SEC Form 4/A · accession 0001144204-15-053475
Li3 Energy, Inc. · LIEG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
David George Wahl
Director
Period of report
Oct 31, 2013
Accepted (ET)
Sep 2, 2015 · 5:28 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001334699
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Oct 31, 2013 | A | 530,750 | $0.00 | A | 530,750 | I | By Southampton Associates Inc. |
| Common StockF1,F3 | Feb 25, 2014 | A | 444,444 | $0.00 | A | 802,653 | I | By Wahl Investments Inc. |
| Common StockF1,F3 | Apr 30, 2014 | A | 238,095 | $0.00 | A | 1,040,748 | I | By Wahl Investments Inc. |
| Common StockF1,F3 | Oct 3, 2014 | A | 303,030 | $0.00 | A | 1,343,778 | I | By Wahl Investments Inc. |
| Common Stock | holding | — | — | — | 44,776 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The Board of Directors of the Registrant approved the issuance of shares to the Reporting Person in lieu of director fees.
- F2The Reporting Person is the Principal of Southampton Associates Inc. ("Southampton Associates"). The Reporting Person may be deemed to beneficially own the securities held by Southampton Associates.
- F3The Reporting Person is the Principal of Wahl Investments Inc. ("Wahl Investments"). The Reporting Person may be deemed to beneficially own the securities held by Wahl Investments.