4//SEC Filing
Helfert Lance W 4
Accession 0001181431-13-001153
CIK 0000008504other
Filed
Jan 2, 7:00 PM ET
Accepted
Jan 3, 5:16 PM ET
Size
13.1 KB
Accession
0001181431-13-001153
Insider Transaction Report
Form 4
Helfert Lance W
10% Owner
Transactions
- Other
Common Stock
2012-12-31+52,581→ 52,581 total(indirect: By Partnership)
Holdings
- 32,146(indirect: By Trust)
Common Stock
- 42,065(indirect: By Children)
Common Stock
- 53,577(indirect: By IRA)
Common Stock
- 2,417,660(indirect: By LLC)
Series A Preferred Stock
- 42,065(indirect: By Children)
Common Stock
- 11,812,469(indirect: By LLC)
Common Stock
- 32,146(indirect: By Trust)
Common Stock
- 14,813,923(indirect: By LLC)
Common Stock
Footnotes (4)
- [F1]Pro rata liquidating distribution of Issuer's common stock from Montecito Venture Partners, LLC, of which Mr. Helfert is a member. The distribution effects only a change in the form of beneficial ownership and is therefore exempt from Section 16 pursuant to Rule 16a-13, and is being reported herein for informational purposes only.
- [F2]Shares held by West Coast Opportunity Fund, LLC for the benefit of its members. The members are the beneficial owners of the shares reported herein. Some of the members are affiliated with the Reporting Person. The investments held by West Coast Opporunity Fund are managed by West Coast Asset Management, Inc. (the "Investment Manager"). Reporting Person serves on the investment committee of the Investment Manager. Reporting Person disclaims beneficial ownership of all securities reported herein, except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of the shares for purposes of Section 16 of the Securities and Exchange Act of 1934 or for any other person.
- [F3]Shares held by Montecito Venture Partners, LLC, which Reporting Person serves on the Board of Managers. Reporting Person disclaims beneficial ownership of all securities reported herein, except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of the shares for purposes of Section 16 of the Securities and Exchange Act of 1934 or for any other person.
- [F4]Shares held by Helfert Limited Partnership for the benefit of its partners. The partners are the beneficial owners of the shares reported herein. Some of the limited partners are affiliated with the Reporting Person. The investments held by the Helfert Limited Partnership are managed by the Investment Manager. Reporting Person serves on the investment committee of the Investment Manager. Reporting Person disclaims beneficial ownership of all securities reported herein, except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of the shares for purposes of Section 16 of the Securities and Exchange Act of 1934 or for any other person.
Documents
Issuer
EnerJex Resources, Inc.
CIK 0000008504
Entity typeother
Related Parties
1- filerCIK 0001407605
Filing Metadata
- Form type
- 4
- Filed
- Jan 2, 7:00 PM ET
- Accepted
- Jan 3, 5:16 PM ET
- Size
- 13.1 KB