Statement of Changes in Beneficial Ownership (4)
June 14 2016 - 5:17PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Mitchell Noah Malone III
|
2. Issuer Name
and
Ticker or Trading Symbol
TRANSATLANTIC PETROLEUM LTD.
[
TAT
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
__
X
__ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
Chief Executive Officer
|
(Last)
(First)
(Middle)
16803 DALLAS PARKWAY
|
3. Date of Earliest Transaction
(MM/DD/YYYY)
1/18/2016
|
(Street)
ADDISON, TX 75001
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security
(Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code
(Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Common Shares
|
6/12/2016
|
|
M
|
|
7685
|
A
|
(1)
|
335150
|
D
|
|
Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security
(Instr. 3)
|
2. Conversion or Exercise Price of Derivative Security
|
3. Trans. Date
|
3A. Deemed Execution Date, if any
|
4. Trans. Code
(Instr. 8)
|
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
|
6. Date Exercisable and Expiration Date
|
7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
|
8. Price of Derivative Security
(Instr. 5)
|
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
|
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
|
11. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
(A)
|
(D)
|
Date Exercisable
|
Expiration Date
|
Title
|
Amount or Number of Shares
|
Restricted Stock Units
|
(1)
|
6/12/2016
|
|
M
|
|
|
7685
|
(2)
|
(2)
|
Common Shares
|
7685
|
$0
|
0
|
D
|
|
Convertible Note
(3)
|
$6.8
|
1/18/2016
|
|
A
(3)
|
|
50000
|
|
(4)
|
7/1/2017
|
Common Shares
|
7352
|
$50000
|
301469
(5)
(6)
|
I
|
By Dalea Partners, LP
|
Explanation of Responses:
|
(
1)
|
Each restricted stock unit represents a contingent right to receive one share of TransAtlantic Petroleum Ltd. common stock.
|
(
2)
|
The restricted stock units vested in full on June 12, 2016.
|
(
3)
|
Dalea Partners, LP, an entity controlled by Mr. Mitchell, purchased $50,000 in convertible promissory notes from a third party noteholder on January 18, 2016. The convertible notes are convertible into shares of the Issuer's common shares, par value of $0.10 per share.
|
(
4)
|
The convertible notes are exercisable at any time after July 1, 2015.
|
(
5)
|
The reporting person disclaims beneficial ownership of the securities covered by this statement except to the extent of his pecuniary interest therein, and the inclusion of the securities covered by this statement herein shall not be deemed an admission of beneficial ownership of the securities covered by this statement for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Act"), or any other purpose.
|
(
6)
|
The reporting person may be deemed to be a member of a group with respect to the Issuer or securities of the Issuer for purposes of Section 13(d) or 13(g) of the Act. The reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) or 13(g) of the Act or any other purpose, a member of a group with respect to the Issuer or securities of the Issuer.
|
Reporting Owners
|
Reporting Owner Name / Address
|
Relationships
|
Director
|
10% Owner
|
Officer
|
Other
|
Mitchell Noah Malone III
16803 DALLAS PARKWAY
ADDISON, TX 75001
|
X
|
X
|
Chief Executive Officer
|
|
Signatures
|
Meredith V. Kennedy, Attorney-in-Fact
|
|
6/14/2016
|
**
Signature of Reporting Person
|
Date
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
|
*
|
If the form is filed by more than one reporting person,
see
Instruction 4(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).
|
Note:
|
File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
|
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.
|
TransAtlantic Petroleum (AMEX:TAT)
Historical Stock Chart
From Mar 2024 to Apr 2024
TransAtlantic Petroleum (AMEX:TAT)
Historical Stock Chart
From Apr 2023 to Apr 2024