SEC Form 5 · accession 0001493152-16-010006
T-REX OIL, INC. · TRXO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Andrew P Vander Ploeg
Director
Period of report
Mar 31, 2016
Accepted (ET)
May 17, 2016 · 1:37 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001287900
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Mar 10, 2016 | P | 300,000 | $0.75 | A | 324,528 | D | |
| Common Stock | holding | — | — | — | 24,528 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series A Convertible Preffered SharesF4,F1,F2 | — | Sep 24, 2015 | A | 125,000 | A | Aug 24, 2016 | — | Common | — | 125,000 | D |
| WarrantF4 | $3.00 | Sep 24, 2015 | A | 125,000 | A | Sep 25, 2015 | Sep 24, 2018 | Common | 125,000 | 250,000 | D |
| Stock Option | $0.10 | Dec 15, 2015 | A | 25,000 | A | Dec 15, 2015 | Dec 15, 2018 | Common | 25,000 | 275,000 | D |
| Stock Option | $0.10 | Dec 15, 2015 | J | 25,000 | D | Dec 15, 2015 | Dec 15, 2018 | Common | 0 | 250,000 | D |
Explanation of responses
- F1Series A Convertible Preferred shares are Convertible at a conversion price that is equal to 80% of the 10 day average closing price of common stock after 9 months form date of assurance.
- F2No expiration date
- F3Stock Option was Cancelled.
- F4The preferred shares and warrant were sold as a unit at a price of $2 per unit.