SEC Form 4 · accession 0001493152-15-005749
Star Mountain Resources, Inc. · SMRS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Donald Sutherland
Director
Period of report
Oct 20, 2015
Accepted (ET)
Nov 20, 2015 · 2:54 pm EST
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,F2 | Oct 20, 2015 | P$0 | 400,000 | — | A | 1,729,666 | I | See Footnote 2 |
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,F2,F3 | $0.50 | Oct 20, 2015 | P | 400,000 | A | Apr 20, 2016 | — | Common | 800,000 | 800,000 | I |
| Series A Stock Purchase WarrantsF1,F2 | $0.75 | Oct 20, 2015 | P | 400,000 | A | Oct 20, 2015 | Oct 20, 2017 | Common | 533,333 | 533,333 | I |
| Series B Stock Purchase WarrantsF1,F2 | $1.50 | Oct 20, 2015 | P | 400,000 | A | Oct 20, 2015 | Oct 20, 2018 | Common | 266,667 | 266,667 | I |
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 $200,000.
- F2Securities are held by a trust for which the reporting person is a trustee
- F3None