec 8, 2019 | Common Stock | 84,700 | 38,174,700 | D |
| Common Stock Purchase WarrantF2,F1,F4 | $0.10 | Feb 27, 2015 | P | 227,500 | A | Feb 27, 2015 | Feb 27, 2019 | Common Stock | 227,500 | 38,402,200 | D |
| Common Stock Purchase WarrantF2,F1,F4 | $0.10 | Mar 27, 2015 | P | 135,000 | A | Mar 27, 2015 | Mar 27, 2019 | Common Stock | 135,000 | 38,537,200 | D |
| Common Stock Purchase WarrantF2,F1,F4 | $0.10 | Apr 15, 2015 | P | 155,000 | A | Apr 15, 2015 | Apr 15, 2019 | Common Stock | 155,000 | 38,692,200 | D |
| Common Stock Purchase WarrantF2,F1,F4 | $0.10 | Apr 17, 2015 | P | 62,800 | A | Apr 17, 2015 | Apr 17, 2019 | Common Stock | 62,800 | 38,755,000 | D |
| Convertible DebtF1,F4 | $0.15 | Sep 19, 2014 | P | 1,666,667 | A | Sep 19, 2014 | Sep 19, 2016 | Common Stock | 1,666,667 | 40,421,667 | D |
| Convertible DebtF1,F4 | $0.10 | Dec 8, 2014 | P | 847,000 | A | Dec 8, 2014 | Dec 8, 2016 | Common Stock | 847,000 | 41,268,667 | D |
| Convertible DebtF1,F4 | $0.10 | Feb 27, 2015 | P | 2,275,000 | A | Feb 27, 2015 | Feb 27, 2017 | Common Stock | 2,275,000 | 43,543,667 | D |
| Convertible DebtF1,F4 | $0.10 | Mar 27, 2015 | P | 1,350,000 | A | Mar 27, 2015 | Mar 27, 2017 | Common Stock | 1,350,000 | 44,893,667 | D |
| Convertible DebtF1,F4 | $0.10 | Apr 15, 2015 | P | 1,550,000 | A | Apr 15, 2015 | Apr 15, 2017 | Common Stock | 1,550,000 | 46,443,667 | D |
| Convertible DebtF1,F4 | $0.10 | Apr 17, 2015 | P | 628,000 | A | Apr 17, 2015 | Apr 17, 2017 | Common Stock | 628,000 | 47,071,667 | D |
| Accrued Interest converting into Common StockF3,F1,F5,F4 | — | Apr 28, 2015 | P | 7,774,165 | A | Dec 2, 2011 | Apr 17, 2017 | Common Stock | 7,774,165 | 54,845,832 | D |
Explanation of responses
- F1HEP Investments has sold participation interests to certain persons in such securities and none of these persons, individually, owns an interest in more than 5% of the Issuer's Common Stock, except for Christopher D. Maggiore, who owns more than a 5% interest in the Issuer's Common Stock.
- F2These warrants are for that number of securities which correspond to the number of securities for the corresponding tranche of convertible debt held by the Reporting Person pursuant to the Sixth Amended and Restated Senior Secured Promissory Note delivered by the Issuer to the Reporting Person (the "Convertible Note").
- F3This represents paid-in-kind interest on the Convertible Debt already held by the Reporting Person.
- F4Unless the maturity date of the respective tranches are extended beyond these expiration dates by the Reporting Person pursuant to the terms of the Convertible Note.
- F5$.10 to $.30