SEC Form 4 · accession 0001014108-17-000162
Black Ridge Oil & Gas, Inc. · SOWG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Brad Berman
Director · 10% Owner
Period of report
Sep 8, 2017
Accepted (ET)
Sep 26, 2017 · 6:29 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001490161
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Sep 8, 2017 | X | 44,543,019 | $0.012 | A | 58,686,893 | D | |
| Common Stock | Sep 8, 2017 | X | 1,673,082 | $0.012 | A | 58,686,893 | I | By wife |
| Common Stock | Sep 8, 2017 | X | 1,082,475 | $0.012 | A | 58,686,893 | I | By trust |
| Common Stock | Sep 8, 2017 | X | 1,082,475 | $0.012 | A | 58,686,893 | I | By trust |
| Common Stock | Sep 8, 2017 | X | 1,029,186 | $0.012 | A | 58,686,893 | I | By trust |
| Common Stock | Sep 8, 2017 | X | 968,985 | $0.012 | A | 58,686,893 | I | By trust |
| Common Stock | Sep 8, 2017 | X | 968,985 | $0.012 | A | 58,686,893 | I | By trust |
| Common Stock | Sep 8, 2017 | X | 731,511 | $0.012 | A | 58,686,893 | I | By trust |
| Common Stock | Sep 8, 2017 | X | 546,444 | $0.012 | A | 58,686,893 | I | By trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Subscription Rights (right to buy) | $0.012 | Sep 8, 2017 | X | 44,513,019 | D | Aug 2, 2017 | Sep 8, 2017 | Common Stock | 44,513,019 | 0 | D |
| Subscription Rights (right to buy) | $0.012 | Sep 8, 2017 | X | 1,673,082 | D | Aug 2, 2017 | Sep 8, 2017 | Common Stock | 1,673,082 | 0 | I |
| Subscription Rights (right to buy) | $0.012 | Sep 8, 2017 | X | 1,082,475 | D | Aug 2, 2017 | Sep 8, 2017 | Common Stock | 6,410,061 | 0 | I |
| Subscription Rights (right to buy) | $0.012 | Sep 8, 2017 | X | 1,082,475 | D | Aug 2, 2017 | Sep 8, 2017 | Common Stock | 6,410,061 | 0 | I |
| Subscription Rights (right to buy) | $0.012 | Sep 8, 2017 | X | 1,029,186 | D | Aug 2, 2017 | Sep 8, 2017 | Common Stock | 6,410,061 | 0 | I |
| Subscription Rights (right to buy) | $0.012 | Sep 8, 2017 | X | 968,985 | D | Aug 2, 2017 | Sep 8, 2017 | Common Stock | 6,410,061 | 0 | I |
| Subscription Rights (right to buy) | $0.012 | Sep 8, 2017 | X | 968,985 | D | Aug 2, 2017 | Sep 8, 2017 | Common Stock | 6,410,061 | 0 | I |
| Subscription Rights (right to buy) | $0.012 | Sep 8, 2017 | X | 731,511 | D | Aug 2, 2017 | Sep 8, 2017 | Common Stock | 6,410,061 | 0 | I |
| Subscription Rights (right to buy) | $0.012 | Sep 8, 2017 | X | 546,444 | D | Aug 2, 2017 | Sep 8, 2017 | Common Stock | 6,410,061 | 0 | I |