PHILLIPS DALE EDWARD 4
4 · DEER VALLEY CORP · Filed Apr 1, 2010
Insider Transaction Report
Form 4
DEER VALLEY CORPDVLY
PHILLIPS DALE EDWARD
Other
Transactions
- Other
COMMON STOCK
2008-01-30+37,500→ 37,500 total(indirect: see footnote) - Other
WARRANT
2008-01-30+22,094→ 144,188 total(indirect: see footnote)Exercise: $1.50From: 2006-04-17Exp: 2011-04-17→ COMMON STOCK (22,094 underlying) - Disposition to Issuer
STOCK OPTION
2010-02-26−100,000→ 44,188 total→ COMMON STOCK (100,000 underlying) - Other
WARRANT
2008-01-30+22,094→ 122,094 total(indirect: see footnote)Exercise: $3.00From: 2006-04-17Exp: 2011-04-17→ COMMON STOCK (22,094 underlying)
Footnotes (3)
- [F1]Upon acquisition of an interest in Apogee Financial Investments, Inc., the Reporting Person acquired an indirect pecuniary interest in common stock of the Issuer already owned by Apogee Financial Investments, Inc.
- [F2]The Issuer redeemed from the Reporting Person (a) options exercisable for 50,000 shares of common stock and an exercise price of $1.14, and (b) options exercisable for 50,000 shares of common stock and an exercise price of $1.11.
- [F3]Upon acquisition of an interest in Apogee Financial Investments, Inc., the Reporting Person acquired an indirect pecuniary interest in derivative securities of the Issuer already owned by Apogee Financial Investments, Inc.