Statement of Changes in Beneficial Ownership (4)
August 05 2014 - 2:56PM
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).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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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
*
Stapleton John F
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2. Issuer Name
and
Ticker or Trading Symbol
EL CAPITAN PRECIOUS METALS INC
[
ECPN
]
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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)
CFO and Chairman of the Board
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(Last)
(First)
(Middle)
3190 HIGH POINT DRIVE
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3. Date of Earliest Transaction
(MM/DD/YYYY)
8/1/2014
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(Street)
CHASKA, MN 55318
(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 Stock
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4495980
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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)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Stock Options
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$0.38
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12/12/2013
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1/31/2019
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Common Stock
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500000
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500000
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D
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Stock Options
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$0.21
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7/6/2012
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7/6/2022
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Common Stock
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500000
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500000
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D
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Stock Options
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$1.02
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11/30/2012
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2/7/2018
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Common Stock
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500000
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500000
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D
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Stock Options (right to buy)
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$0.215
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1/15/2013
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1/15/2018
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Common Stock
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500000
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500000
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D
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Stock Options (right to buy)
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$0.16
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12/12/2013
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12/12/2018
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Common Stock
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500000
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500000
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D
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Stock Options (right to buy)
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$0.31
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3/14/2014
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3/14/2019
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Common Stock
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500000
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500000
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D
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Series B Convertible Preferred Stock
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(1)
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8/1/2014
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P
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51
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8/1/2014
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(2)
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Common Stock
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51
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$51
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51
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D
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Explanation of Responses:
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(
1)
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Series B Convertible Preferred Stock is convertible into common stock on a one-for-one basis. The Series B Convertible Preferred Stock provides that the holders of outstandng shares of Series B Convertiible Preferred Stock hold in the aggregate approximately 51% of the total voting power of all issued and outstanding voting capital of the Issuer. These voting rights apply solely with respect to matters upon which stockholders are entitled to vote or to which stockholders are entitled to give consent and relate to Company capitalization (including, without limitation, increasing and/or decreasing the number of authorized shares of common stock and/or preferred stock, and implementing forward and/or reverse stock splits) and changes in the Company's name. The holders of outstanding shares of Series B Converible Preferred Stock do not otherwise have the right to vote on matters brought before the stockholders.
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(
2)
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No expiration date.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Stapleton John F
3190 HIGH POINT DRIVE
CHASKA, MN 55318
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X
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CFO and Chairman of the Board
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Signatures
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/s/ John F. Stapleton
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8/5/2014
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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