Statement of Changes in Beneficial Ownership (4)
April 24 2020 - 11:57AM
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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Masterson Nola E |
2. Issuer Name and Ticker or Trading Symbol
Zivo Bioscience, Inc.
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ZIVO
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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)
768 WEST CALIFORNIA WAY |
3. Date of Earliest Transaction
(MM/DD/YYYY)
9/10/2015 |
(Street)
WOODSIDE, CA 94062
(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 | 4/15/2020 | | M | | 136364 | A | $0.05 | 136364 | D | |
Common Stock | 4/15/2020 | | M | | 181818 | A | $0.07 | 318182 | D | |
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 |
Common Stock Purchase Warrant | $0.1 | 9/10/2015 | | A | | 250000 | | 9/10/2015 | 9/10/2020 | Common Stock | 250000 | (1) | 250000 | D | |
Common Stock Purchase Warrant | $0.05 | 9/10/2016 | | A | | 250000 | | 9/10/2016 | 9/10/2021 | Common Stock | 250000 | (1) | 250000 | D | |
Common Stock Purchase Warrant | $0.07 | 9/11/2017 | | A | | 500000 | | 9/11/2017 | 9/11/2022 | Common Stock | 500000 | (1) | 500000 | D | |
Common Stock Purchase Warrant | $0.14 | 9/28/2018 | | A | | 500000 | | 9/28/2018 | 9/26/2023 | Common Stock | 500000 | (1) | 500000 | D | |
Common Stock Purchase Warrant | $0.08 | 9/26/2019 | | A | | 500000 | | 9/26/2019 | 9/26/2024 | Common Stock | 500000 | (1) | 500000 | D | |
Common Stock Purchase Warrant | $0.05 | 4/15/2020 | | M | | | 250000 | 9/10/2016 | 9/10/2021 | Common Stock | 250000 | (2) | 250000 | D | |
Common Stock Purchase Warrant | $0.07 | 4/15/2020 | | M | | | 500000 | 9/11/2017 | 9/11/2022 | Common Stock | 500000 | (2) | 500000 | D | |
Explanation of Responses: |
(1) | The warrants were issued to the reporting person as compensation for acting as a director. |
(2) | The warrants were exercised utilizing the "cashless" exercise feature. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Masterson Nola E 768 WEST CALIFORNIA WAY WOODSIDE, CA 94062 | X |
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Signatures
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/s/ Nola E. Masterson | | 4/24/2020 |
**Signature of Reporting Person | Date |
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