SEC Form 4/A · accession 0001185185-18-000204
Petrolia Energy Corp · BBLS
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
Joel Martin Oppenheim
Director
Period of report
Sep 12, 2016
Accepted (ET)
Feb 13, 2018 · 4:10 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 StockF1,F2 | Sep 12, 2016 | A | 250,000 | $0.08 | A | 950,000 | D | |
| Common StockF3 | Dec 7, 2016 | C | 300,000 | $0.08 | A | 1,250,000 | D | |
| Common StockF4 | May 26, 2017 | A | 20,000 | $0.12 | A | 1,270,000 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| WarrantF3 | $0.08 | Dec 7, 2016 | C | 300,000 | D | Aug 18, 2016 | Aug 18, 2019 | Common Stock | 300,000 | 1,767,500 | D |
| WarrantF5 | $0.12 | May 23, 2017 | P | 500,000 | A | May 23, 2017 | May 23, 2020 | Common Stock | 500,000 | 2,267,500 | D |
| WarrantF6 | $0.20 | May 26, 2017 | P | 270,000 | A | Jun 6, 2017 | Jun 6, 2020 | Common Stock | 270,000 | 2,537,500 | D |
Explanation of responses
- F1The original Form 4 indicated an earliest transaction date of 06/06/2017, it should have been 09/12/16.
- F2The original Form 4 filed on 06/16/2017 inadvertently omitted reporting the acquisition of Common Stock as compensation for the conversion of debt held by Mr. Oppenheim in a transaction approved by the board in September 2016 and was disclosed in the 2016 3Q 10-Q filing.
- F3The original Form 4 filed on 06/16/2017 inadvertently omitted reporting the acquisition of Common Stock through the exercising of Warrants previously issued on 08/18/2016 as part of his 2016 Directors Compensation and was disclosed in the 2016 3Q 10-Q filing.
- F4The original Form 4 filed on 06/16/2017 erroneously reported that the Amount of Securities Beneficially Owned following the as 37,590 common shares. The correct number is 1,270,000 common shares after the included transactions disclosed in this filing.
- F5The original Form 4 filed on 06/16/2017 erroneously reported that the Amount of Securities Beneficially Owned following the as 770,000 warrants. The correct number is 2,267,500 warrants.
- F6The original Form 4 filed on 06/16/2017 erroneously reported that the Amount of Securities Beneficially Owned following the as 270,000 warrants. The correct number is 2,537,500 warrants.
Remarks
All other line items previously reported on the original Form 4 have been omitted from this Form 4/A as they have not changed.