STROME MEZZANINE FUND, LP 3
3 · Zivo Bioscience, Inc. · Filed Jul 31, 2017
Insider Transaction Report
Form 3
Zivo Bioscience, Inc.OTCQB:ZIVO
STROME MEZZANINE FUND, LP
10% Owner
Holdings
Common Stock Purchase Warrant
Exercise: $0.10From: 2017-07-21Exp: 2022-07-20→ Common Stock (250,000 underlying)- (indirect: By Participation Agreement)
Convertible Debt
Exercise: $0.10From: 2017-07-21Exp: 2018-09-30→ Common Stock (5,000,000 underlying)
Footnotes (2)
- [F1]Pursuant to Rule 16a-1(a)(4) of the Securities Exchange Act of 1934 ("Exchange Act"), this filing shall not be deemed an admission that the Reporting Person is, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any equity securities reported herein.
- [F2]The Reporting Person has entered into a Participation Agreement dated July 21, 2017 (the "Participation Agreement") with HEP Investments, LLC ("HEP"), under which the Reporting Person has funded $500,000 of a Ninth Amended and Restated Senior Secured Promissory Note (the "Note") and may demand that HEP convert the Reporting Person's portion of the Note. A copy of the Participation Agreement was filed with the Reporting Person's Schedule 13D on July 31, 2017.