Statement of Changes in Beneficial Ownership (4)
March 09 2020 - 3:36PM
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
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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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ALLEN H C JR |
2. Issuer Name and Ticker or Trading Symbol
DORCHESTER MINERALS, L.P.
[
DMLP
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
3838 OAK LAWN AVE, SUITE 300 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
3/6/2020 |
(Street)
DALLAS, TX 75219
(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 Units | 3/6/2020 | | P | | 1000 | A | $13.70 | 28600 | I | See Footnote (1) |
Common Units | 3/6/2020 | | P | | 1000 | A | $13.65 | 29600 | I | See Footnote (1) |
Common Units | 3/6/2020 | | P | | 745 | A | $13.21 | 30345 | I | See Footnote (1) |
Common Units | 3/6/2020 | | P | | 255 | A | $13.40 | 30600 | I | See Footnote (1) |
Common Units | 3/6/2020 | | P | | 1000 | A | $13.23 | 21537 | I | See Footnote (2) |
Common Units | | | | | | | | 30608.02 | D (3) | |
Common Units | | | | | | | | 154840 | I | See Footnote (4) |
Common Units | | | | | | | | 5531 | I | See Footnote (5) |
Common Units | | | | | | | | 53224 | I | See Footnote (6) |
Common Units | | | | | | | | 8420 | I | See Footnote (7) |
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 |
Explanation of Responses: |
(1) | These common units are held by the Allen Credit Shelter Trust of which Mr. Allen is a trustee. |
(2) | These common units are held by the Allen Surviving Settlors Trust of which Mr. Allen is trustee. |
(3) | These common units are held by Mr. Allen in his individual name, IRA or Keogh Plan. |
(4) | Mr. Allen disclaims beneficial ownership of those common units owned by Rabbitfoot Investments, LLC in which he does not have pecuniary interest. Rabbitfoot Investments, LLC is owned by Rabbitfoot Ranch and Cattle Company, Ltd. and its general partner is RR&CC Management, Inc. which is owned by Mr. Allen and his spouse. |
(5) | Mr. Allen disclaims beneficial ownership of those common units owned by SAM Partners Management, Inc. in which he does not have a pecuniary interest. Mr. Allen is the secretary and a shareholder of SAM Partners Management, Inc. |
(6) | Mr. Allen disclaims beneficial ownership of those common units owned by Smith Allen Oil & Gas, LLP in which he does not have a pecuniary interest. Mr. Allen is the secretary and a shareholder of Smith Allen Oil & Gas, LLP. |
(7) | These common units are held by Mega Petroleum, Inc. Mr. Allen is the President of Mega Petroleum, Inc. and disclaims beneficial ownership of these units. This report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
ALLEN H C JR 3838 OAK LAWN AVE SUITE 300 DALLAS, TX 75219 | X |
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Signatures
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/s/ H.C. Allen, Jr. | | 3/9/2020 |
**Signature of Reporting Person | Date |
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