4//SEC Filing
RED MOUNTAIN RESOURCES, INC. 4
Accession 0001387131-14-003517
CIK 0001483496operating
Filed
Oct 23, 8:00 PM ET
Accepted
Oct 24, 4:11 PM ET
Size
23.3 KB
Accession
0001387131-14-003517
Insider Transaction Report
Form 4
Sophia Co Inc.
10% Owner
Transactions
- Purchase
Common Stock
2014-04-01+555,556→ 1,902,232 total - Other
Common Stock
2014-04-01+100,409→ 2,002,641 total - Sale
10.0% Series A Cumulative Redeemable Preferred Stock
2014-04-01−88,889→ 0 total - Purchase
Common Stock
2013-08-27$7.00/sh+285,714$1,999,998→ 1,346,676 total
Blue Jays Stiftung
10% Owner
Transactions
- Purchase
Common Stock
2014-04-01+555,556→ 1,902,232 total - Purchase
Common Stock
2013-08-27$7.00/sh+285,714$1,999,998→ 1,346,676 total - Other
Common Stock
2014-04-01+100,409→ 2,002,641 total - Sale
10.0% Series A Cumulative Redeemable Preferred Stock
2014-04-01−88,889→ 0 total
Footnotes (6)
- [F1]Effective January 31, 2014, Red Mountain Resources, Inc. (the "Issuer") effected a reverse stock split of its common stock, at an exchange ratio of 1-for-10 (the "Reverse Stock Split"), as reported in the Issuer's Current Report on Form 8-K, as filed with the Securities and Exchange Commission on February 4, 2014. Amounts and prices reported in this Form 4, as well as the disclosure in the footnotes to this Form 4, have been adjusted to give effect to the Reverse Stock Split.
- [F2]This statement is jointly filed by and on behalf of each of Sophia Company Inc. ("Sophia") and Blue Jays Stiftung ("BJS," and together with Sophia, the "Reporting Persons"). Sophia is the direct beneficial owner of the securities covered by this statement. BJS is the sole shareholder of Sophia and may be deemed to beneficially own securities owned by Sophia.
- [F3]Each Reporting Person states that neither the filing of this statement nor anything herein shall be deemed an admission that such person is, for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Act") or otherwise, the beneficial owner of any securities covered by this statement. Each Reporting Person disclaims beneficial ownership of the securities covered by this statement, except to the extent of the pecuniary interest of such person in such securities.
- [F4]Each Reporting Person may be deemed to be a member of a group with respect to the Issuer or securities of the Issuer for purposes of Section 13(d) or 13(g) of the Act. Each Reporting Person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) or 13(g) of the Act or any other purpose, a member of a group with respect to the Issuer or securities of the Issuer.
- [F5]Sophia exchanged 88,889 shares of 10.0% Series A Cumulative Redeemable Preferred Stock of the Issuer for 555,556 shares of common stock of the Issuer.
- [F6]Transferred to Sophia by a third party for no consideration.
Issuer
RED MOUNTAIN RESOURCES, INC.
CIK 0001483496
Entity typeoperating
IncorporatedTX
Related Parties
1- filerCIK 0001483496
Filing Metadata
- Form type
- 4
- Filed
- Oct 23, 8:00 PM ET
- Accepted
- Oct 24, 4:11 PM ET
- Size
- 23.3 KB