Statement of Changes in Beneficial Ownership (4)
June 16 2014 - 5:27PM
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).
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
BROOKS TODD ALAN
|
2. Issuer Name
and
Ticker or Trading Symbol
ZaZa Energy Corp
[
ZAZA
]
|
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
|
(Last)
(First)
(Middle)
1301 MCKINNEY STREET, SUITE 2800
|
3. Date of Earliest Transaction
(MM/DD/YYYY)
6/12/2014
|
(Street)
HOUSTON, TX 77010
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
___ Form filed by One Reporting Person
_
X
_ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security
(Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code
(Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Common Stock
|
6/13/2014
|
|
A
|
|
401175
|
A
|
$0.7489
(3)
|
6816206
|
D
|
|
Common Stock
|
|
|
|
|
|
|
|
50000
|
I
|
See Footnote
(1)
|
Common Stock
|
|
|
|
|
|
|
|
20820200
|
I
|
See Footnote
(2)
|
Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
|
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
|
Employee Stock Option (right to buy)
|
$0.63
|
6/12/2014
|
|
A
|
|
3167128
|
|
(4)
|
6/12/2024
|
Common Stock
|
3167128
|
$0
|
3167128
|
D
|
|
Explanation of Responses:
|
(
1)
|
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.
|
(
2)
|
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.
|
(
3)
|
This price reflects the weighted average purchase price for open-market purchases of Shares made by Todd Alan Brooks on June 13, 2014, within a $1.00 range. The actual prices for these transactions range from $0.671 to $0.79, inclusive. Mr. Brooks further undertakes to provide upon request by the Commission staff, the Issuer, or a security holder of the Issuer, full information regarding the number of Shares purchased at each separate price.
|
(
4)
|
These options vest in three annual installments as follows: 1,055,710 options vest on June 12, 2015; 1,055,709 options vest on June 12, 2016; and 1,055,709 options vest on June 12, 2017.
|
Reporting Owners
|
Reporting Owner Name / Address
|
Relationships
|
Director
|
10% Owner
|
Officer
|
Other
|
BROOKS TODD ALAN
1301 MCKINNEY STREET
SUITE 2800
HOUSTON, TX 77010
|
X
|
X
|
President and CEO
|
|
BLACKSTONE OIL & GAS, LLC
1301 MCKINNEY STREET
SUITE 2800
HOUSTON, TX 77010
|
|
X
|
|
|
TODD ALAN BROOKS NON EXEMPT TRUST
1301 MCKINNEY STREET
SUITE 2800
HOUSTON, TX 77010
|
|
X
|
|
|
Signatures
|
/s/ Todd Alan Brooks
|
|
6/16/2014
|
**
Signature of Reporting Person
|
Date
|
/s/ Todd Alan Brooks, President of Blackstone Oil & Gas, LLC
|
|
6/16/2014
|
**
Signature of Reporting Person
|
Date
|
/s/ Todd Alan Brooks, Trustee of the Todd Alan Brooks Non Exempt Trust
|
|
6/16/2014
|
**
Signature of Reporting Person
|
Date
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
|
*
|
If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
|
**
|
Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
|
Note:
|
File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
|
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.
|
ZaZa Energy (CE) (USOTC:ZAZA)
Historical Stock Chart
From Jun 2024 to Jul 2024
ZaZa Energy (CE) (USOTC:ZAZA)
Historical Stock Chart
From Jul 2023 to Jul 2024