UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Warrant (RIGHT TO BUY) | (2) | (2) | COMMON STOCK | 279,645 (1) | $ 1.38 | I | By CNI Commercial LLC (1) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
CHICKASAW NATION INDUSTRIES, INC. 2600 JOHN SAXON BLVD. NORMAN, OK 73071 |
X | |||
CNI COMMERCIAL LLC 2020 LONNIE ABBOTT BLVD ADA, OK 74820 |
X | |||
NIMMO DAVID 2600 JOHN SAXON BLVD. NORMAN, OK 73071 |
X |
/s/ DAVID NIMMO, AUTHORIZED SIGNATORY | 05/07/2015 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | The shares and the warrants are owned directly by CNI Commercial LLC, which is a wholly owned subsidiary of Chickasaw Nation Industries, Inc., of which David Nimmo is the President and Chief Executive Officer. David Nimmo disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that he is the beneficial owner of the securities for purposes of Section 16 or for any other purpose. |
(2) | The Warrant is currently exercisable and expires on May 20, 2020. |