Form 4 for EP EMPIRE PETROLEUM CORP
Accepted 2021-09-30 00:00:00 ET · period of report 2021-09-28 · accession 0001072613-21-000576 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2021-09-30 | 2021-09-28 | EP | Pritchard Thomas W. | CEO, Dir | X - OptEx | $0.2834 | +343.6K | 200.0K | New | +$97.4K |
| DM | 2021-09-30 | 2021-09-28 | EP | Pritchard Thomas W. | CEO, Dir | S - Sale+OE | $0.75 | -343.6K | 0 | -100% | -$257.7K |
| DM | 2021-09-30 | 2021-09-28 | EP | Pritchard Thomas W. | CEO, Dir | X - OptEx | $0.00 | -2.70M | 0 | -100% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2021-09-28 | X | A | 143,600 | $0.33 | 143,600 | D | — | — | |
| 2 | Common | Common Stock | 2021-09-28 | S | D | 200,000 | $0.75 | 0 | D | — | — | |
| 3 | Common | Common Stock | 2021-09-28 | X | A | 200,000 | $0.25 | 200,000 | D | — | — | |
| 4 | Common | Common Stock | 2021-09-28 | S | D | 143,600 | $0.75 | 0 | D | — | — | |
| 5 | Derivative | Employee Stock Option (Right to Buy) | 2021-09-28 | X | D | 2,500,000 | $0.00 | 2,356,400 | D | $0.33 · 2019-04-03 to 2029-04-02 | 143,600 Common Stock | (F2) The Option vests in three installments as follows: 1,250,000 on April 3, 2019; 625,000 on April 3, 2020; and 625,000 on April 3, 2021. |
| 6 | Derivative | Common Stock Warrant (Right to Buy) | 2021-09-28 | X | D | 200,000 | $0.00 | 0 | D | $0.25 · 2017-12-01 to 2029-04-02 | 200,000 Common Stock | (F1) Common Stock Warrant was amended on 04/03/2019 to extend the expiration date from 12/31/2021 to 04/02/2029. |