Statement of Changes in Beneficial Ownership (4)
April 18 2014 - 3:59PM
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
*
BROOKS TODD ALAN
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2. Issuer Name
and
Ticker or Trading Symbol
ZaZa Energy Corp
[
ZAZA
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
__
X
__ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
President and CEO
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(Last)
(First)
(Middle)
1301 MCKINNEY STREET, SUITE 2800
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3. Date of Earliest Transaction
(MM/DD/YYYY)
4/16/2014
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(Street)
HOUSTON, TX 77010
(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)
___ 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 Stock
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4/16/2014
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F
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58016
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D
(1)
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$.55
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2840399
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D
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Common Stock
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4/16/2014
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D
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197861
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D
(2)
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$0
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2642538
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D
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Common Stock
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50000
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I
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See Footnote
(3)
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Common Stock
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20820200
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I
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See Footnote
(4)
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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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Pursuant to the grant agreement in respect of the award of restricted stock, the disposition represents shares used to satisfy the Company's tax withholding obligations.
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(
2)
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On April 16, 2014, 197,861 of the restricted common shares previously awarded to Mr. Brooks under the Company's Long Term Incentive Plan with respect to the 2013 calendar year (10,695 of which were scheduled to vest on March 15, 2015, and 187,166 of which were scheduled to vest on March 15, 2016), were rescinded and cancelled.
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(
3)
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Todd Alan Brooks is the general partner of FT Trading & Management, LP, the direct owner of 50,000 shares as of the date of this Form 4.
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(
4)
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Todd Alan Brooks is the Trustee of the Todd Alan Brooks Non Exempt trust, which is the sole member of Blackstone Oil & Gas, LLC. Blackstone Oil & Gas, LLC is the direct owner of 20,820,200 shares of Common Stock of ZaZa Energy Corporation as of the date of this Form 4.
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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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BROOKS TODD ALAN
1301 MCKINNEY STREET
SUITE 2800
HOUSTON, TX 77010
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X
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X
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President and CEO
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BLACKSTONE OIL & GAS, LLC
1301 MCKINNEY STREET
SUITE 2800
HOUSTON, TX 77010
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X
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TODD ALAN BROOKS NON EXEMPT TRUST
2727 ALLEN PARKWAY
SUITE 1700
HOUSTON, TX 77019
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X
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Signatures
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/s/ Todd Alan Brooks
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4/18/2014
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**
Signature of Reporting Person
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Date
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/s/ Todd Alan Brooks, President of Blackstone Oil & Gas, LLC
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4/18/2014
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**
Signature of Reporting Person
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Date
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/s/ Todd Alan Brooks, Trustee of the Todd Alan Brooks Non Exempt Trust
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4/18/2014
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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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