SEC Form 5/A · accession 0001165195-15-000017
BALTIA AIR LINES INC · BLTA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 5/A). It replaces an earlier filing for the same period.
Reporting owner
Barry Clare
Officer — VP Finance
Period of report
Dec 31, 2011
Accepted (ET)
May 20, 2015 · 3:56 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000869187
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Aug 4, 2011 | J | 0 | $0.0001 | D | 96,253,998 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The original transaction on this date was listed as a disposal of 12,000,000 shares pursuant to the loss of the share certificates. In fact, the share certificates were NOT cancelled but stopped, meaning that while the shares could not be transferred by the transfer agent, the shares are still in the name of the reporting person, and should be considered owned by him despite the loss of the actual certificates.
- F2An audit of the shares issued to the reporting person identified the error noted in footnote 1 as well as certain other errors in the total reported shares due to transfers recorded by brokers of the reporting person's shares, including a transfer of shares to the reporting person's business partner. This number is believed to be accurate as of the date reported.