Statement of Changes in Beneficial Ownership (4)
January 07 2021 - 9:07AM
Edgar (US Regulatory)
FORM 4
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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
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3235-0287
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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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1. Name and Address of Reporting Person
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WILSON KENT |
2. Issuer Name and Ticker or Trading Symbol
Alpine 4 Technologies Ltd.
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ALPP
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner
__X__ Officer (give title below) _____ Other (specify below)
CEO, President, Secretary |
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(Last)
(First)
(Middle)
2525 E. ARIZONA BILTMORE CIR, C-237 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
12/29/2020 |
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(Street)
PHOENIX, AZ 85254
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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| Common A Stock | 12/29/2020 | | G(1) | | 65000.0000 | D | $4.2900 | 1951890.0000 | D |
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Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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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 |
| Class B Common Stock | (5) | 11/17/2020 | | D | | 150000.0000 (2) | | (5) | (5) | Class B Common Stock | 150000.0000 (2) | $0.0740 | 3135449.0000 | D |
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| Class B Common Stock | (5) | 11/17/2020 | | D | | 100000.0000 (3) | | (5) | (5) | Class B Common Stock | 100000.0000 (3) | $0.0740 | 3035449.0000 | D |
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| Class B Common Stock | (5) | 11/17/2020 | | D | | 100000.0000 (4) | | (5) | (5) | Class B Common Stock | 100000.0000 (4) | $0.0740 | 2935449.0000 | D |
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| Class C Common Stock | (6) | 11/17/2020 | | A | | 500000.0000 (6) | | (6) | (6) | Class A Common Stock | 500000.0000 (6) | $0.0740 | 1290169.0000 | D |
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| Explanation of Responses: |
| (1) | Charitable gift to Fire and Water International Church |
| (2) | Emma Joy Wilson Trust Fund |
| (3) | Liliana Alberta Wilson Trust Fund |
| (4) | Varick Steve Wilson Trust Fund |
| (5) | The Issuer's Class B Common Stock is convertible into the Issuer's Class A Common Stock at any time at the option of the reporting person. There is no expiration of the conversion right. Each one share of Class B Common Stock is convertible into one share of Class A Common Stock on the schedule set forth above. There is no exercise or conversion price payable. |
| (6) | The Issuer's Class C Common Stock is convertible into the Issuer's Class A Common Stock at any time at the option of the reporting person. There is no expiration of the conversion right. Each one share of Class C Common Stock is convertible into one share of Class A Common Stock on the schedule set forth above. There is no exercise or conversion price payable. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
WILSON KENT
2525 E. ARIZONA BILTMORE CIR
C-237
PHOENIX, AZ 85254 | X |
| CEO, President, Secretary |
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Signatures
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| /s/ Kent Wilson | | 12/29/2020 |
| **Signature of Reporting Person | Date |