SEC Form 4 · accession 0001217437-16-000005
TWO RIVERS WATER & FARMING Co · TURV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
John R McKowen
10% Owner
Period of report
Apr 21, 2016
Accepted (ET)
Nov 8, 2016 · 5:41 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001302946
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Apr 21, 2016 | P | 4,300 | $0.42 | A | 4,455,920 | D | |
| Common Stock | Apr 21, 2016 | P | 700 | $0.42 | A | 4,456,620 | D | |
| Common Stock | Jul 22, 2016 | P | 15,000 | $0.16 | A | 4,471,620 | D | |
| Common Stock | Jul 28, 2016 | P | 5,000 | $0.20 | A | 4,476,620 | D | |
| Common Stock | Aug 1, 2016 | P | 10,000 | $0.20 | A | 4,486,620 | D | |
| Common Stock | Aug 1, 2016 | P | 5,220 | $0.20 | A | 4,491,840 | D | |
| Common Stock | Aug 1, 2016 | P | 4,780 | $0.20 | A | 4,496,620 | D | |
| Common Stock | Sep 12, 2016 | S | 737 | $0.50 | D | 4,495,883 | D | |
| Common Stock | Sep 12, 2016 | S | 9,800 | $0.50 | D | 4,486,083 | D | |
| Common Stock | Sep 12, 2016 | S | 200 | $0.50 | D | 4,485,883 | D | |
| Common Stock | Sep 13, 2016 | S | 24,263 | $0.50 | D | 4,461,620 | D | |
| Common Stock | Sep 13, 2016 | S | 5,000 | $0.50 | D | 4,456,620 | D | |
| Common Stock | Sep 13, 2016 | S | 2,500 | $0.50 | D | 4,454,120 | D | |
| Common Stock | Sep 13, 2016 | S | 2,500 | $0.50 | D | 4,451,620 | D | |
| Common Stock | Oct 26, 2016 | S | 9,250 | $0.70 | D | 4,442,370 | D |
Table II — derivative securities
No Table II lines on this filing.
Remarks
The Reporting Person paid to the Issuer all profits received due to the transactions that took place between April 21, 2016 and October 26, 2016, pursuant to Section 16. The profits were paid directly to the Issuer on September 27, 2016 and November 8, 2016.