Amended Statement of Changes in Beneficial Ownership (4/a)
October 04 2017 - 01:15PM
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
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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
*
West Family Investments, Inc.
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2. Issuer Name
and
Ticker or Trading Symbol
TRANSATLANTIC PETROLEUM LTD.
[
TAT
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
_____ 10% Owner
_____ Officer (give title below)
__
X
__ Other (specify below)
See Remarks
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(Last)
(First)
(Middle)
1603 ORRINGTON AVENUE, SUITE 810
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3. Date of Earliest Transaction
(MM/DD/YYYY)
10/2/2017
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(Street)
EVANSTON, IL 60201
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
10/2/2017
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6. Individual or Joint/Group Filing
(Check Applicable Line)
___ Form filed by One Reporting Person
_
X
_ 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 Shares
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10/2/2017
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J
(1)
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281366
(3)
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A
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$0.7108
(4)
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1011207
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I
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See Footnote 2.
(2)
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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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Explanation of Responses:
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(1)
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Transatlantic Petroleum Ltd. elected to pay the quarterly dividends due on September 30, 2017 on its 12.0% Series A Convertible Redeemable Preferred Shares (Series A Preferred Shares) in its Common Shares, par value $0.10 per share, as permitted by the certificate of designation for the Series A Preferred Shares. West Investment Holdings, LLC (WIH) owns 100,000 Series A Preferred Shares.
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(2)
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The Common Shares are owned by WIH, an entity owned by West Family Holdings, LLC, an entity that is owned by trusts of which Gary West and Mary West are beneficiaries.
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(3)
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The original Form 4 filed on October 2, 2017 is amended by this Form 4 amendment to correctly reflect the number of Common Shares paid to WIH.
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(4)
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The Common Shares were issued at a price of $0.7108 per share, which was equal to the 15-day volume weighted average price (VWAP) through the close of trading of the Common Shares on the NYSE American (or NYSE MKT) on September 13, 2017 (the trading day prior to the record date for such September 30, 2017 dividend).
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Remarks:
This statement is filed jointly on behalf of West Family Investments, Inc. (the Adviser), WIH, Gary West and Mary West (collectively, the reporting persons). The Adviser is an investment adviser exempt from registration pursuant to 17 C.F.R. Section 275.202(a)(11)(G)-1. Pursuant to Rule 16a-1 the Adviser does not beneficially own any securities listed on the Form 3 or Form 4. However, the Adviser maintains complete investment and voting power and authority with respect to all of the shares under management arrangements entered into by and between the Adviser and the direct owners of the shares (as indicated in the footnotes of the Form 3 and Form 4). WIH is a beneficial owner of greater than 10% of the Common Shares of the Issuer. The reporting persons disclaim beneficial ownership of all of the securities reported in Table I except to the extent of any pecuniary interest therein.
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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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West Family Investments, Inc.
1603 ORRINGTON AVENUE
SUITE 810
EVANSTON, IL 60201
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See Remarks
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WEST MARY E
1063 ORRINGTON AVENUE
SUITE 810
EVANSTON, IL 60201
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See Remarks
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West Gary
1603 ORRINGTON AVENUE
SUITE 810
EVANSTON, IL 60201
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See Remarks
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West Investment Holdings, LLC
1603 ORRINGTON AVENUE
SUITE 810
EVANSTON, IL 60201
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X
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See Remarks
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Signatures
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Randall Rochman, on behalf of West Family Investments, Inc., as its CEO
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10/4/2017
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**
Signature of Reporting Person
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Date
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Gary West
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10/4/2017
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**
Signature of Reporting Person
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Date
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Mary West
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10/4/2017
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**
Signature of Reporting Person
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Date
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Randall Rochman, on behalf of West Investment Holdings, LLC, as its Manager
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10/4/2017
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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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