Statement of Changes in Beneficial Ownership (4)
September 08 2020 - 04:11PM
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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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
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Caruso Troy Andrew |
2. Issuer Name and Ticker or Trading Symbol
VIKING ENERGY GROUP, INC.
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VKIN
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director __X__ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
10 COLONIAL DRIVE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
7/7/2020 |
(Street)
SMITHTOWN, NY 11787
(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 | 7/7/2020 | | J(5) | | 701966 | A | $0 | 25769748 | I | See Footnote 2 (2) |
Common Stock | 7/8/2020 | | P | | 135000 | A | $0.122 | 25904748 | I | See Footnote 1 (1) |
Common Stock | 7/8/2020 | | P | | 180000 | A | $0.122 | 26084748 | I | See Footnote 3 (3) |
Common Stock | 7/8/2020 | | P | | 90000 | A | $0.122 | 26174748 | D | |
Common Stock | 7/14/2020 | | J(7) | | 11065574 | A | $0.122 | 37240322 | I | See Footnote 1 (1) |
Common Stock | 7/20/2020 | | J(6) | | 435559 | A | $0 | 37675881 | I | See Footnote 2 (2) |
Common Stock | 8/11/2020 | | J(8) | | 644579 | D | $0.122 | 37031302 | I | See Footnote 1 (1) |
Common Stock | 8/11/2020 | | J(9) | | 644579 | A | $0.122 | 37675881 | I | See Footnote 4 (4) |
Common Stock | 8/12/2020 | | J(8) | | 3000000 | D | $0.122 | 34675881 | I | See Footnote 1 (1) |
Common Stock | 8/12/2020 | | J(9) | | 3000000 | A | $0.122 | 37675881 | I | See Footnote 4 (4) |
Common Stock | 8/13/2020 | | J(8) | | 1045658 | D | $0.122 | 36630223 | I | See Footnote 1 (1) |
Common Stock | 8/13/2020 | | J(8) | | 1305240 | D | $0.122 | 35324983 | I | See Footnote 1 (1) |
Common Stock | 8/13/2020 | | J(8) | | 107603 | D | $0.122 | 35217380 | I | See Footnote 1 (1) |
Common Stock | 8/13/2020 | | J(8) | | 108123 | D | $0.122 | 35109257 | I | See Footnote 1 (10) |
Common Stock | 8/13/2020 | | J(8) | | 69614 | D | $0.122 | 35039643 | I | See Footnote 1 (1) |
Common Stock | 8/13/2020 | | J(9) | | 45000 | D | $0.122 | 34994643 | I | See Footnote 1 (1) |
Common Stock | 8/24/2020 | | J(5) | | 2139344 | A | $0.122 | 37133987 | I | See Footnote 2 (2) |
Common Stock | 8/26/2020 | | P | | 7124455 | A | $0.14 | 44258442 | I | See Footnote 4 |
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) | Represents shares owned by Radium2 Capital, LLC, of which the Reporting Person indirectly owns 95.38% of. The Reporting Person has the authority to sell, transfer, or vote all shares of Radium2 Capital, LLC. |
(2) | Represents shares owned by Radium Asset Management, LLC, of which the Reporting Person owns 100% of. |
(3) | Represents shares owned by Axe Capital Solutions, Inc., of which the Reporting Person owns 33.33% of. The Reporting Person has the authority to sell, transfer, or vote all shares of Axe Capital Solutions, Inc. |
(4) | Represents shares owned by Troy Caruso, Inc. of which the Reporting Person owns 100% of. |
(5) | Pursuant to the terms of a consulting agreement. |
(6) | Represents shares issued to Radium Asset Management, LLC, of which the Reporting Person owns 100% of, in connection with a Non-Discretionary Advisory Agreement, dated January 15, 2020, as amended on April 13, 2020, entered into between the Issuer and Radium Asset Management, LLC. |
(7) | See fn. 5; Of the 435,559 shares of common stock beneficially owned by the Reporting Person, only 435,550 shares have been issued and 9 shares remained unissued. |
(8) | See VKIN 8K, filed July 14, 2020. |
(9) | Represents shares transferred by Radium2 Capital, LLC, which is controlled by the Reporting Person, to syndicate partners of Radium2 Capital, LLC. |
(10) | Represents shares transferred by Radium2 Capital, LLC, which is controlled by the Reporting Persons, to investors of Radium2 Capital, LLC. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Caruso Troy Andrew 10 COLONIAL DRIVE SMITHTOWN, NY 11787 |
| X |
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Signatures
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/s/ Troy Caruso | | 9/8/2020 |
**Signature of Reporting Person | Date |
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