Filing Details
- Accession Number:
- 0001144204-12-003879
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-01-25 15:19:42
- Reporting Period:
- 2009-05-20
- Filing Date:
- 2012-01-25
- Accepted Time:
- 2012-01-25 15:19:42
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
778165 | Rock Energy Resources Inc. | RCKE | Metal Mining (1000) | 112740461 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1422953 | V. Rocky Emery | 10375 Richmond Ave Suite 2100 Houston TX 77042 | See Remarks | Yes | Yes | 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 |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock | Acquisiton | 2010-10-24 | 13,955,525 | $0.04 | 23,621,859 | Yes | 4 | P | Direct | |
Common Stock | Acquisiton | 2011-08-15 | 10,000,000 | $0.00 | 33,621,859 | No | 4 | A | Direct | |
Common Stock | Acquisiton | 2012-01-19 | 2,500,000 | $0.16 | 36,121,859 | No | 4 | P | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
Yes | 4 | P | Direct | |
No | 4 | A | Direct | |
No | 4 | P | Direct |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Stock Option | Acquisiton | 2009-05-20 | 2,500,000 | $0.00 | 2,500,000 | $0.16 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
2,500,000 | 2008-05-20 | 2014-05-20 | No | 4 | A | Direct |
Footnotes
- Reporting Person received common shares from the conversion of accrued and unpaid salary and fees of $558,221, due at date of conversion, at the conversion rate of $.04 per shares, based upon the average public market price during the 30-day period, May 22, 2010 through June 22, 2010, a transaction approved by the Board of Directors.
- Reporting Person received a grant of 10,000,000 restricted common shares upon his signing and acceptance of his employment agreement, dated August 15, 2011.
- On May 20, 2008, Reporting Person received a stock option grant pursuant to the Company's 2009 Stock Grant and Option Plan (the "Stock Option Plan"), approved by the Board of Directors; on January 19, 2012, Reporting Person exercised the stock option grant to acquire all 2,500,000 common shares, at the grant date exercise price of $.16 per shares, electing to pay the exercise price of $400,000 by applying a corresponding amount of back salary due him under his employment agreements, and as permitted by Section 5.4(f) of the Stock Option Plan.