SEC Form 4 · accession 0001185185-17-002415
Petrolia Energy Corp · BBLS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joel Martin Oppenheim
Director
Period of report
Nov 9, 2017
Accepted (ET)
Nov 16, 2017 · 4:17 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001368637
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Sep 15, 2017 | A | 62,065 | $0.06 | A | 1,035,000 | D | |
| Common Stock | Aug 1, 2017 | A | 280,000 | $0.14 | A | 2,000,000 | D | |
| Preferred Stock | May 26, 2017 | A | 175,900 | $10.00 | A | 17,900 | D | |
| Preferred Stock | Jun 2, 2017 | A | 29,000 | $10.00 | A | 2,900 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrant | $0.14 | Aug 1, 2017 | P | 2,000,000 | A | Aug 1, 2017 | Aug 1, 2020 | Common | 2,000,000 | 3,765,000 | D |
| Warrant | $0.22 | May 23, 2017 | P | 270,000 | A | May 23, 2017 | May 23, 2020 | Common | 270,000 | 4,035,000 | D |
| Warrant | $0.12 | May 23, 2017 | P | 500,000 | A | May 23, 2017 | May 23, 2020 | Common | 500,000 | 4,535,000 | D |
| Warrant | $0.06 | Sep 15, 2017 | X | 1,035,000 | D | Sep 23, 2015 | Sep 23, 2018 | Common | 1,035,000 | 3,500,000 | D |