KAUFMAN SCOTT D 4

4 · Creek Road Miners, Inc. · Filed Apr 1, 2022

Form 4

Period: 2022-03-30

DirectorChairman, CEO and President

Transactions

Exercise/Conversion
Series A Preferred Stock
2022-03-30−6,249→ 6,250 total
Exercise: $0.00From: 2021-09-30→ Common Stock (357,085 underlying)
Conversion
Convertible Debenture
2022-03-30(indirect: See Footnote 3.)
Exercise: $0.17From: 2019-12-19Exp: 2022-12-31→ Common Stock (11,000 underlying)
Sale
Common Stock
2022-03-31$2.71/sh−7,000$18,983→ 1,202,523 total
Sale
Common Stock
2022-03-31$2.63/sh−11,000$28,966→ 1,202,523 total
Conversion
Convertible Debenture
2022-03-31(indirect: See Footnote 3.)
Exercise: $0.17From: 2019-12-19Exp: 2022-12-31→ Common Stock (7,000 underlying)

Holdings

Warrant
(indirect: See Footnote 3.)
Exercise: $0.17From: 2019-12-19Exp: 2024-12-01→ Common Stock (4,285,174 underlying)
4,285,174
Options
Exercise: $0.25From: 2020-08-03Exp: 2025-08-03→ Common Stock (37,500 underlying)
37,500
Convertible Debenture
(indirect: See Footnote 3.)
Exercise: $0.17From: 2019-12-19Exp: 2022-12-31→ Common Stock (14,267,714 underlying)
Series A Preferred Stock
From: 2021-12-31→ Common Stock (357,142 underlying)
6,250
Options
Exercise: $2.65From: 2021-12-01→ Common Stock (2,625,000 underlying)
2,625,000

Footnotes (4)

[F1]Each share of Series A Preferred Stock (the "Preferred Stock") is convertible into a number of shares of common stock determined by dividing the stated value of each share of Preferred Stock (currently $10) by the conversion price then in effect (currently $0.175). The Preferred Stock does not expire.
[F2]The dollar face amount of the Debenture is convertible into shares of common stock at the conversion price then in effect (currently $0.175).
[F3]Securities held by Barlock 2019 Fund, LP, an entity over which Scott Kaufman has managerial control.
[F4]Options granted pursuant to incentive and award plans. 25% of the options vest when the common share VWAP computed over 30 trading days reaches $2.50, $3.00, $3.50 and $4.00.

Documents

1 file