STROME MARK E 4
4 · Zivo Bioscience, Inc. · Filed Oct 30, 2023
Insider Transaction Report
Form 4
STROME MARK E
10% Owner
Transactions
- Conversion
Common Stock
2021-06-02$8.00/sh+326,286$2,610,288→ 326,286 total(indirect: By entity) - Purchase
Common Stock Purchase Warrant
2021-06-02$0.01/sh+40,000$400→ 40,000 total(indirect: By Trust)Exercise: $5.50From: 2021-06-02Exp: 2026-06-02→ Common Stock (40,000 underlying) - Other
Common Stock Purchase Warrant
2022-11-20−208,333→ 0 total(indirect: By entity)Exercise: $8.00From: 2017-11-20Exp: 2022-11-20→ Common Stock (208,333 underlying) - Other
Common Stock Purchase Warrant
2022-11-20−8,333→ 0 total(indirect: By entity)Exercise: $8.00From: 2017-11-20Exp: 2022-11-20→ Common Stock (8,333 underlying) - Other
Common Stock Purchase Warrant
2022-11-20−3,125→ 0 total(indirect: By entity)Exercise: $8.00From: 2017-11-20Exp: 2022-11-20→ Common Stock (3,125 underlying) - Purchase
Common Stock
2021-06-02$4.99/sh+40,000$199,600→ 203,601 total(indirect: By Trust) - Conversion
Convertible Debt
2021-06-02−2,191,187→ 0 total(indirect: By entity)Exercise: $8.00→ Common Stock (326,286 underlying) - Other
Common Stock Purchase Warrant
2022-09-25−3,125→ 0 total(indirect: By entity)Exercise: $8.00From: 2017-09-25Exp: 2022-09-25→ Common Stock (3,125 underlying) - Other
Common Stock Purchase Warrant
2022-11-20−4,166→ 0 total(indirect: By entity)Exercise: $8.00From: 2017-11-20Exp: 2022-11-20→ Common Stock (4,166 underlying) - Other
Common Stock Purchase Warrant
2022-07-24−3,125→ 0 total(indirect: By entity)Exercise: $8.00From: 2017-07-24Exp: 2022-07-24→ Common Stock (3,125 underlying) - Other
Common Stock Purchase Warrant
2022-11-20−104,166→ 0 total(indirect: By entity)Exercise: $8.00From: 2017-11-20Exp: 2022-11-20→ Common Stock (104,166 underlying)
Footnotes (5)
- [F1]The reported transaction resulted from the conversion of convertible debt into shares of common stock at $8.00.
- [F2]This filing is made on behalf of Strome Mezzanine Fund, L.P ("Strome Mezzanine"), Strome Alpha Fund LP ("Strome Alpha"), Strome Investment Management, LP, Strome Group, Inc., and Mark Strome (together, the "Reporting Persons"). Strome Investment Management, LP is the general partner of Strome Mezzanine. Strome Group, Inc. is the general partner of Strome Investment Management, LP. Mark Strome is the President and CEO of Strome Group, Inc. Strome Investment Management, LP, Strome Group, Inc., and Mark Strome may be deemed to share voting and investment power for the shares held by Strome Mezzanine and Strome Alpha.
- [F3]Pursuant to Rule 16a-1(a)(4) of the Securities Exchange Act of 1934 (the "Exchange Act"), this filing shall not be deemed an admission that the Reporting Persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any equity securities reported herein.
- [F4]The convertible debt was convertible at any time prior to, and did not expire until, the repayment or conversion of the convertible debt in full.
- [F5]Expiration of long derivative position (warrant) without value received.