Unruh Ray L 5
5 · Mesa Energy Holdings, Inc. · Filed Jan 28, 2013
Insider Transaction Report
Form 5
Unruh Ray L
DirectorPresident, Sec. and CFO10% Owner
Transactions
- Other
Option to Sell Outstanding Common Stock (right to sell)
2012-12-17$10.00/sh−3,667,461$36,674,610→ 0 totalExercise: $0.10→ Common Stock (3,667,461 underlying) - Gift
Common Stock
2012-12-17−1,900,000→ 1,875,000 total - Other
Common Stock
2012-12-17−2,249,722→ 0 total(indirect: By Cherokee Financial Corp.) - Other
Common Stock
2012-12-17+2,763,424→ 5,395,963 total(indirect: By Unruh & Unruh Properties Ltd.) - Other
Option to Sell Outstanding Common Stock (right to sell)
2012-12-17$10.00/sh−1,332,539$13,325,390→ 0 total(indirect: Option sold by Unruh & Unruh Properties, Ltd.)Exercise: $0.10→ Common Stock (1,332,539 underlying) - Sale
Option to Sell Outstanding Common Stock (right to sell)
2012-12-17$10.00/sh−1,800,000$18,000,000→ 1,800,000 totalExercise: $0.10From: 2012-12-17Exp: 2015-06-01→ Common Stock (1,800,000 underlying)
Holdings
- 770,830(indirect: By Ray L. Unruh Profit Sahring Plan)
Common Stock
Footnotes (6)
- [F1]On December 17, 2012, Mr. Unruh gifted 1,900,000 shares of the common stock of the Issuer, which he directly owned. On that date he also transferred 513,702 shares to Unruh & Unruh Properties Ltd. of which Mr. Unruh is the president and general partner.
- [F2]Includes 75,000 shares under a restricted stock grant pursuant to the Issuer's 2009 Equity Incentive Plan, of which 30,000 shares will vest on March 30, 2013 and 45,000 shares, on September 30, 2013.
- [F3]Ray L. Unruh transferred 2,249,722 shares of the common stock of the Issuer from Cherokee Financial Corp., of which Mr. Unruh is the sole officer, director and shareholder, to Unruh & Unruh Properties Ltd.
- [F4]Cancellation for value of fully vested option to sell outstanding common stock of the Issuer sold to Randy Griffin, Chief Executive Officer of the Issuer, pursuant to agreement between the parties dated December 17, 2012.
- [F5]Option (fully vested) to sell outstanding common stock of the Issuer sold to Randy Griffin, Chief Executive Officer of the Issuer. Pursuant to the agreement between the parties dated December 12, 2012, this option supersedes and cancels the previous option agreement between the parties dated June 10, 2010 pursuant to which Mr. Unruh sold to Mr. Griffin an option to purchase 3,667,461 shares of outstanding common stock of the Issuer.
- [F6]Cancellation for value of fully vested option to sell outstanding common stock of the Issuer sold to Randy Griffin, Chief Executive Officer of the Issuer, pursuant to agreement between the parties dated December 12, 2012.