SEC Form 4 · accession 0001062993-18-004904
Park Place Energy Inc. · PKPL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David Michael Thompson
Officer — Chief Financial Officer · Director · 10% Owner
Period of report
Jan 21, 2018
Accepted (ET)
Dec 6, 2018 · 7:40 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 26, 2018 | A | 250,000 | $0.10 | A | 850,000 | D | |
| Common Stock | Oct 26, 2018 | A | 100,000 | $0.10 | A | 950,000 | D | |
| Common Stock | holding | — | — | — | 600,000 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrants | $0.20 | Aug 27, 2017 | A | 125,000 | A | Aug 27, 2013 | Aug 27, 2018 | Common Shares | 125,000 | 125,000 | D |
| Stock Options | $0.10 | Jan 22, 2016 | A | 50,000 | A | Jan 22, 2016 | Jan 21, 2019 | Common Shares | 50,000 | 150,000 | D |
| Stock Options | $0.18 | Mar 27, 2017 | A | 100,000 | A | Mar 27, 2017 | Mar 26, 2021 | Common Shares | 100,000 | 250,000 | D |
| Restricted Stock UnitsF2 | — | Apr 1, 2017 | A | 25,000 | A | Apr 1, 2017 | — | Common Shares | 25,000 | 275,000 | D |
| Stock Options | $0.12 | Jan 21, 2018 | A | 300,000 | A | Jan 21, 2018 | Jan 21, 2023 | Common Shares | 300,000 | 575,000 | D |
| Stock Options | $0.12 | Oct 25, 2018 | A | 350,000 | A | Oct 25, 2018 | Oct 24, 2018 | Common Shares | 350,000 | 925,000 | D |
| Warrants | $0.20 | Aug 27, 2018 | E | 125,000 | A | Aug 27, 2018 | Aug 27, 2018 | Common Shares | 125,000 | 800,000 | D |
| Warrants | $0.15 | Nov 23, 2018 | A | 125,000 | A | Nov 23, 2018 | Nov 30, 2020 | Common Shares | 125,000 | 925,000 | D |
| Restricted Stock UnitsF2 | — | Oct 25, 2018 | A | 75,000 | A | Oct 25, 2018 | — | Common Shares | 75,000 | 1,000,000 | D |
| Restricted Stock UnitsF2 | — | Oct 25, 2018 | D | 100,000 | A | Oct 25, 2018 | — | Common Shares | 100,000 | 900,000 | D |
Explanation of responses
- F1Conversion of Restricted Stock Units into Fully paid Common Shares of the Company.
- F2Each 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.