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
  1. 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.
  2. 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.
  3. 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.