4//SEC Filing
MOONEY EDWARD P 4
Accession 0001441557-13-000025
CIK 0001045390other
Filed
Feb 19, 7:00 PM ET
Accepted
Feb 20, 3:24 PM ET
Size
19.1 KB
Accession
0001441557-13-000025
Insider Transaction Report
Form 4
MOONEY EDWARD P
DirectorPresident & CEO10% Owner
Transactions
- Other
Common Stock
2013-02-20−11,194→ 14,850 total(indirect: By Children) - Other
Common Stock
2013-02-20−10,792→ 0 total
Holdings
- 417,482(indirect: By Trust)
Common Stock
- 11,601,101(indirect: By LLC)
Common Stock
- 50,000
Options
Exercise: $2.50Exp: 2015-12-25→ Common Stock (50,000 underlying) - 8,600(indirect: By LLC)
Series A Preferred
→ Common Stock (40,000 underlying) - 219,033
Restricted Stock Units
Exercise: $0.00→ Common Stock (83,333 underlying) - 100,000
Options
Exercise: $5.00Exp: 2015-12-28→ Common Stock (50,000 underlying) - 32,000(indirect: By LLC)
Warrants
Exercise: $0.01From: 2010-12-21Exp: 2016-05-31→ Common Stock (32,000 underlying) - 34,800(indirect: By LLC)
Warrants
Exercise: $0.00From: 2011-06-02Exp: 2016-05-31→ Common Stock (2,800 underlying) - 135,700
Restricted Stock Units
Exercise: $0.00→ Common Stock (35,700 underlying)
Footnotes (9)
- [F1]Represents securities owned by LIFE Power & Fuels, LLC, a Delaware limited liability ("LIFE"). The Reporting Person is the Managing Member of LIFE, but disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein.
- [F2]Represents common stock held by Edward P. and Teresa M. Mooney Revocable Living Trust.
- [F3]Volunitarily returned shares to Issuer.
- [F4]Represents common stock held by children of Edward P. Mooney.
- [F5]Vesting: 3 years, 25% immediate and 25% on each anniversary for 3 years.
- [F6]Each share of Series A Preferred Stock is convertible into five shares of common stock, and is convertible at any time without expiration.
- [F7]The Reporting Person received (i) 8,000 shares of Series A convertible preferred stock at a deemed purchase price of $10.00 per share, and (ii) warrants to purchase 2,800 shares of Common Stock at an exercise price of $0.01 per share, in consideration for the cancellation by the Issuer of a convertible promissory note issued to the Reporting Person in the principal amount of $80,000 due June 30, 2012.
- [F8]The restricted stock units ("RSUs") vested on May 8, 2012 and will expire at the end of the director's term. If the diretor resigns for cause or is removed for cause before the end of his term, the RSUs would lapse. However, if the director resigns for health or other appropriate reasons, his RSUs would vest immediately. The director is not permitted to sell the vested shares until he is no longer a director.
- [F9]The restricted stock units ("RSUs") will vest on the date of the 2013 annual meeting of stockholders and will expire at the end of the director's term. If the diretor resigns for cause or is removed for cause before the end of his term, the RSUs would lapse. However, if the director resigns for health or other appropriate reasons, his RSUs would vest immediately. The director is not permitted to sell the vested shares until he is no longer a director.
Documents
Issuer
COLOMBIA ENERGY RESOURCES, INC.
CIK 0001045390
Entity typeother
Related Parties
1- filerCIK 0001143131
Filing Metadata
- Form type
- 4
- Filed
- Feb 19, 7:00 PM ET
- Accepted
- Feb 20, 3:24 PM ET
- Size
- 19.1 KB