Mark E. Strome - 02 Jun 2021 Form 4 Insider Report for Zivo Bioscience, Inc. (ZIVO)

Role
10%+ Owner
Signature
Mark E. Strome
Issuer symbol
ZIVO
Transactions as of
02 Jun 2021
Net transactions value
+$2,810,288
Form type
4
Filing time
30 Oct 2023, 17:01:28 UTC
Next filing
15 May 2023
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction ZIVO Common Stock Conversion of derivative security $2,610,288 +326,286 $8.00* 326,286 02 Jun 2021 By entity F1, F2, F3
transaction ZIVO Common Stock Purchase $199,600 +40,000 +24% $4.99 203,601 02 Jun 2021 By trust

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction ZIVO Common Stock Purchase Warrant Purchase $400 +40,000 $0.0100* 40,000 02 Jun 2021 Common Stock 40,000 $5.50 By trust F3
transaction ZIVO Convertible Debt Conversion of derivative security $0 -2,191,187 -100% $0.000000* 0 02 Jun 2021 Common Stock 326,286 $8.00 By entity F2, F3, F4
transaction ZIVO Common Stock Purchase Warrant Other $0 -3,125 -100% $0.000000* 0 24 Jul 2022 Common Stock 3,125 $8.00 By entity F2, F3, F5
transaction ZIVO Common Stock Purchase Warrant Other $0 -3,125 -100% $0.000000* 0 25 Sep 2022 Common Stock 3,125 $8.00 By entity F2, F3, F5
transaction ZIVO Common Stock Purchase Warrant Other $0 -208,333 -100% $0.000000* 0 20 Nov 2022 Common Stock 208,333 $8.00 By entity F2, F3, F5
transaction ZIVO Common Stock Purchase Warrant Other $0 -8,333 -100% $0.000000* 0 20 Nov 2022 Common Stock 8,333 $8.00 By entity F2, F3, F5
transaction ZIVO Common Stock Purchase Warrant Other $0 -3,125 -100% $0.000000* 0 20 Nov 2022 Common Stock 3,125 $8.00 By entity F2, F3, F5
transaction ZIVO Common Stock Purchase Warrant Other $0 -104,166 -100% $0.000000* 0 20 Nov 2022 Common Stock 104,166 $8.00 By entity F2, F3, F5
transaction ZIVO Common Stock Purchase Warrant Other $0 -4,166 -100% $0.000000* 0 20 Nov 2022 Common Stock 4,166 $8.00 By entity F2, F3, F5
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Mark E. Strome is no longer subject to Section 16 filing requirements. Form 4 or Form 5 obligations may continue.

Explanation of Responses:

Id Content
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.