Filing Details
- Accession Number:
- 0001062993-21-006969
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-08-03 16:24:46
- Reporting Period:
- 2021-06-18
- Accepted Time:
- 2021-08-03 16:24:46
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
315131 | Phx Minerals Inc. | PHX | Crude Petroleum & Natural Gas (1311) | 731055775 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1666682 | Edenbrook Capital, Llc | 116 Radio Circle Suite 202 Mount Kisco NY 10549 | No | No | Yes | No | |
1712127 | Jonathan Brolin | 116 Radio Circle Suite 202 Mount Kisco NY 10549 | No | No | Yes | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Class A Common Stock | Acquisiton | 2021-08-02 | 50,000 | $3.00 | 4,475,767 | No | 4 | P | Indirect | See footnotes |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | P | Indirect | See footnotes |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Class A Common Stock | Put Option (Obligation to Buy) | Disposition | 2021-06-18 | 3,500 | $0.00 | 350,000 | $1.50 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
0 | 2020-09-24 | 2021-06-18 | No | 4 | E | Indirect |
Reported Derivative Holdings
Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|---|---|---|---|
Class A Common Stock | Put Option (Obligation to Buy) | $2.50 | 2021-04-16 | 2021-11-19 | 210,000 | 2,100 | Indirect |
Class A Common Stock | Put Option (Obligation to Buy) | $2.50 | 2021-04-19 | 2021-11-19 | 210,000 | 2,100 | Indirect |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
2021-11-19 | 210,000 | 2,100 | Indirect |
2021-11-19 | 210,000 | 2,100 | Indirect |
Footnotes
- The securities reported herein are held in the accounts of private funds. Edenbrook Capital, LLC may be deemed to be a beneficial owner of such securities by virtue of its role as the investment manager of such private funds. Jonathan Brolin may be deemed to be a beneficial owner of such securities by virtue of his role as managing member of Edenbrook Capital, LLC. Each Reporting Person disclaims beneficial ownership in the securities reported on this Form 4 except to the extent of its pecuniary interest, if any, therein, and this report shall not be deemed to be an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 for any other purpose.
- The private funds managed by Edenbrook Capital, LLC wrote 4,200 put option contracts expiring in November 2021 which provide that the private funds will be required to purchase shares of Common Stock at the stated strike price if the counterparty exercises such option.
- The private funds managed by Edenbrook Capital, LLC wrote 3,500 put option contracts that expired on June 18, 2021.