SEC Form 4/A · accession 0001493152-15-004971
Star Mountain Resources, Inc. · SMRS
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
Edward Francis Brogan
Director · 10% Owner
Period of report
Oct 14, 2015
Accepted (ET)
Oct 22, 2015 · 8:27 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001477168
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Oct 14, 2015 | P$0 | 1,500,000 | — | A | 4,794,500 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series C Cumulative PreferredF1,F3,F2 | $0.50 | Oct 14, 2015 | P | 1,500,000 | A | Apr 14, 2016 | — | Common | 3,000,000 | 3,000,000 | D |
| Series A Stock Purchase WarrantsF1,F3 | $0.75 | Oct 14, 2015 | P | 1,500,000 | A | Oct 22, 2015 | Oct 14, 2017 | Common | 2,000,000 | 2,000,000 | D |
| Series B Stock Purchase WarrantsF1,F3 | $1.50 | Oct 14, 2015 | P | 1,500,000 | A | Oct 22, 2015 | Oct 14, 2018 | Common | 1,000,000 | 1,000,000 | D |
Explanation of responses
- F1Reporting person acquired all of the Series C Cumulative Preferred shares, common stock, Series A Common Stock Purchase Warrants and Series B Common Stock Purchase Warrants reported herein for an aggregate of $750,000.
- F2None.
- F3Amended to correct amount.