SEC Form 4 · accession 0001062993-18-004899
Park Place Energy Inc. · PKPL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Arthur Halleran
Officer — President · Director
Period of report
Jan 21, 2018
Accepted (ET)
Dec 6, 2018 · 6:24 am EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001648636
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Oct 25, 2018 | A | 150,000 | $0.10 | A | 480,000 | D | |
| Common Stock | Oct 25, 2018 | A | 325,000 | $0.10 | A | 805,000 | D | |
| Common Stock | Nov 3, 2018 | J | 50,000 | $0.10 | D | 855,000 | D | |
| Common Stock | Nov 3, 2018 | J | 280,000 | $0.10 | D | 475,000 | D | |
| Common Stock | holding | — | — | — | 330,000 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option | $0.10 | Jan 22, 2016 | A | 50,000 | A | Jan 22, 2016 | Jan 21, 2019 | Common Stock | 50,000 | 50,000 | D |
| Stock Option | $0.18 | Mar 27, 2017 | A | 100,000 | A | Mar 27, 2017 | Mar 26, 2021 | Common Stock | 100,000 | 150,000 | D |
| Restricted Stock UnitsF3 | — | Apr 1, 2017 | A | 25,000 | A | Oct 7, 2017 | — | Common Stock | 25,000 | 175,000 | D |
| Stock Option | $0.12 | Jan 21, 2018 | P | 500,000 | A | Jan 21, 2018 | Jan 21, 2023 | Common Stock | 500,000 | 675,000 | D |
| Stock Option | $0.12 | Oct 25, 2018 | P | 350,000 | A | Oct 25, 2018 | Oct 25, 2023 | Common Stock | 350,000 | 1,025,000 | D |
| Restricted Stock UnitsF3 | — | Oct 7, 2018 | A | 25,000 | A | Oct 7, 2018 | — | Common Stock | 25,000 | 1,050,000 | D |
| Restricted Stock UnitsF3 | — | Sep 18, 2018 | A | 100,000 | A | Sep 18, 2018 | — | Common Stock | 100,000 | 1,150,000 | D |
| Restricted Stock UnitsF3 | — | Oct 25, 2018 | A | 150,000 | D | — | — | Common Stock | 150,000 | 1,000,000 | D |
Explanation of responses
- F1Disposition pursuant to matrimonial division of assets
- F2Conversion of RSUs to shares
- F3Each Restricted Stock Unit is a notional share of common shares of the Issuer, with a value of each Unit being equal to the Fair Market value of a share of common stock at any time.