SEC Form 4 · accession 0001078782-16-002714

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 29, 2016

Accepted (ET)

Apr 29, 2016 · 3:18 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 29, 2016	P	107,064	$0.08	A	1,338,628	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 Warrant^F2,F1,F4	$0.10	May 1, 2015	P	237,200	A	May 1, 2015	May 1, 2020	Common Stock	237,200	55,083,032	D
Common Stock Purchase Warrant^F2,F1,F4	$0.10	Jun 26, 2015	P	250,000	A	Jun 26, 2015	Jun 26, 2020	Common Stock	250,000	55,333,032	D
Common Stock Purchase Warrant^F2,F1,F4	$0.10	Jul 7, 2015	P	250,000	A	Jul 7, 2015	Jul 7, 2020	Common Stock	250,000	55,583,032	D
Common Stock Purchase Warrant^F2,F1,F4	$0.10	Sep 2, 2015	P	250,000	A	Sep 2, 2015	Sep 2, 2020	Common Stock	250,000	55,833,032	D
Common Stock Purchase Warrant^F2,F1,F4	$0.10	Oct 8, 2015	P	250,000	A	Oct 8, 2015	Oct 8, 2020	Common Stock	250,000	56,083,032	D
Common Stock Purchase Warrant^F2,F1,F4	$0.10	Oct 29, 2015	P	250,000	A	Oct 29, 2015	Oct 29, 2020	Common Stock	250,000	56,333,032	D
Common Stock Purchase Warrant^F2,F1,F4	$0.10	Jan 27, 2016	P	250,000	A	Jan 27, 2016	Jan 27, 2021	Common Stock	250,000	56,583,032	D
Common Stock Purchase Warrant^F2,F1,F4	$0.10	Mar 1, 2016	P	250,000	A	Mar 1, 2016	Mar 1, 2021	Common Stock	250,000	57,333,032	D
Convertible Debt^F1,F4	$0.10	May 1, 2015	P	2,372,200	A	May 1, 2015	May 1, 2017	Common Stock	2,372,200	59,705,232	D
Convertible Debt^F1,F6	$0.12	Jun 5, 2015	D	250,000	D	—	—	Common Stock	250,000	59,455,232	D
Convertible Debt^F1,F4	$0.10	Jun 26, 2015	P	2,500,000	A	Jun 26, 2015	Jun 26, 2017	Common Stock	2,500,000	61,955,232	D
Convertible Debt^F1,F4	$0.10	Jul 7, 2015	P	2,500,000	A	Mar 27, 2015	Mar 27, 2017	Common Stock	2,500,000	64,455,232	D
Convertible Debt^F1,F4	$0.10	Sep 2, 2015	P	2,500,000	A	Apr 15, 2015	Apr 15, 2017	Common Stock	2,500,000	66,955,232	D
Convertible Debt^F1,F7	$0.12	Sep 24, 2015	D	250,000	D	—	—	Common Stock	250,000	66,705,232	D
Convertible Debt^F1,F4	$0.10	Oct 8, 2015	P	2,500,000	A	Oct 8, 2015	Oct 8, 2017	Common Stock	2,500,000	69,205,232	D
Convertible Debt^F1,F4	$0.10	Oct 29, 2015	P	2,500,000	A	Oct 29, 2015	Oct 29, 2017	Common Stock	2,500,000	71,705,232	D
Convertible Debt^F1,F4	$0.10	Jan 27, 2016	P	2,500,000	A	Jan 27, 2016	Jan 27, 2018	Common Stock	2,500,000	74,205,232	D
Convertible Debt^F1,F4	$0.10	Mar 1, 2016	P	2,500,000	A	Mar 1, 2016	Mar 1, 2018	Common Stock	2,500,000	81,705,232	D
Accrued Interest converting into Common Stock^F3,F1,F5,F4	—	Apr 15, 2016	P	5,902,729	A	Dec 2, 2011	Mar 1, 2018	Common Stock	5,902,729	87,607,961	D

Explanation of responses

F1Certain persons have acquired participation interests in such debt 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 Seventh 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
F6The debt was converted to stock on 6/5/15.
F7The debt was converted to stock on 9/24/15.