SEC Form 4 · accession 0001493152-17-002402
T-REX OIL, INC. · TRXO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Martin Gottlob
Officer — VP OF GEOLOGY · Director
Period of report
Jan 27, 2017
Accepted (ET)
Mar 14, 2017 · 1:36 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 8, 2017 | X | 100,000 | $5,000.00 | A | 850,000 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| OptionF3,F1 | $0.62 | Jan 27, 2017 | A | 225,000 | A | — | Jan 27, 2020 | Common Stock | 225,000 | 325,000 | D |
| OptionF2,F3 | $0.10 | Mar 8, 2017 | X | 100,000 | D | Apr 1, 2014 | Apr 1, 2017 | Common Stock | 100,000 | 225,000 | D |
Explanation of responses
- F1Option has a vesting rate as follows: 125,000 on 1/27/17; 50,000 on 1/27/18 and 50,000 on 1/27/19
- F2Option was exercised, in full, on March 8, 2017.
- F3Reflects stock options granted pursuant to Rule 16b-3.