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AIFA

All In FutureTech Alliance, Inc.

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7672
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0001708341
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163

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Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
September 20, 2019 Filed Sep 24, 2019 20:37 UTC
PLISKA ADAM JDirector · President
GrantStock Options · Derivative 40,000 $0.00 Strike: $5.66 $0.00
Disclosure

SEC source: 0001179110-19-010584 · edgar.xml · derivative · entry 3

PLISKA ADAM J · CIK 0001431523 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2029-09-20

F3 · derivative.exercise_date: 10,000 shares vest on each of 9/20/2020, 9/20/2021, 9/20/2022 and 9/20/2023.

Read SEC document
September 20, 2019 Filed Sep 24, 2019 20:37 UTC
PLISKA ADAM JDirector · President
GrantCommon Stock 7,951 $0.00 $0.00
Disclosure

SEC source: 0001179110-19-010584 · edgar.xml · nonDerivative · entry 2

PLISKA ADAM J · CIK 0001431523 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 865,767

F2 · shares: Issued to the reporting person pursuant to a restricted stock grant. Restrictions lapse on 9/20/2020.

Read SEC document
September 20, 2019 Filed Feb 26, 2024 22:18 UTC GrantStock Options (right to buy) · Derivative 40,000 $0.00 Strike: $5.66 $0.00
Disclosure

SEC source: 0000929638-24-000769 · form4.xml · derivative · entry 4

PLISKA ADAM J · CIK 0001431523 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2029-09-20

F5 · derivative.exercise_date: 10,000 shares vest on each of 9/20/2020, 9/20/2021, 9/20/2022, and 9/20/2023.

Read SEC document
September 20, 2019 Filed Feb 26, 2024 22:15 UTC GrantStock Options (right to buy) · Derivative 40,000 $0.00 Strike: $5.66 $0.00
Disclosure

SEC source: 0000929638-24-000763 · form4.xml · derivative · entry 2

Lahti Joseph J · CIK 0001305278 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2029-09-20

F3 · derivative.exercise_date: 10,000 shares vest on each of 9/20/2020, 9/20/2021, 9/20/2022, and 9/20/2023.

Read SEC document
August 09, 2019 Filed Aug 20, 2019 19:43 UTC
BERMAN LYLEDirector · Chairman
GrantCommon Stock 120,000 $0.00 $0.00
Disclosure

SEC source: 0001179110-19-009726 · edgar.xml · nonDerivative · entry 3

BERMAN LYLE · CIK 0000903291 · Director · Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 455,689

F3 · shares: shares transferred by Black Ridge Oil & Gas, Inc. to reporting person in connection with the merger of AEM and the issuer.

Read SEC document
August 09, 2019 Filed Aug 20, 2019 19:43 UTC
BERMAN LYLEDirector · Chairman
GrantCommon Stock 43,689 $0.00 $0.00
Disclosure

SEC source: 0001179110-19-009726 · edgar.xml · nonDerivative · entry 2

BERMAN LYLE · CIK 0000903291 · Director · Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 335,689

F2 · shares: issued to reporting person pursuant to the Share Purchase Agreement in connection with the merger of Allied Esports Media, Inc. ("AEM") with the issuer, as 15% of the shares purchased by the reporting person.

Read SEC document
August 09, 2019 Filed Aug 21, 2019 01:06 UTC
Yang EricDirector · 10% owner · Vice Chairman of the Board
GrantWarrants · Derivative 3,125,640 $11.50 Strike: $11.50 $35,944,860.00
Disclosure

SEC source: 0001179110-19-009732 · edgar.xml · derivative · entry 4

Yang Eric · CIK 0001785822 · Director · 10% owner · Vice Chairman of the Board

Primo Vital Ltd · CIK 0001785837 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Primo Vital Limited

Disclosed balance after: 3,125,640

Underlying: Common Stock · 3,125,640 shares

Expires 2024-08-09

F4 · security: Primo acquired warrants to purchase 3,125,640 shares of issuer common stock in exchange for 9,543,692 shares of AEM previously held by the reporting person pursuant to AEM's merger with the issuer. Of the 3,125,640 warrants issued to the reporting person in the merger, 312,565 shares are currently being held in escrow and are subject to forfeiture during the one-year period following the merger to satisfy claims arising as a result of AEM's breach of any of its representations and warranties or covenants in the merger agreement. The closing price of the warrants on August 9, 2019 was $0.02005 per warrant.

F5 · ownership.nature: Mr. Yang, as director and chief executive officer of Primo Vital Limited, exercises voting and dispositive power over such shares. Mr. Yang disclaims beneficial ownership of such shares except to the extent of his ultimate pecuniary interest.

Read SEC document
August 09, 2019 Filed Aug 21, 2019 01:06 UTC
Yang EricDirector · 10% owner · Vice Chairman of the Board
GrantWarrants · Derivative 68,211 $11.50 Strike: $11.50 $784,426.50
Disclosure

SEC source: 0001179110-19-009732 · edgar.xml · derivative · entry 3

Yang Eric · CIK 0001785822 · Director · 10% owner · Vice Chairman of the Board

Primo Vital Ltd · CIK 0001785837 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,211

Underlying: Common Stock · 68,211 shares

Expires 2024-08-09

F3 · security: The reporting person acquired warrants to purchase 68,211 shares of issuer common stock in exchange for 208,272 shares of AEM previously held by the reporting person pursuant to AEM's merger with the issuer. Of the 68,211 warrants issued to the reporting person in the merger, 6,821 shares are currently being held in escrow and are subject to forfeiture during the one-year period following the merger to satisfy claims arising as a result of AEM's breach of any of its representations and warranties or covenants in the merger agreement. The closing price of the warrants on August 9, 2019 was $0.02005 per warrant.

Read SEC document
August 09, 2019 Filed Aug 21, 2019 01:06 UTC
Yang EricDirector · 10% owner · Vice Chairman of the Board
GrantCommon Stock 11,986,523 Not disclosed Not disclosed
Disclosure

SEC source: 0001179110-19-009732 · edgar.xml · nonDerivative · entry 2

Yang Eric · CIK 0001785822 · Director · 10% owner · Vice Chairman of the Board

Primo Vital Ltd · CIK 0001785837 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Primo Vital Limited

Disclosed balance after: 11,986,523

F2 · price: Primo Vital Limited is a wholly owned subsidiary of Ourgame International Holdings Limited ("Ourgame") of which Mr. Yang, as director and chief executive officer, exercises voting and dispositive power over such shares. Primo acquired 11,986,523 shares of issuer common stock in exchange for 9,543,692 shares of AEM previously held by the reporting person, and satisfaction of debt owed to Ourgame, pursuant to AEM's merger with the issuer. Of the 11,986,523 shares issued to the reporting person in the merger, 954,367 shares are currently being held in escrow and are subject to forfeiture during the one-year period following the merger to satisfy claims arising as a result of AEM's breach of the merger agreement.

F6 · price: The closing price of the shares on August 9, 2019 was $4.42 per share.

F7 · price: Excludes 3,163,602 additional shares of the issuer's common stock that the reporting person, as a former shareholder of AEM, will be entitled to receive as additional consideration under the merger agreement if the last reported sales price of the issuer's Common Stock equals or exceeds $13.00 per share.

F5 · ownership.nature: Mr. Yang, as director and chief executive officer of Primo Vital Limited, exercises voting and dispositive power over such shares. Mr. Yang disclaims beneficial ownership of such shares except to the extent of his ultimate pecuniary interest.

Read SEC document
August 09, 2019 Filed Aug 21, 2019 01:06 UTC
Yang EricDirector · 10% owner · Vice Chairman of the Board
GrantCommon Stock 208,272 Not disclosed Not disclosed
Disclosure

SEC source: 0001179110-19-009732 · edgar.xml · nonDerivative · entry 1

Yang Eric · CIK 0001785822 · Director · 10% owner · Vice Chairman of the Board

Primo Vital Ltd · CIK 0001785837 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 208,272

F1 · price: The reporting person acquired 208,272 shares of issuer common stock in exchange for 208,272 shares of Allied Esports Media, Inc. ("AEM") previously held by the reporting person pursuant to AEM's merger with the issuer. Of the 208,272 shares issued to the reporting person in the merger, 20,827 shares are currently being held in escrow and are subject to forfeiture during the one-year period following the merger to satisfy claims arising as a result of AEM's breach of the merger agreement. Excludes 69,039 additional shares of the issuer's common stock that the reporting person, as a former shareholder of AEM, will be entitled to receive as additional consideration under the merger agreement if the last reported sales price of the issuer's Common Stock equals or exceeds $13.00 per share (as adjusted for stock splits, stock dividends, reorganizations, and recapitalizations) for any consecutive 30 calendar days during the 5-yr period commencing on 9/9/19.

F6 · price: The closing price of the shares on August 9, 2019 was $4.42 per share.

Read SEC document
August 09, 2019 Filed Aug 21, 2019 01:02 UTC
Ng FrankDirector · CEO
GrantWarrants · Derivative 38,000 $11.50 Strike: $11.50 $437,000.00
Disclosure

SEC source: 0001179110-19-009730 · edgar.xml · derivative · entry 4

Ng Frank · CIK 0001785810 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · By Spouse

Disclosed balance after: 38,000

Underlying: Common Stock · 38,000 shares

Expires 2024-08-09

F5 · ownership.nature: 38,000 warrants to purchase common stock on account of $1 million promissory note issued to Ms. Man Sha, the reporting person's spouse, on or about May 17, 2019.

Read SEC document
August 09, 2019 Filed Aug 21, 2019 01:02 UTC
Ng FrankDirector · CEO
GrantWarrants · Derivative 68,233 $11.50 Strike: $11.50 $784,679.50
Disclosure

SEC source: 0001179110-19-009730 · edgar.xml · derivative · entry 3

Ng Frank · CIK 0001785810 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,233

Underlying: Common Stock · 68,233 shares

Expires 2024-08-09

F2 · security: The reporting person acquired warrants to purchase 68,233 shares of issuer common stock in exchange for 208,339 shares of AEM previously held by the reporting person pursuant to AEM's merger with the issuer. Of the 68,233 warrants issued to the reporting person in the merger, 6,823 shares are currently being held in escrow and are subject to forfeiture during the one-year period following the merger to satisfy claims arising as a result of AEM's breach of any of its representations and warranties or covenants in the merger agreement. The closing price of the warrants on August 9, 2019 was $0.02005 per warrant.

Read SEC document
August 09, 2019 Filed Aug 21, 2019 01:02 UTC
Ng FrankDirector · CEO
GrantCommon Stock 117,647 Not disclosed Not disclosed
Disclosure

SEC source: 0001179110-19-009730 · edgar.xml · nonDerivative · entry 2

Ng Frank · CIK 0001785810 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · By Spouse

Disclosed balance after: 117,647

F1 · price: The reporting person acquired 208,339 shares of issuer common stock in exchange for 208,339 shares of Allied Esports Media, Inc. ("AEM") previously held by the reporting person pursuant to AEM's merger with the issuer. Of the 208,339 shares issued to the reporting person in the merger, 20,834 shares are currently being held in escrow and are subject to forfeiture during the one-year period following the merger to satisfy claims arising as a result of AEM's breach of the merger agreement. Excludes 69,062 additional shares of the issuer's common stock that the reporting person, as a former shareholder of AEM, will be entitled to receive as additional consideration under the merger agreement if the last reported sales price of the issuer's Common Stock equals or exceeds $13.00 per share (as adjusted for stock splits, stock dividends, reorganizations, and recapitalizations) for any consecutive 30 calendar days during the 5-year period commencing on 9/9/19.

F4 · price: The closing price of the shares on August 9, 2019 was $4.42 per share.

F3 · ownership.nature: 117,647 shares will be issuable to Ms. Man Sha, the reporting person's spouse, upon conversion of the $1 million promissory note issued on or about May 17, 2019.

Read SEC document
August 09, 2019 Filed Aug 21, 2019 01:02 UTC
Ng FrankDirector · CEO
GrantCommon Stock 208,339 Not disclosed Not disclosed
Disclosure

SEC source: 0001179110-19-009730 · edgar.xml · nonDerivative · entry 1

Ng Frank · CIK 0001785810 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 208,339

F1 · price: The reporting person acquired 208,339 shares of issuer common stock in exchange for 208,339 shares of Allied Esports Media, Inc. ("AEM") previously held by the reporting person pursuant to AEM's merger with the issuer. Of the 208,339 shares issued to the reporting person in the merger, 20,834 shares are currently being held in escrow and are subject to forfeiture during the one-year period following the merger to satisfy claims arising as a result of AEM's breach of the merger agreement. Excludes 69,062 additional shares of the issuer's common stock that the reporting person, as a former shareholder of AEM, will be entitled to receive as additional consideration under the merger agreement if the last reported sales price of the issuer's Common Stock equals or exceeds $13.00 per share (as adjusted for stock splits, stock dividends, reorganizations, and recapitalizations) for any consecutive 30 calendar days during the 5-year period commencing on 9/9/19.

F4 · price: The closing price of the shares on August 9, 2019 was $4.42 per share.

Read SEC document
August 09, 2019 Filed Aug 21, 2019 00:58 UTC
Moon DavidChief Operating Officer
GrantWarrants · Derivative 21,613 $11.50 Strike: $11.50 $248,549.50
Disclosure

SEC source: 0001179110-19-009728 · edgar.xml · derivative · entry 2

Moon David · CIK 0001785999 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,613

Underlying: Common Stock · 21,613 shares

Expires 2024-08-09

F2 · security: The reporting person acquired warrants to purchase 21,613 shares of issuer common stock in exchange for 65,992 shares of AEM previously held by the reporting person pursuant to AEM's merger with and into the issuer. Of the 21,613 warrants issued to the reporting person in the merger, 2,161 shares are currently being held in escrow and are subject to forfeiture during the one-year period following the merger to satisfy claims arising as a result of AEM's breach of any of its representations and warranties or covenants in the merger agreement. The closing price of the warrants on August 9, 2019 was $0.02005.

Read SEC document
August 09, 2019 Filed Aug 21, 2019 00:58 UTC
Moon DavidChief Operating Officer
GrantCommon Stock 65,992 Not disclosed Not disclosed
Disclosure

SEC source: 0001179110-19-009728 · edgar.xml · nonDerivative · entry 1

Moon David · CIK 0001785999 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,992

F1 · price: The reporting person acquired 65,992 shares of issuer common stock in exchange for 65,992 shares of Allied Esports Media, Inc. ("AEM") previously held by the reporting person pursuant to AEM's merger with the issuer. Of the 65,992 shares issued to the reporting person in the merger, 6,599 shares are currently being held in escrow and are subject to forfeiture during the one-year period following the merger to satisfy claims arising as a result of AEM's breach of the merger agreement. Excludes 21,875 additional shares of the issuer's common stock that the reporting person, as a former shareholder of AEM, will be entitled to receive as additional consideration under the merger agreement if the last reported sales price of the issuer's Common Stock equals or exceeds $13.00 per share (as adjusted for stock splits, stock dividends, reorganizations, and recapitalizations) for any consecutive 30 calendar days during the 5-year period commencing on 9/9/19.

Read SEC document
August 09, 2019 Filed Aug 21, 2019 20:35 UTC
DeCubellis KennethDirector · Chief Financial Officer · 10% owner
Sow Good Inc.10% owner
Disposition to issuerCommon Stock 720,000 $0.00 $0.00
Disclosure

SEC source: 0001179110-19-009752 · edgar.xml · nonDerivative · entry 7

DeCubellis Kenneth · CIK 0001534148 · Director · Chief Financial Officer · 10% owner

Black Ridge Oil & Gas, Inc. · CIK 0001490161 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · by Black Ridge Oil & Gas, Inc.

Disclosed balance after: 2,685,500

F7 · shares: 720,000 shares were transferred to subscribers in the issuer's private placement that closed on August 9, 2019.

F2 · ownership.nature: Mr. DeCubellis, as Chairman and Chief Executive Officer of Black Ridge Oil & Gas, Inc. exercises voting and dispositive power over such shares. Mr. DeCubellis disclaims beneficial ownership of such shares except to the extent of his ultimate pecuniary interest.

Read SEC document
August 09, 2019 Filed Aug 21, 2019 20:35 UTC
DeCubellis KennethDirector · Chief Financial Officer · 10% owner
Sow Good Inc.10% owner
Disposition to issuerCommon Stock 600,000 $0.00 $0.00
Disclosure

SEC source: 0001179110-19-009752 · edgar.xml · nonDerivative · entry 6

DeCubellis Kenneth · CIK 0001534148 · Director · Chief Financial Officer · 10% owner

Black Ridge Oil & Gas, Inc. · CIK 0001490161 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · by Black Ridge Oil & Gas, Inc.

Disclosed balance after: 3,405,500

F6 · shares: 600,000 shares were transferred to Primo Vital Limited in connection with the merger of AEM with the issuer on August 9, 2019.

F2 · ownership.nature: Mr. DeCubellis, as Chairman and Chief Executive Officer of Black Ridge Oil & Gas, Inc. exercises voting and dispositive power over such shares. Mr. DeCubellis disclaims beneficial ownership of such shares except to the extent of his ultimate pecuniary interest.

Read SEC document
August 09, 2019 Filed Aug 21, 2019 20:35 UTC
DeCubellis KennethDirector · Chief Financial Officer · 10% owner
Sow Good Inc.10% owner
GrantCommon Stock 66,000 $9.09 $599,940.00
Disclosure

SEC source: 0001179110-19-009752 · edgar.xml · nonDerivative · entry 5

DeCubellis Kenneth · CIK 0001534148 · Director · Chief Financial Officer · 10% owner

Black Ridge Oil & Gas, Inc. · CIK 0001490161 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · by Black Ridge Oil & Gas, Inc.

Disclosed balance after: 4,005,500

F5 · shares: 60,000 units were issued as conversion of a convertible promissory note issued by Black Ridge Oil & Gas, Inc. ("BRAC") to issuer, which had an outstanding principal amount of $600,000 and accrued no interest, at a rate of $10 per unit. Each unit was entitled to one shares of common stock, one warrant to purchases common stock, and a right to one-tenth of a share of common stock upon the consummation of a business combination by the issuer. The units were automatically converted as a result of the merger of AEM with the issuer on August 9, 2019 into 66,000 shares of common stock and 60,000 warrants.

F2 · ownership.nature: Mr. DeCubellis, as Chairman and Chief Executive Officer of Black Ridge Oil & Gas, Inc. exercises voting and dispositive power over such shares. Mr. DeCubellis disclaims beneficial ownership of such shares except to the extent of his ultimate pecuniary interest.

Read SEC document
August 09, 2019 Filed Aug 21, 2019 20:35 UTC
DeCubellis KennethDirector · Chief Financial Officer · 10% owner
Sow Good Inc.10% owner
GrantCommon Stock 44,500 $0.00 $0.00
Disclosure

SEC source: 0001179110-19-009752 · edgar.xml · nonDerivative · entry 4

DeCubellis Kenneth · CIK 0001534148 · Director · Chief Financial Officer · 10% owner

Black Ridge Oil & Gas, Inc. · CIK 0001490161 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · by Black Ridge Oil & Gas, Inc.

Disclosed balance after: 3,939,500

F4 · shares: 44,500 shares of common stock were issued as a result of the conversion of 44,500 rights to receive common stock as a result of the merger of AEM with the issuer on August 9, 2019. The closing price of the shares on August 9, 2019 was $4.42.

F2 · ownership.nature: Mr. DeCubellis, as Chairman and Chief Executive Officer of Black Ridge Oil & Gas, Inc. exercises voting and dispositive power over such shares. Mr. DeCubellis disclaims beneficial ownership of such shares except to the extent of his ultimate pecuniary interest.

Read SEC document
August 09, 2019 Filed Aug 27, 2019 15:05 UTC
PLISKA ADAM JDirector · President
GrantWarrant · Derivative 38,000 $11.50 Strike: $11.50 $437,000.00
Disclosure

SEC source: 0001179110-19-009865 · edgar.xml · derivative · entry 4

PLISKA ADAM J · CIK 0001431523 · Director · President

10b5-1 filing: Not disclosed

Ownership: Indirect · by Lipscomb/Visoli Children's Trust

Disclosed balance after: 140,024

Underlying: Common Stock · 38,000 shares

Expires 2024-08-09

F4 · security: 38,000 warrants to purchase common stock issuable to the Lipscomb/Visoli Children's Trust, of which Mr. Pliska is trustee, on account of a $1 million promissory note issued to such trust on or about May 17, 2019. Mr. Pliska disclaims any pecuniary interest in such warrants.

Read SEC document
August 09, 2019 Filed Aug 27, 2019 15:05 UTC
PLISKA ADAM JDirector · President
GrantWarrants · Derivative 102,024 $11.50 Strike: $11.50 $1,173,276.00
Disclosure

SEC source: 0001179110-19-009865 · edgar.xml · derivative · entry 3

PLISKA ADAM J · CIK 0001431523 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 102,024

Underlying: Common Stock · 102,024 shares

Expires 2024-08-09

F2 · security: The reporting person acquired warrants to purchase 102,024 shares of issuer common stock in exchange for 311,516 shares of AEM previously held by the reporting person pursuant to AEM's merger with the issuer. Of the 102,024 warrants issued to the reporting person in the merger, 10,202 warrants are currently being held in escrow and are subject to forfeiture during the one-year period following the merger to satisfy claims arising as a result of AEM's breach of the merger agreement. The closing price of the warrants on August 9, 2019 was $0.02005 per warrant.

Read SEC document
August 09, 2019 Filed Aug 27, 2019 15:05 UTC
PLISKA ADAM JDirector · President
OtherCommon Stock 117,647 $0.00 $0.00
Disclosure

SEC source: 0001179110-19-009865 · edgar.xml · nonDerivative · entry 2

PLISKA ADAM J · CIK 0001431523 · Director · President

10b5-1 filing: Not disclosed

Ownership: Indirect · by Lipscomb/Visoli Children's Trust

Disclosed balance after: 117,647

F5 · security: Includes 117,647 shares that will be issuable to the Lipscomb/Visoli Children's Trust, of which Mr. Pliska is trustee, if the trust elects to convert the $1 million promissory note issued to such trust on or about May 17, 2019. Mr. Pliska disclaims any pecuniary interest in such shares.

Read SEC document
August 09, 2019 Filed Aug 27, 2019 15:05 UTC
PLISKA ADAM JDirector · President
OtherCommon Stock 857,816 Not disclosed Not disclosed
Disclosure

SEC source: 0001179110-19-009865 · edgar.xml · nonDerivative · entry 1

PLISKA ADAM J · CIK 0001431523 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 857,816

F1 · price: The reporting person acquired 311,516 shares of issuer common stock in exchange for 311,516 shares of Allied Esports Media, Inc. ("AEM") previously held by the reporting person pursuant to AEM's merger with the issuer. Of the 311,516 shares issued to the reporting person in the merger, 31,152 shares are currently being held in escrow and are subject to forfeiture during the one-year period following the merger to satisfy claims arising as a result of AEM's breach of any of the merger agreement. Excludes 103,263 additional shares of the issuer's common stock that the reporting person, as a former shareholder of AEM, will be entitled to receive as additional consideration under the merger agreement if the last reported sales price of the issuer's Common Stock equals or exceeds $13.00 per share (as adjusted for stock splits, stock dividends, reorganizations, and recapitalizations) for any consecutive 30 calendar days during the 5-year period commencing on August 9, 2019.

F3 · price: Also includes 546,300 shares issued in satisfaction of AEM's obligation to the reporting person for prior services rendered and shares issued as consideration under profit sharing and introduction agreement, payable in connection with the foregoing merger. The closing price of the shares on August 9, 2019 was $4.42 per share.

Read SEC document
August 09, 2019 Filed Sep 17, 2019 09:26 UTC Amendment
BERMAN LYLEDirector · Chairman
OtherCommon Stock 43,800 $0.00 $0.00
Disclosure

SEC source: 0001179110-19-010392 · edgar.xml · nonDerivative · entry 1

BERMAN LYLE · CIK 0000903291 · Director · Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 455,800

F1 · kind: Issued to reporting person pursuant to the Share Purchase Agreement in connection with the merger of Allied Esports Media, Inc. ("AEM") with the issuer, as 15% of the shares purchased by the reporting person. This amendment is being filed to correct this amount from the previously filed Form 4.

F1 · shares: Issued to reporting person pursuant to the Share Purchase Agreement in connection with the merger of Allied Esports Media, Inc. ("AEM") with the issuer, as 15% of the shares purchased by the reporting person. This amendment is being filed to correct this amount from the previously filed Form 4.

F2 · ownership.direct: All shares held by the Reporting Person's Revocable Trust.

Read SEC document
August 09, 2019 Filed Sep 18, 2019 21:30 UTC Amendment
DeCubellis KennethDirector · Chief Financial Officer · 10% owner
Sow Good Inc.10% owner
ConversionWarrants to purchase Common Stock · Derivative 60,000 $0.00 Strike: $11.50 $0.00
Disclosure

SEC source: 0001179110-19-010469 · edgar.xml · derivative · entry 6

DeCubellis Kenneth · CIK 0001534148 · Director · Chief Financial Officer · 10% owner

Black Ridge Oil & Gas, Inc. · CIK 0001490161 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Black Ridge Oil & Gas, Inc.

Disclosed balance after: 60,000

Underlying: Common Stock · 60,000 shares

Expires 2024-08-09

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · kind: Black Ridge received 66,000 shares of common stock and 60,000 warrants (the "Warrants") upon the conversion of convertible promissory notes held by Black Ridge in the principal amount of $600,000. The notes were converted as a result of the merger of AEM with Allied Esports Entertainment, Inc. on August 9, 2019.

F7 · kind: This transaction was inadvertently omitted from the original form 4 filing.

F1 · ownership.nature: Mr. DeCubellis, as Chairman and Chief Executive Officer of Black Ridge Oil & Gas, Inc. ("Black Ridge") exercises voting and dispositive power over such shares. Mr. DeCubellis disclaims beneficial ownership of such shares except to the extent of his ultimate pecuniary interest.

Read SEC document
August 09, 2019 Filed Sep 18, 2019 21:30 UTC Amendment
DeCubellis KennethDirector · Chief Financial Officer · 10% owner
Sow Good Inc.10% owner
ConversionWarrants to purchase common stock · Derivative 445,000 $0.00 Strike: $11.50 $0.00
Disclosure

SEC source: 0001179110-19-010469 · edgar.xml · derivative · entry 5

DeCubellis Kenneth · CIK 0001534148 · Director · Chief Financial Officer · 10% owner

Black Ridge Oil & Gas, Inc. · CIK 0001490161 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · by Black Ridge Oil & Gas, Inc.

Disclosed balance after: 445,000

Underlying: Common Stock · 445,000 shares

Expires 2024-08-09

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · kind: 489,500 shares of common stock and 445,000 warrants were issued as a result of the conversion of 445,000 previously existing units held by Black Ridge, in connection with the merger of Allied Esports Media, Inc. ("AEM") with Allied Esports Entertainment, Inc. on August 9, 2019.

F7 · kind: This transaction was inadvertently omitted from the original form 4 filing.

F1 · ownership.nature: Mr. DeCubellis, as Chairman and Chief Executive Officer of Black Ridge Oil & Gas, Inc. ("Black Ridge") exercises voting and dispositive power over such shares. Mr. DeCubellis disclaims beneficial ownership of such shares except to the extent of his ultimate pecuniary interest.

Read SEC document
August 09, 2019 Filed Sep 18, 2019 21:30 UTC Amendment
DeCubellis KennethDirector · Chief Financial Officer · 10% owner
Sow Good Inc.10% owner
OtherCommon Stock 720,000 $0.00 $0.00
Disclosure

SEC source: 0001179110-19-010469 · edgar.xml · nonDerivative · entry 4

DeCubellis Kenneth · CIK 0001534148 · Director · Chief Financial Officer · 10% owner

Black Ridge Oil & Gas, Inc. · CIK 0001490161 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · by Black Ridge Oil & Gas, Inc.

Disclosed balance after: 2,685,500

F5 · kind: 720,000 shares were transferred to subscribers in the issuer's private placement that closed on August 9, 2019.

F6 · kind: This amendment is being filed to correct the transaction code.

F1 · ownership.nature: Mr. DeCubellis, as Chairman and Chief Executive Officer of Black Ridge Oil & Gas, Inc. ("Black Ridge") exercises voting and dispositive power over such shares. Mr. DeCubellis disclaims beneficial ownership of such shares except to the extent of his ultimate pecuniary interest.

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August 09, 2019 Filed Sep 18, 2019 21:30 UTC Amendment
DeCubellis KennethDirector · Chief Financial Officer · 10% owner
Sow Good Inc.10% owner
OtherCommon Stock 600,000 $0.00 $0.00
Disclosure

SEC source: 0001179110-19-010469 · edgar.xml · nonDerivative · entry 3

DeCubellis Kenneth · CIK 0001534148 · Director · Chief Financial Officer · 10% owner

Black Ridge Oil & Gas, Inc. · CIK 0001490161 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · by Black Ridge Oil & Gas, Inc.

Disclosed balance after: 3,405,500

F4 · kind: 600,000 shares were transferred to Primo Vital Limited in connection with the merger of AEM with the issuer on August 9, 2019.

F6 · kind: This amendment is being filed to correct the transaction code.

F1 · ownership.nature: Mr. DeCubellis, as Chairman and Chief Executive Officer of Black Ridge Oil & Gas, Inc. ("Black Ridge") exercises voting and dispositive power over such shares. Mr. DeCubellis disclaims beneficial ownership of such shares except to the extent of his ultimate pecuniary interest.

Read SEC document
August 09, 2019 Filed Sep 18, 2019 21:30 UTC Amendment
DeCubellis KennethDirector · Chief Financial Officer · 10% owner
Sow Good Inc.10% owner
ConversionCommon Stock 66,000 $9.09 $599,940.00
Disclosure

SEC source: 0001179110-19-010469 · edgar.xml · nonDerivative · entry 2

DeCubellis Kenneth · CIK 0001534148 · Director · Chief Financial Officer · 10% owner

Black Ridge Oil & Gas, Inc. · CIK 0001490161 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · by Black Ridge Oil & Gas, Inc.

Disclosed balance after: 4,005,500

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · kind: Black Ridge received 66,000 shares of common stock and 60,000 warrants (the "Warrants") upon the conversion of convertible promissory notes held by Black Ridge in the principal amount of $600,000. The notes were converted as a result of the merger of AEM with Allied Esports Entertainment, Inc. on August 9, 2019.

F6 · kind: This amendment is being filed to correct the transaction code.

F1 · ownership.nature: Mr. DeCubellis, as Chairman and Chief Executive Officer of Black Ridge Oil & Gas, Inc. ("Black Ridge") exercises voting and dispositive power over such shares. Mr. DeCubellis disclaims beneficial ownership of such shares except to the extent of his ultimate pecuniary interest.

Read SEC document
August 09, 2019 Filed Sep 18, 2019 21:30 UTC Amendment
DeCubellis KennethDirector · Chief Financial Officer · 10% owner
Sow Good Inc.10% owner
ConversionCommon Stock 489,500 $0.00 $0.00
Disclosure

SEC source: 0001179110-19-010469 · edgar.xml · nonDerivative · entry 1

DeCubellis Kenneth · CIK 0001534148 · Director · Chief Financial Officer · 10% owner

Black Ridge Oil & Gas, Inc. · CIK 0001490161 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · by Black Ridge Oil & Gas, Inc.

Disclosed balance after: 3,939,500

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · kind: 489,500 shares of common stock and 445,000 warrants were issued as a result of the conversion of 445,000 previously existing units held by Black Ridge, in connection with the merger of Allied Esports Media, Inc. ("AEM") with Allied Esports Entertainment, Inc. on August 9, 2019.

F6 · kind: This amendment is being filed to correct the transaction code.

F8 · shares: This amendment corrects the number of shares.

F1 · ownership.nature: Mr. DeCubellis, as Chairman and Chief Executive Officer of Black Ridge Oil & Gas, Inc. ("Black Ridge") exercises voting and dispositive power over such shares. Mr. DeCubellis disclaims beneficial ownership of such shares except to the extent of his ultimate pecuniary interest.

Read SEC document
August 09, 2019 Filed Aug 12, 2020 00:00 UTC Amendment
Ng FrankDirector · CEO
GrantConvertible Promissory Note · Derivative 117,648 Not disclosed Not disclosed
Disclosure

SEC source: 0001179110-20-008921 · edgar.xml · derivative · entry 2

Ng Frank · CIK 0001785810 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · By Spouse

Disclosed balance after: 117,648

Underlying: Common Stock · 117,648 shares

Expires 2022-02-23

F1 · derivative.exercise_price: 117,648 shares will be issuable to Ms. Man Sha, the reporting person's spouse, upon conversion of the $1 million promissory note issued on or about May 17, 2019.

F1 · price: 117,648 shares will be issuable to Ms. Man Sha, the reporting person's spouse, upon conversion of the $1 million promissory note issued on or about May 17, 2019.

F1 · derivative.exercise_date: 117,648 shares will be issuable to Ms. Man Sha, the reporting person's spouse, upon conversion of the $1 million promissory note issued on or about May 17, 2019.

Read SEC document
July 26, 2019 Filed Aug 20, 2019 19:43 UTC
BERMAN LYLEDirector · Chairman
GrantCommon Stock 292,000 $10.30 $3,007,600.00
Disclosure

SEC source: 0001179110-19-009726 · edgar.xml · nonDerivative · entry 1

BERMAN LYLE · CIK 0000903291 · Director · Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 292,000

F1 · shares: purchased pursuant to share purchase agreement between reporting person and issuer dated July 17, 2019 (the "Share Purchase Agreement").

Read SEC document
October 18, 2017 Filed Aug 21, 2019 20:35 UTC
DeCubellis KennethDirector · Chief Financial Officer · 10% owner
Sow Good Inc.10% owner
GrantCommon Stock 45,000 $0.00 $0.00
Disclosure

SEC source: 0001179110-19-009752 · edgar.xml · nonDerivative · entry 3

DeCubellis Kenneth · CIK 0001534148 · Director · Chief Financial Officer · 10% owner

Black Ridge Oil & Gas, Inc. · CIK 0001490161 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · by Black Ridge Oil & Gas, Inc.

Disclosed balance after: 3,895,000

F8 · shares: 45,000 shares of common stock were issued by the issuer, subject to the underwriter's over-allotment option, on October 18, 2017.

F2 · ownership.nature: Mr. DeCubellis, as Chairman and Chief Executive Officer of Black Ridge Oil & Gas, Inc. exercises voting and dispositive power over such shares. Mr. DeCubellis disclaims beneficial ownership of such shares except to the extent of his ultimate pecuniary interest.

Read SEC document
October 18, 2017 Filed Sep 18, 2019 21:29 UTC
DeCubellis KennethDirector · Chief Financial Officer · 10% owner
Sow Good Inc.10% owner
OtherRight to purchase common stock · Derivative 4,500 Not disclosed Not disclosed
Disclosure

SEC source: 0001179110-19-010467 · edgar.xml · derivative · entry 3

DeCubellis Kenneth · CIK 0001534148 · Director · Chief Financial Officer · 10% owner

Black Ridge Oil & Gas, Inc. · CIK 0001490161 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by Black Ridge Oil & Gas, Inc.

Disclosed balance after: 4,500

Underlying: Common Stock · 4,500 shares

Expires 2019-08-19

F2 · derivative.exercise_price: The reporting person purchased 45,000 private placement units, including 45,000 shares and certain rights and warrants, at a price of $10.00 per unit.

F2 · kind: The reporting person purchased 45,000 private placement units, including 45,000 shares and certain rights and warrants, at a price of $10.00 per unit.

F2 · price: The reporting person purchased 45,000 private placement units, including 45,000 shares and certain rights and warrants, at a price of $10.00 per unit.

F1 · ownership.nature: Mr. DeCubellis as Chairman and Chief Executive Officer of Black Ridge Oil & Gas, Inc. exercises voting and dispositive power over such shares. Mr. DeCubellis disclaims beneficial ownership of such shares except to the extent of his ultimate pecuniary interest.

Read SEC document
October 18, 2017 Filed Sep 18, 2019 21:29 UTC
DeCubellis KennethDirector · Chief Financial Officer · 10% owner
Sow Good Inc.10% owner
OtherWarrants to Purchase Common Stock · Derivative 45,000 Not disclosed Strike: $11.50 Not disclosed
Disclosure

SEC source: 0001179110-19-010467 · edgar.xml · derivative · entry 2

DeCubellis Kenneth · CIK 0001534148 · Director · Chief Financial Officer · 10% owner

Black Ridge Oil & Gas, Inc. · CIK 0001490161 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,000

Underlying: Common Stock · 45,000 shares

Expires 2022-10-18

F2 · kind: The reporting person purchased 45,000 private placement units, including 45,000 shares and certain rights and warrants, at a price of $10.00 per unit.

F2 · price: The reporting person purchased 45,000 private placement units, including 45,000 shares and certain rights and warrants, at a price of $10.00 per unit.

Read SEC document
October 18, 2017 Filed Sep 18, 2019 21:29 UTC
DeCubellis KennethDirector · Chief Financial Officer · 10% owner
Sow Good Inc.10% owner
OtherCommon Stock 45,000 $10.00 $450,000.00
Disclosure

SEC source: 0001179110-19-010467 · edgar.xml · nonDerivative · entry 1

DeCubellis Kenneth · CIK 0001534148 · Director · Chief Financial Officer · 10% owner

Black Ridge Oil & Gas, Inc. · CIK 0001490161 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Black Ridge Oil & Gas, Inc.

Disclosed balance after: 3,895,000

F2 · kind: The reporting person purchased 45,000 private placement units, including 45,000 shares and certain rights and warrants, at a price of $10.00 per unit.

F1 · ownership.nature: Mr. DeCubellis as Chairman and Chief Executive Officer of Black Ridge Oil & Gas, Inc. exercises voting and dispositive power over such shares. Mr. DeCubellis disclaims beneficial ownership of such shares except to the extent of his ultimate pecuniary interest.

Read SEC document
October 10, 2017 Filed Aug 21, 2019 20:35 UTC
DeCubellis KennethDirector · Chief Financial Officer · 10% owner
Sow Good Inc.10% owner
GrantCommon Stock 400,000 $0.00 $0.00
Disclosure

SEC source: 0001179110-19-009752 · edgar.xml · nonDerivative · entry 2

DeCubellis Kenneth · CIK 0001534148 · Director · Chief Financial Officer · 10% owner

Black Ridge Oil & Gas, Inc. · CIK 0001490161 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · by Black Ridge Oil & Gas, Inc.

Disclosed balance after: 3,850,000

F3 · shares: 400,000 shares of common stock were issued by the issuer as a result of the initial public offering on October 10,2017.

F2 · ownership.nature: Mr. DeCubellis, as Chairman and Chief Executive Officer of Black Ridge Oil & Gas, Inc. exercises voting and dispositive power over such shares. Mr. DeCubellis disclaims beneficial ownership of such shares except to the extent of his ultimate pecuniary interest.

Read SEC document
May 09, 2017 Filed Aug 21, 2019 20:35 UTC
DeCubellis KennethDirector · Chief Financial Officer · 10% owner
Sow Good Inc.10% owner
GrantCommon Stock 3,450,000 $0.00 $0.00
Disclosure

SEC source: 0001179110-19-009752 · edgar.xml · nonDerivative · entry 1

DeCubellis Kenneth · CIK 0001534148 · Director · Chief Financial Officer · 10% owner

Black Ridge Oil & Gas, Inc. · CIK 0001490161 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · by Black Ridge Oil & Gas, Inc.

Disclosed balance after: 3,450,000

F1 · shares: On October 4, 2017, the Issuer effected a stock dividend of 0.2 shares for each share outstanding, resulting in the reporting person receiving an additional 575,000 shares, for an aggregate total ownership of 3,450,000 shares.

F2 · ownership.nature: Mr. DeCubellis, as Chairman and Chief Executive Officer of Black Ridge Oil & Gas, Inc. exercises voting and dispositive power over such shares. Mr. DeCubellis disclaims beneficial ownership of such shares except to the extent of his ultimate pecuniary interest.

Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.