organization · Reporting owner
STROME MEZZANINE FUND, LP
Disclosed activity across 2 companies
Sign in to followReported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Paradium.AI, Inc.MVEN · Entity 7275 | 10% owner | August 14, 2020 | November 02, 2020 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Paradium.AI, Inc.
Report date August 14, 2020 · Filed November 02, 2020 · Amendment
Jointly reported with STROME MARK E
Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Series H Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.33 | IndirectSee footnote | 8,050 |
Reported balance
After 2020-08-14 transaction · row 1
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 1 · 2020-08-14 · Purchase · Acquired 1,650 · Balance 8,050 F1: Due to a scrivener's error, the original Form 4, as filed on August 18, 2020, inadvertently listed the stated value per share of the reported shares of Series H Convertible Preferred Stock (the "Series H Stock") instead of the purchase price paid per share for the reported Series H Stock, which is reflected in this Amendment. F5: Subject to the conversion limitation (described in note 6), the reported securities are convertible into common stock of the issuer at any time, and has no expiration date, but is subject to mandatory conversion on the fifth anniversary of the original issuance date. F6: The reported securities are subject to a conversion limitation that prohibits the issuer from effecting a conversion of the reported securities into common stock if giving effect to the conversion would cause the holder to beneficially own (together with its affiliates or any "group" members) in excess of 4.99% of the common stock (or, upon notice by the holder, in excess of 9.99% of the common stock). As beneficial owners of more than 10% of the common stock, the Reporting Persons are effectively barred from converting the reported security into additional shares of common stock. Absent this conversion limitation, the reported securities would be convertible into 5,000,000 shares of the issuer's common stock at the election of the Fund. F2: This Amendment reports the rescission on October 29, 2020 of the purchase of the 1,650 shares of Series H Stock on August 14, 2020 by Strome Mezzanine Fund, LP (the "Fund"), which was reported in the original Form 4. The purchase of the reported Series H Stock (the "Rescinded Stock") was rescinded by the mutual agreement of the issuer and the Fund for the purpose of resolving certain disputes that had arisen between the issuer and the Reporting Persons (as defined below) in connection with the original transaction. Pursuant to the rescission agreement among the parties, the purchase of the Rescinded Stock has been deemed null and void ab initio by the issuer as if the original transaction documents were never entered into by the Fund and the purchase of the Rescinded Stock had never occurred. F3: (continued from footnote 2) In connection with the rescission and voiding of this purchase, the Fund was refunded its original purchase price for the Rescinded Stock and surrendered the Rescinded Stock to the issuer for cancellation, as a result of which the issuer and each Reporting Person have been placed in the position it was in with respect to the ownership of the Rescinded Stock immediately prior to the transaction. F4: The reported securities are owned directly by the Fund. Strome Investment Management, L.P. ("SIM") is the general partner of the Fund and may be deemed to beneficially own the reported securities under Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act"). Strome Group Inc. ("SG") is the general partner of SIM and may also be deemed to beneficially own the reported securities under Section 13(d) of the Exchange Act. Mark E. Strome is the President and CEO of SG and may also be deemed to beneficially own the reported securities under Section 13(d) of the Exchange Act. SIM, SG and Mr. Strome disclaim beneficial ownership of the reported securities for purposes of Section 16 of the Exchange Act, except the extent of their respective pecuniary interest in the securities. The Fund, SIM, SG and Mr. Strome are hereby referred to as the "Reporting Persons". |
| Series H Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.33 | IndirectSee footnotes | 6,400 |
Reported balance
After 2020-10-29 transaction · row 2
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 2 · 2020-10-29 · Other · Acquired 1,650 · Balance 6,400 F2: This Amendment reports the rescission on October 29, 2020 of the purchase of the 1,650 shares of Series H Stock on August 14, 2020 by Strome Mezzanine Fund, LP (the "Fund"), which was reported in the original Form 4. The purchase of the reported Series H Stock (the "Rescinded Stock") was rescinded by the mutual agreement of the issuer and the Fund for the purpose of resolving certain disputes that had arisen between the issuer and the Reporting Persons (as defined below) in connection with the original transaction. Pursuant to the rescission agreement among the parties, the purchase of the Rescinded Stock has been deemed null and void ab initio by the issuer as if the original transaction documents were never entered into by the Fund and the purchase of the Rescinded Stock had never occurred. F3: (continued from footnote 2) In connection with the rescission and voiding of this purchase, the Fund was refunded its original purchase price for the Rescinded Stock and surrendered the Rescinded Stock to the issuer for cancellation, as a result of which the issuer and each Reporting Person have been placed in the position it was in with respect to the ownership of the Rescinded Stock immediately prior to the transaction. F4: The reported securities are owned directly by the Fund. Strome Investment Management, L.P. ("SIM") is the general partner of the Fund and may be deemed to beneficially own the reported securities under Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act"). Strome Group Inc. ("SG") is the general partner of SIM and may also be deemed to beneficially own the reported securities under Section 13(d) of the Exchange Act. Mark E. Strome is the President and CEO of SG and may also be deemed to beneficially own the reported securities under Section 13(d) of the Exchange Act. SIM, SG and Mr. Strome disclaim beneficial ownership of the reported securities for purposes of Section 16 of the Exchange Act, except the extent of their respective pecuniary interest in the securities. The Fund, SIM, SG and Mr. Strome are hereby referred to as the "Reporting Persons". |
Filing footnotes · ownership attribution and instrument terms
F1: Due to a scrivener's error, the original Form 4, as filed on August 18, 2020, inadvertently listed the stated value per share of the reported shares of Series H Convertible Preferred Stock (the "Series H Stock") instead of the purchase price paid per share for the reported Series H Stock, which is reflected in this Amendment.
F2: This Amendment reports the rescission on October 29, 2020 of the purchase of the 1,650 shares of Series H Stock on August 14, 2020 by Strome Mezzanine Fund, LP (the "Fund"), which was reported in the original Form 4. The purchase of the reported Series H Stock (the "Rescinded Stock") was rescinded by the mutual agreement of the issuer and the Fund for the purpose of resolving certain disputes that had arisen between the issuer and the Reporting Persons (as defined below) in connection with the original transaction. Pursuant to the rescission agreement among the parties, the purchase of the Rescinded Stock has been deemed null and void ab initio by the issuer as if the original transaction documents were never entered into by the Fund and the purchase of the Rescinded Stock had never occurred.
F3: (continued from footnote 2) In connection with the rescission and voiding of this purchase, the Fund was refunded its original purchase price for the Rescinded Stock and surrendered the Rescinded Stock to the issuer for cancellation, as a result of which the issuer and each Reporting Person have been placed in the position it was in with respect to the ownership of the Rescinded Stock immediately prior to the transaction.
F4: The reported securities are owned directly by the Fund. Strome Investment Management, L.P. ("SIM") is the general partner of the Fund and may be deemed to beneficially own the reported securities under Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act"). Strome Group Inc. ("SG") is the general partner of SIM and may also be deemed to beneficially own the reported securities under Section 13(d) of the Exchange Act. Mark E. Strome is the President and CEO of SG and may also be deemed to beneficially own the reported securities under Section 13(d) of the Exchange Act. SIM, SG and Mr. Strome disclaim beneficial ownership of the reported securities for purposes of Section 16 of the Exchange Act, except the extent of their respective pecuniary interest in the securities. The Fund, SIM, SG and Mr. Strome are hereby referred to as the "Reporting Persons".
F5: Subject to the conversion limitation (described in note 6), the reported securities are convertible into common stock of the issuer at any time, and has no expiration date, but is subject to mandatory conversion on the fifth anniversary of the original issuance date.
F6: The reported securities are subject to a conversion limitation that prohibits the issuer from effecting a conversion of the reported securities into common stock if giving effect to the conversion would cause the holder to beneficially own (together with its affiliates or any "group" members) in excess of 4.99% of the common stock (or, upon notice by the holder, in excess of 9.99% of the common stock). As beneficial owners of more than 10% of the common stock, the Reporting Persons are effectively barred from converting the reported security into additional shares of common stock. Absent this conversion limitation, the reported securities would be convertible into 5,000,000 shares of the issuer's common stock at the election of the Fund.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Zivo Bioscience, Inc.
Report date June 02, 2021 · Filed October 30, 2023
Jointly reported with STROME MARK E, Strome Alpha Fund L P, STROME INVESTMENT MANAGEMENT LP, STROME GROUP, INC.
Section 16 reporting ended · disclosed 2023-10-30. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy entity | 326,286 |
Reported balance
After 2021-06-02 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2021-06-02 · Conversion · Acquired 326,286 · Balance 326,286 F1: The reported transaction resulted from the conversion of convertible debt into shares of common stock at $8.00. F2: This filing is made on behalf of Strome Mezzanine Fund, L.P ("Strome Mezzanine"), Strome Alpha Fund LP ("Strome Alpha"), Strome Investment Management, LP, Strome Group, Inc., and Mark Strome (together, the "Reporting Persons"). Strome Investment Management, LP is the general partner of Strome Mezzanine. Strome Group, Inc. is the general partner of Strome Investment Management, LP. Mark Strome is the President and CEO of Strome Group, Inc. Strome Investment Management, LP, Strome Group, Inc., and Mark Strome may be deemed to share voting and investment power for the shares held by Strome Mezzanine and Strome Alpha. F3: Pursuant to Rule 16a-1(a)(4) of the Securities Exchange Act of 1934 (the "Exchange Act"), this filing shall not be deemed an admission that the Reporting Persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any equity securities reported herein. |
| Common StockSEC Table I · non-derivative | IndirectBy trust | 203,601 |
Reported balance
After 2021-06-02 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2021-06-02 · Purchase · Acquired 40,000 · Balance 203,601 |
| Common Stock Purchase WarrantSEC Table II · derivative / convertible security · Conversion / exercise price $5.50 · Expires 2026-06-02 | IndirectBy trust | 40,000 |
Reported balance
After 2021-06-02 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2021-06-02 · Purchase · Acquired 40,000 · Balance 40,000 F3: Pursuant to Rule 16a-1(a)(4) of the Securities Exchange Act of 1934 (the "Exchange Act"), this filing shall not be deemed an admission that the Reporting Persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any equity securities reported herein. |
| Convertible DebtSEC Table II · derivative / convertible security · Conversion / exercise price $8.00 | IndirectBy entity | 0 |
Reported balance
After 2021-06-02 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2021-06-02 · Conversion · Disposed 2,191,187 · Balance 0 F4: The convertible debt was convertible at any time prior to, and did not expire until, the repayment or conversion of the convertible debt in full. F2: This filing is made on behalf of Strome Mezzanine Fund, L.P ("Strome Mezzanine"), Strome Alpha Fund LP ("Strome Alpha"), Strome Investment Management, LP, Strome Group, Inc., and Mark Strome (together, the "Reporting Persons"). Strome Investment Management, LP is the general partner of Strome Mezzanine. Strome Group, Inc. is the general partner of Strome Investment Management, LP. Mark Strome is the President and CEO of Strome Group, Inc. Strome Investment Management, LP, Strome Group, Inc., and Mark Strome may be deemed to share voting and investment power for the shares held by Strome Mezzanine and Strome Alpha. F3: Pursuant to Rule 16a-1(a)(4) of the Securities Exchange Act of 1934 (the "Exchange Act"), this filing shall not be deemed an admission that the Reporting Persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any equity securities reported herein. |
| Common Stock Purchase WarrantSEC Table II · derivative / convertible security · Conversion / exercise price $8.00 · Expires 2022-07-24 | IndirectBy entity | 0 |
Reported balance
After 2022-07-24 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2022-07-24 · Other · Disposed 3,125 · Balance 0 F5: Expiration of long derivative position (warrant) without value received. F2: This filing is made on behalf of Strome Mezzanine Fund, L.P ("Strome Mezzanine"), Strome Alpha Fund LP ("Strome Alpha"), Strome Investment Management, LP, Strome Group, Inc., and Mark Strome (together, the "Reporting Persons"). Strome Investment Management, LP is the general partner of Strome Mezzanine. Strome Group, Inc. is the general partner of Strome Investment Management, LP. Mark Strome is the President and CEO of Strome Group, Inc. Strome Investment Management, LP, Strome Group, Inc., and Mark Strome may be deemed to share voting and investment power for the shares held by Strome Mezzanine and Strome Alpha. F3: Pursuant to Rule 16a-1(a)(4) of the Securities Exchange Act of 1934 (the "Exchange Act"), this filing shall not be deemed an admission that the Reporting Persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any equity securities reported herein. |
| Common Stock Purchase WarrantSEC Table II · derivative / convertible security · Conversion / exercise price $8.00 · Expires 2022-09-25 | IndirectBy entity | 0 |
Reported balance
After 2022-09-25 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2022-09-25 · Other · Disposed 3,125 · Balance 0 F5: Expiration of long derivative position (warrant) without value received. F2: This filing is made on behalf of Strome Mezzanine Fund, L.P ("Strome Mezzanine"), Strome Alpha Fund LP ("Strome Alpha"), Strome Investment Management, LP, Strome Group, Inc., and Mark Strome (together, the "Reporting Persons"). Strome Investment Management, LP is the general partner of Strome Mezzanine. Strome Group, Inc. is the general partner of Strome Investment Management, LP. Mark Strome is the President and CEO of Strome Group, Inc. Strome Investment Management, LP, Strome Group, Inc., and Mark Strome may be deemed to share voting and investment power for the shares held by Strome Mezzanine and Strome Alpha. F3: Pursuant to Rule 16a-1(a)(4) of the Securities Exchange Act of 1934 (the "Exchange Act"), this filing shall not be deemed an admission that the Reporting Persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any equity securities reported herein. |
| Common Stock Purchase WarrantSEC Table II · derivative / convertible security · Conversion / exercise price $8.00 · Expires 2022-11-20 | IndirectBy entity | 0 |
Reported balance
After 2022-11-20 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2022-11-20 · Other · Disposed 208,333 · Balance 0 F5: Expiration of long derivative position (warrant) without value received. F2: This filing is made on behalf of Strome Mezzanine Fund, L.P ("Strome Mezzanine"), Strome Alpha Fund LP ("Strome Alpha"), Strome Investment Management, LP, Strome Group, Inc., and Mark Strome (together, the "Reporting Persons"). Strome Investment Management, LP is the general partner of Strome Mezzanine. Strome Group, Inc. is the general partner of Strome Investment Management, LP. Mark Strome is the President and CEO of Strome Group, Inc. Strome Investment Management, LP, Strome Group, Inc., and Mark Strome may be deemed to share voting and investment power for the shares held by Strome Mezzanine and Strome Alpha. F3: Pursuant to Rule 16a-1(a)(4) of the Securities Exchange Act of 1934 (the "Exchange Act"), this filing shall not be deemed an admission that the Reporting Persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any equity securities reported herein. |
| Common Stock Purchase WarrantSEC Table II · derivative / convertible security · Conversion / exercise price $8.00 · Expires 2022-11-20 | IndirectBy entity | 0 |
Reported balance
After 2022-11-20 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2022-11-20 · Other · Disposed 8,333 · Balance 0 F5: Expiration of long derivative position (warrant) without value received. F2: This filing is made on behalf of Strome Mezzanine Fund, L.P ("Strome Mezzanine"), Strome Alpha Fund LP ("Strome Alpha"), Strome Investment Management, LP, Strome Group, Inc., and Mark Strome (together, the "Reporting Persons"). Strome Investment Management, LP is the general partner of Strome Mezzanine. Strome Group, Inc. is the general partner of Strome Investment Management, LP. Mark Strome is the President and CEO of Strome Group, Inc. Strome Investment Management, LP, Strome Group, Inc., and Mark Strome may be deemed to share voting and investment power for the shares held by Strome Mezzanine and Strome Alpha. F3: Pursuant to Rule 16a-1(a)(4) of the Securities Exchange Act of 1934 (the "Exchange Act"), this filing shall not be deemed an admission that the Reporting Persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any equity securities reported herein. |
| Common Stock Purchase WarrantSEC Table II · derivative / convertible security · Conversion / exercise price $8.00 · Expires 2022-11-20 | IndirectBy entity | 0 |
Reported balance
After 2022-11-20 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2022-11-20 · Other · Disposed 3,125 · Balance 0 F5: Expiration of long derivative position (warrant) without value received. F2: This filing is made on behalf of Strome Mezzanine Fund, L.P ("Strome Mezzanine"), Strome Alpha Fund LP ("Strome Alpha"), Strome Investment Management, LP, Strome Group, Inc., and Mark Strome (together, the "Reporting Persons"). Strome Investment Management, LP is the general partner of Strome Mezzanine. Strome Group, Inc. is the general partner of Strome Investment Management, LP. Mark Strome is the President and CEO of Strome Group, Inc. Strome Investment Management, LP, Strome Group, Inc., and Mark Strome may be deemed to share voting and investment power for the shares held by Strome Mezzanine and Strome Alpha. F3: Pursuant to Rule 16a-1(a)(4) of the Securities Exchange Act of 1934 (the "Exchange Act"), this filing shall not be deemed an admission that the Reporting Persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any equity securities reported herein. |
| Common Stock Purchase WarrantSEC Table II · derivative / convertible security · Conversion / exercise price $8.00 · Expires 2022-11-20 | IndirectBy entity | 0 |
Reported balance
After 2022-11-20 transaction · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · 2022-11-20 · Other · Disposed 104,166 · Balance 0 F5: Expiration of long derivative position (warrant) without value received. F2: This filing is made on behalf of Strome Mezzanine Fund, L.P ("Strome Mezzanine"), Strome Alpha Fund LP ("Strome Alpha"), Strome Investment Management, LP, Strome Group, Inc., and Mark Strome (together, the "Reporting Persons"). Strome Investment Management, LP is the general partner of Strome Mezzanine. Strome Group, Inc. is the general partner of Strome Investment Management, LP. Mark Strome is the President and CEO of Strome Group, Inc. Strome Investment Management, LP, Strome Group, Inc., and Mark Strome may be deemed to share voting and investment power for the shares held by Strome Mezzanine and Strome Alpha. F3: Pursuant to Rule 16a-1(a)(4) of the Securities Exchange Act of 1934 (the "Exchange Act"), this filing shall not be deemed an admission that the Reporting Persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any equity securities reported herein. |
| Common Stock Purchase WarrantSEC Table II · derivative / convertible security · Conversion / exercise price $8.00 · Expires 2022-11-20 | IndirectBy entity | 0 |
Reported balance
After 2022-11-20 transaction · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 11 · 2022-11-20 · Other · Disposed 4,166 · Balance 0 F5: Expiration of long derivative position (warrant) without value received. F2: This filing is made on behalf of Strome Mezzanine Fund, L.P ("Strome Mezzanine"), Strome Alpha Fund LP ("Strome Alpha"), Strome Investment Management, LP, Strome Group, Inc., and Mark Strome (together, the "Reporting Persons"). Strome Investment Management, LP is the general partner of Strome Mezzanine. Strome Group, Inc. is the general partner of Strome Investment Management, LP. Mark Strome is the President and CEO of Strome Group, Inc. Strome Investment Management, LP, Strome Group, Inc., and Mark Strome may be deemed to share voting and investment power for the shares held by Strome Mezzanine and Strome Alpha. F3: Pursuant to Rule 16a-1(a)(4) of the Securities Exchange Act of 1934 (the "Exchange Act"), this filing shall not be deemed an admission that the Reporting Persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any equity securities reported herein. |
Filing footnotes · ownership attribution and instrument terms
F1: The reported transaction resulted from the conversion of convertible debt into shares of common stock at $8.00.
F2: This filing is made on behalf of Strome Mezzanine Fund, L.P ("Strome Mezzanine"), Strome Alpha Fund LP ("Strome Alpha"), Strome Investment Management, LP, Strome Group, Inc., and Mark Strome (together, the "Reporting Persons"). Strome Investment Management, LP is the general partner of Strome Mezzanine. Strome Group, Inc. is the general partner of Strome Investment Management, LP. Mark Strome is the President and CEO of Strome Group, Inc. Strome Investment Management, LP, Strome Group, Inc., and Mark Strome may be deemed to share voting and investment power for the shares held by Strome Mezzanine and Strome Alpha.
F3: Pursuant to Rule 16a-1(a)(4) of the Securities Exchange Act of 1934 (the "Exchange Act"), this filing shall not be deemed an admission that the Reporting Persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any equity securities reported herein.
F4: The convertible debt was convertible at any time prior to, and did not expire until, the repayment or conversion of the convertible debt in full.
F5: Expiration of long derivative position (warrant) without value received.
Transaction history
JSON APIPurchases/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 date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| November 20, 2022 Filed Oct 30, 2023 21:01 UTC | Zivo Bioscience, Inc. ZIVO · Entity 9611 | OtherCommon Stock Purchase Warrant · Derivative | 4,166 | $0.00 Strike: $8.00 | $0.00 |
DisclosureSEC source: 0001793373-23-000005 · primary_doc.xml · derivative · entry 11 STROME MARK E · CIK 0000919484 · 10% owner STROME MEZZANINE FUND, LP · CIK 0001713153 · 10% owner Strome Alpha Fund L P · CIK 0001324539 · 10% owner STROME INVESTMENT MANAGEMENT LP · CIK 0000936711 · 10% owner STROME GROUP, INC. · CIK 0001724136 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By entity Disclosed balance after: 0 Underlying: Common Stock · 4,166 shares Expires 2022-11-20 F5 · kind: Expiration of long derivative position (warrant) without value received. F2 · ownership.nature: This filing is made on behalf of Strome Mezzanine Fund, L.P ("Strome Mezzanine"), Strome Alpha Fund LP ("Strome Alpha"), Strome Investment Management, LP, Strome Group, Inc., and Mark Strome (together, the "Reporting Persons"). Strome Investment Management, LP is the general partner of Strome Mezzanine. Strome Group, Inc. is the general partner of Strome Investment Management, LP. Mark Strome is the President and CEO of Strome Group, Inc. Strome Investment Management, LP, Strome Group, Inc., and Mark Strome may be deemed to share voting and investment power for the shares held by Strome Mezzanine and Strome Alpha. F3 · ownership.nature: Pursuant to Rule 16a-1(a)(4) of the Securities Exchange Act of 1934 (the "Exchange Act"), this filing shall not be deemed an admission that the Reporting Persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any equity securities reported herein. Read SEC document |
| November 20, 2022 Filed Oct 30, 2023 21:01 UTC | Zivo Bioscience, Inc. ZIVO · Entity 9611 | OtherCommon Stock Purchase Warrant · Derivative | 104,166 | $0.00 Strike: $8.00 | $0.00 |
DisclosureSEC source: 0001793373-23-000005 · primary_doc.xml · derivative · entry 10 STROME MARK E · CIK 0000919484 · 10% owner STROME MEZZANINE FUND, LP · CIK 0001713153 · 10% owner Strome Alpha Fund L P · CIK 0001324539 · 10% owner STROME INVESTMENT MANAGEMENT LP · CIK 0000936711 · 10% owner STROME GROUP, INC. · CIK 0001724136 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By entity Disclosed balance after: 0 Underlying: Common Stock · 104,166 shares Expires 2022-11-20 F5 · kind: Expiration of long derivative position (warrant) without value received. F2 · ownership.nature: This filing is made on behalf of Strome Mezzanine Fund, L.P ("Strome Mezzanine"), Strome Alpha Fund LP ("Strome Alpha"), Strome Investment Management, LP, Strome Group, Inc., and Mark Strome (together, the "Reporting Persons"). Strome Investment Management, LP is the general partner of Strome Mezzanine. Strome Group, Inc. is the general partner of Strome Investment Management, LP. Mark Strome is the President and CEO of Strome Group, Inc. Strome Investment Management, LP, Strome Group, Inc., and Mark Strome may be deemed to share voting and investment power for the shares held by Strome Mezzanine and Strome Alpha. F3 · ownership.nature: Pursuant to Rule 16a-1(a)(4) of the Securities Exchange Act of 1934 (the "Exchange Act"), this filing shall not be deemed an admission that the Reporting Persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any equity securities reported herein. Read SEC document |
| November 20, 2022 Filed Oct 30, 2023 21:01 UTC | Zivo Bioscience, Inc. ZIVO · Entity 9611 | OtherCommon Stock Purchase Warrant · Derivative | 3,125 | $0.00 Strike: $8.00 | $0.00 |
DisclosureSEC source: 0001793373-23-000005 · primary_doc.xml · derivative · entry 9 STROME MARK E · CIK 0000919484 · 10% owner STROME MEZZANINE FUND, LP · CIK 0001713153 · 10% owner Strome Alpha Fund L P · CIK 0001324539 · 10% owner STROME INVESTMENT MANAGEMENT LP · CIK 0000936711 · 10% owner STROME GROUP, INC. · CIK 0001724136 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By entity Disclosed balance after: 0 Underlying: Common Stock · 3,125 shares Expires 2022-11-20 F5 · kind: Expiration of long derivative position (warrant) without value received. F2 · ownership.nature: This filing is made on behalf of Strome Mezzanine Fund, L.P ("Strome Mezzanine"), Strome Alpha Fund LP ("Strome Alpha"), Strome Investment Management, LP, Strome Group, Inc., and Mark Strome (together, the "Reporting Persons"). Strome Investment Management, LP is the general partner of Strome Mezzanine. Strome Group, Inc. is the general partner of Strome Investment Management, LP. Mark Strome is the President and CEO of Strome Group, Inc. Strome Investment Management, LP, Strome Group, Inc., and Mark Strome may be deemed to share voting and investment power for the shares held by Strome Mezzanine and Strome Alpha. F3 · ownership.nature: Pursuant to Rule 16a-1(a)(4) of the Securities Exchange Act of 1934 (the "Exchange Act"), this filing shall not be deemed an admission that the Reporting Persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any equity securities reported herein. Read SEC document |
| November 20, 2022 Filed Oct 30, 2023 21:01 UTC | Zivo Bioscience, Inc. ZIVO · Entity 9611 | OtherCommon Stock Purchase Warrant · Derivative | 8,333 | $0.00 Strike: $8.00 | $0.00 |
DisclosureSEC source: 0001793373-23-000005 · primary_doc.xml · derivative · entry 8 STROME MARK E · CIK 0000919484 · 10% owner STROME MEZZANINE FUND, LP · CIK 0001713153 · 10% owner Strome Alpha Fund L P · CIK 0001324539 · 10% owner STROME INVESTMENT MANAGEMENT LP · CIK 0000936711 · 10% owner STROME GROUP, INC. · CIK 0001724136 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By entity Disclosed balance after: 0 Underlying: Common Stock · 8,333 shares Expires 2022-11-20 F5 · kind: Expiration of long derivative position (warrant) without value received. F2 · ownership.nature: This filing is made on behalf of Strome Mezzanine Fund, L.P ("Strome Mezzanine"), Strome Alpha Fund LP ("Strome Alpha"), Strome Investment Management, LP, Strome Group, Inc., and Mark Strome (together, the "Reporting Persons"). Strome Investment Management, LP is the general partner of Strome Mezzanine. Strome Group, Inc. is the general partner of Strome Investment Management, LP. Mark Strome is the President and CEO of Strome Group, Inc. Strome Investment Management, LP, Strome Group, Inc., and Mark Strome may be deemed to share voting and investment power for the shares held by Strome Mezzanine and Strome Alpha. F3 · ownership.nature: Pursuant to Rule 16a-1(a)(4) of the Securities Exchange Act of 1934 (the "Exchange Act"), this filing shall not be deemed an admission that the Reporting Persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any equity securities reported herein. Read SEC document |
| November 20, 2022 Filed Oct 30, 2023 21:01 UTC | Zivo Bioscience, Inc. ZIVO · Entity 9611 | OtherCommon Stock Purchase Warrant · Derivative | 208,333 | $0.00 Strike: $8.00 | $0.00 |
DisclosureSEC source: 0001793373-23-000005 · primary_doc.xml · derivative · entry 7 STROME MARK E · CIK 0000919484 · 10% owner STROME MEZZANINE FUND, LP · CIK 0001713153 · 10% owner Strome Alpha Fund L P · CIK 0001324539 · 10% owner STROME INVESTMENT MANAGEMENT LP · CIK 0000936711 · 10% owner STROME GROUP, INC. · CIK 0001724136 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By entity Disclosed balance after: 0 Underlying: Common Stock · 208,333 shares Expires 2022-11-20 F5 · kind: Expiration of long derivative position (warrant) without value received. F2 · ownership.nature: This filing is made on behalf of Strome Mezzanine Fund, L.P ("Strome Mezzanine"), Strome Alpha Fund LP ("Strome Alpha"), Strome Investment Management, LP, Strome Group, Inc., and Mark Strome (together, the "Reporting Persons"). Strome Investment Management, LP is the general partner of Strome Mezzanine. Strome Group, Inc. is the general partner of Strome Investment Management, LP. Mark Strome is the President and CEO of Strome Group, Inc. Strome Investment Management, LP, Strome Group, Inc., and Mark Strome may be deemed to share voting and investment power for the shares held by Strome Mezzanine and Strome Alpha. F3 · ownership.nature: Pursuant to Rule 16a-1(a)(4) of the Securities Exchange Act of 1934 (the "Exchange Act"), this filing shall not be deemed an admission that the Reporting Persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any equity securities reported herein. Read SEC document |
| September 25, 2022 Filed Oct 30, 2023 21:01 UTC | Zivo Bioscience, Inc. ZIVO · Entity 9611 | OtherCommon Stock Purchase Warrant · Derivative | 3,125 | $0.00 Strike: $8.00 | $0.00 |
DisclosureSEC source: 0001793373-23-000005 · primary_doc.xml · derivative · entry 6 STROME MARK E · CIK 0000919484 · 10% owner STROME MEZZANINE FUND, LP · CIK 0001713153 · 10% owner Strome Alpha Fund L P · CIK 0001324539 · 10% owner STROME INVESTMENT MANAGEMENT LP · CIK 0000936711 · 10% owner STROME GROUP, INC. · CIK 0001724136 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By entity Disclosed balance after: 0 Underlying: Common Stock · 3,125 shares Expires 2022-09-25 F5 · kind: Expiration of long derivative position (warrant) without value received. F2 · ownership.nature: This filing is made on behalf of Strome Mezzanine Fund, L.P ("Strome Mezzanine"), Strome Alpha Fund LP ("Strome Alpha"), Strome Investment Management, LP, Strome Group, Inc., and Mark Strome (together, the "Reporting Persons"). Strome Investment Management, LP is the general partner of Strome Mezzanine. Strome Group, Inc. is the general partner of Strome Investment Management, LP. Mark Strome is the President and CEO of Strome Group, Inc. Strome Investment Management, LP, Strome Group, Inc., and Mark Strome may be deemed to share voting and investment power for the shares held by Strome Mezzanine and Strome Alpha. F3 · ownership.nature: Pursuant to Rule 16a-1(a)(4) of the Securities Exchange Act of 1934 (the "Exchange Act"), this filing shall not be deemed an admission that the Reporting Persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any equity securities reported herein. Read SEC document |
| July 24, 2022 Filed Oct 30, 2023 21:01 UTC | Zivo Bioscience, Inc. ZIVO · Entity 9611 | OtherCommon Stock Purchase Warrant · Derivative | 3,125 | $0.00 Strike: $8.00 | $0.00 |
DisclosureSEC source: 0001793373-23-000005 · primary_doc.xml · derivative · entry 5 STROME MARK E · CIK 0000919484 · 10% owner STROME MEZZANINE FUND, LP · CIK 0001713153 · 10% owner Strome Alpha Fund L P · CIK 0001324539 · 10% owner STROME INVESTMENT MANAGEMENT LP · CIK 0000936711 · 10% owner STROME GROUP, INC. · CIK 0001724136 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By entity Disclosed balance after: 0 Underlying: Common Stock · 3,125 shares Expires 2022-07-24 F5 · kind: Expiration of long derivative position (warrant) without value received. F2 · ownership.nature: This filing is made on behalf of Strome Mezzanine Fund, L.P ("Strome Mezzanine"), Strome Alpha Fund LP ("Strome Alpha"), Strome Investment Management, LP, Strome Group, Inc., and Mark Strome (together, the "Reporting Persons"). Strome Investment Management, LP is the general partner of Strome Mezzanine. Strome Group, Inc. is the general partner of Strome Investment Management, LP. Mark Strome is the President and CEO of Strome Group, Inc. Strome Investment Management, LP, Strome Group, Inc., and Mark Strome may be deemed to share voting and investment power for the shares held by Strome Mezzanine and Strome Alpha. F3 · ownership.nature: Pursuant to Rule 16a-1(a)(4) of the Securities Exchange Act of 1934 (the "Exchange Act"), this filing shall not be deemed an admission that the Reporting Persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any equity securities reported herein. Read SEC document |
| June 02, 2021 Filed Oct 30, 2023 21:01 UTC | Zivo Bioscience, Inc. ZIVO · Entity 9611 | ConversionConvertible Debt · Derivative | 2,191,187 | $0.00 Strike: $8.00 | $0.00 |
DisclosureSEC source: 0001793373-23-000005 · primary_doc.xml · derivative · entry 4 STROME MARK E · CIK 0000919484 · 10% owner STROME MEZZANINE FUND, LP · CIK 0001713153 · 10% owner Strome Alpha Fund L P · CIK 0001324539 · 10% owner STROME INVESTMENT MANAGEMENT LP · CIK 0000936711 · 10% owner STROME GROUP, INC. · CIK 0001724136 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By entity Disclosed balance after: 0 Underlying: Common Stock · 326,286 shares Expires not disclosed 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. F4 · derivative.exercise_date: The convertible debt was convertible at any time prior to, and did not expire until, the repayment or conversion of the convertible debt in full. F4 · derivative.expiration_date: The convertible debt was convertible at any time prior to, and did not expire until, the repayment or conversion of the convertible debt in full. F2 · ownership.nature: This filing is made on behalf of Strome Mezzanine Fund, L.P ("Strome Mezzanine"), Strome Alpha Fund LP ("Strome Alpha"), Strome Investment Management, LP, Strome Group, Inc., and Mark Strome (together, the "Reporting Persons"). Strome Investment Management, LP is the general partner of Strome Mezzanine. Strome Group, Inc. is the general partner of Strome Investment Management, LP. Mark Strome is the President and CEO of Strome Group, Inc. Strome Investment Management, LP, Strome Group, Inc., and Mark Strome may be deemed to share voting and investment power for the shares held by Strome Mezzanine and Strome Alpha. F3 · ownership.nature: Pursuant to Rule 16a-1(a)(4) of the Securities Exchange Act of 1934 (the "Exchange Act"), this filing shall not be deemed an admission that the Reporting Persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any equity securities reported herein. Read SEC document |
| June 02, 2021 Filed Oct 30, 2023 21:01 UTC | Zivo Bioscience, Inc. ZIVO · Entity 9611 | PurchaseCommon Stock Purchase Warrant · Derivative | 40,000 | $0.01 Strike: $5.50 | $400.00 |
DisclosureSEC source: 0001793373-23-000005 · primary_doc.xml · derivative · entry 3 STROME MARK E · CIK 0000919484 · 10% owner STROME MEZZANINE FUND, LP · CIK 0001713153 · 10% owner Strome Alpha Fund L P · CIK 0001324539 · 10% owner STROME INVESTMENT MANAGEMENT LP · CIK 0000936711 · 10% owner STROME GROUP, INC. · CIK 0001724136 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By trust Disclosed balance after: 40,000 Underlying: Common Stock · 40,000 shares Expires 2026-06-02 F3 · ownership.nature: Pursuant to Rule 16a-1(a)(4) of the Securities Exchange Act of 1934 (the "Exchange Act"), this filing shall not be deemed an admission that the Reporting Persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any equity securities reported herein. Read SEC document |
| June 02, 2021 Filed Oct 30, 2023 21:01 UTC | Zivo Bioscience, Inc. ZIVO · Entity 9611 | PurchaseCommon Stock | 40,000 | $4.99 | $199,600.00 |
DisclosureSEC source: 0001793373-23-000005 · primary_doc.xml · nonDerivative · entry 2 STROME MARK E · CIK 0000919484 · 10% owner STROME MEZZANINE FUND, LP · CIK 0001713153 · 10% owner Strome Alpha Fund L P · CIK 0001324539 · 10% owner STROME INVESTMENT MANAGEMENT LP · CIK 0000936711 · 10% owner STROME GROUP, INC. · CIK 0001724136 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By trust Disclosed balance after: 203,601 Read SEC document |
| June 02, 2021 Filed Oct 30, 2023 21:01 UTC | Zivo Bioscience, Inc. ZIVO · Entity 9611 | ConversionCommon Stock | 326,286 | $8.00 | $2,610,288.00 |
DisclosureSEC source: 0001793373-23-000005 · primary_doc.xml · nonDerivative · entry 1 STROME MARK E · CIK 0000919484 · 10% owner STROME MEZZANINE FUND, LP · CIK 0001713153 · 10% owner Strome Alpha Fund L P · CIK 0001324539 · 10% owner STROME INVESTMENT MANAGEMENT LP · CIK 0000936711 · 10% owner STROME GROUP, INC. · CIK 0001724136 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By entity Disclosed balance after: 326,286 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. F1 · kind: The reported transaction resulted from the conversion of convertible debt into shares of common stock at $8.00. F2 · ownership.nature: This filing is made on behalf of Strome Mezzanine Fund, L.P ("Strome Mezzanine"), Strome Alpha Fund LP ("Strome Alpha"), Strome Investment Management, LP, Strome Group, Inc., and Mark Strome (together, the "Reporting Persons"). Strome Investment Management, LP is the general partner of Strome Mezzanine. Strome Group, Inc. is the general partner of Strome Investment Management, LP. Mark Strome is the President and CEO of Strome Group, Inc. Strome Investment Management, LP, Strome Group, Inc., and Mark Strome may be deemed to share voting and investment power for the shares held by Strome Mezzanine and Strome Alpha. F3 · ownership.nature: Pursuant to Rule 16a-1(a)(4) of the Securities Exchange Act of 1934 (the "Exchange Act"), this filing shall not be deemed an admission that the Reporting Persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any equity securities reported herein. Read SEC document |
| October 29, 2020 Filed Nov 2, 2020 23:16 UTC Amendment | Paradium.AI, Inc. MVEN · Entity 7275 | OtherSeries H Convertible Preferred Stock · Derivative | 1,650 | Not disclosed Strike: $0.33 | Not disclosed |
DisclosureSEC source: 0000899243-20-030117 · doc4a.xml · derivative · entry 2 STROME MARK E · CIK 0000919484 · 10% owner STROME MEZZANINE FUND, LP · CIK 0001713153 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 6,400 Underlying: Common Stock · Not disclosed shares Expires not disclosed F2 · kind: This Amendment reports the rescission on October 29, 2020 of the purchase of the 1,650 shares of Series H Stock on August 14, 2020 by Strome Mezzanine Fund, LP (the "Fund"), which was reported in the original Form 4. The purchase of the reported Series H Stock (the "Rescinded Stock") was rescinded by the mutual agreement of the issuer and the Fund for the purpose of resolving certain disputes that had arisen between the issuer and the Reporting Persons (as defined below) in connection with the original transaction. Pursuant to the rescission agreement among the parties, the purchase of the Rescinded Stock has been deemed null and void ab initio by the issuer as if the original transaction documents were never entered into by the Fund and the purchase of the Rescinded Stock had never occurred. F3 · kind: (continued from footnote 2) In connection with the rescission and voiding of this purchase, the Fund was refunded its original purchase price for the Rescinded Stock and surrendered the Rescinded Stock to the issuer for cancellation, as a result of which the issuer and each Reporting Person have been placed in the position it was in with respect to the ownership of the Rescinded Stock immediately prior to the transaction. F2 · price: This Amendment reports the rescission on October 29, 2020 of the purchase of the 1,650 shares of Series H Stock on August 14, 2020 by Strome Mezzanine Fund, LP (the "Fund"), which was reported in the original Form 4. The purchase of the reported Series H Stock (the "Rescinded Stock") was rescinded by the mutual agreement of the issuer and the Fund for the purpose of resolving certain disputes that had arisen between the issuer and the Reporting Persons (as defined below) in connection with the original transaction. Pursuant to the rescission agreement among the parties, the purchase of the Rescinded Stock has been deemed null and void ab initio by the issuer as if the original transaction documents were never entered into by the Fund and the purchase of the Rescinded Stock had never occurred. F3 · price: (continued from footnote 2) In connection with the rescission and voiding of this purchase, the Fund was refunded its original purchase price for the Rescinded Stock and surrendered the Rescinded Stock to the issuer for cancellation, as a result of which the issuer and each Reporting Person have been placed in the position it was in with respect to the ownership of the Rescinded Stock immediately prior to the transaction. F2 · derivative.exercise_date: This Amendment reports the rescission on October 29, 2020 of the purchase of the 1,650 shares of Series H Stock on August 14, 2020 by Strome Mezzanine Fund, LP (the "Fund"), which was reported in the original Form 4. The purchase of the reported Series H Stock (the "Rescinded Stock") was rescinded by the mutual agreement of the issuer and the Fund for the purpose of resolving certain disputes that had arisen between the issuer and the Reporting Persons (as defined below) in connection with the original transaction. Pursuant to the rescission agreement among the parties, the purchase of the Rescinded Stock has been deemed null and void ab initio by the issuer as if the original transaction documents were never entered into by the Fund and the purchase of the Rescinded Stock had never occurred. F3 · derivative.exercise_date: (continued from footnote 2) In connection with the rescission and voiding of this purchase, the Fund was refunded its original purchase price for the Rescinded Stock and surrendered the Rescinded Stock to the issuer for cancellation, as a result of which the issuer and each Reporting Person have been placed in the position it was in with respect to the ownership of the Rescinded Stock immediately prior to the transaction. F2 · derivative.expiration_date: This Amendment reports the rescission on October 29, 2020 of the purchase of the 1,650 shares of Series H Stock on August 14, 2020 by Strome Mezzanine Fund, LP (the "Fund"), which was reported in the original Form 4. The purchase of the reported Series H Stock (the "Rescinded Stock") was rescinded by the mutual agreement of the issuer and the Fund for the purpose of resolving certain disputes that had arisen between the issuer and the Reporting Persons (as defined below) in connection with the original transaction. Pursuant to the rescission agreement among the parties, the purchase of the Rescinded Stock has been deemed null and void ab initio by the issuer as if the original transaction documents were never entered into by the Fund and the purchase of the Rescinded Stock had never occurred. F3 · derivative.expiration_date: (continued from footnote 2) In connection with the rescission and voiding of this purchase, the Fund was refunded its original purchase price for the Rescinded Stock and surrendered the Rescinded Stock to the issuer for cancellation, as a result of which the issuer and each Reporting Person have been placed in the position it was in with respect to the ownership of the Rescinded Stock immediately prior to the transaction. F2 · derivative.underlying_shares: This Amendment reports the rescission on October 29, 2020 of the purchase of the 1,650 shares of Series H Stock on August 14, 2020 by Strome Mezzanine Fund, LP (the "Fund"), which was reported in the original Form 4. The purchase of the reported Series H Stock (the "Rescinded Stock") was rescinded by the mutual agreement of the issuer and the Fund for the purpose of resolving certain disputes that had arisen between the issuer and the Reporting Persons (as defined below) in connection with the original transaction. Pursuant to the rescission agreement among the parties, the purchase of the Rescinded Stock has been deemed null and void ab initio by the issuer as if the original transaction documents were never entered into by the Fund and the purchase of the Rescinded Stock had never occurred. F3 · derivative.underlying_shares: (continued from footnote 2) In connection with the rescission and voiding of this purchase, the Fund was refunded its original purchase price for the Rescinded Stock and surrendered the Rescinded Stock to the issuer for cancellation, as a result of which the issuer and each Reporting Person have been placed in the position it was in with respect to the ownership of the Rescinded Stock immediately prior to the transaction. F2 · ownership.nature: This Amendment reports the rescission on October 29, 2020 of the purchase of the 1,650 shares of Series H Stock on August 14, 2020 by Strome Mezzanine Fund, LP (the "Fund"), which was reported in the original Form 4. The purchase of the reported Series H Stock (the "Rescinded Stock") was rescinded by the mutual agreement of the issuer and the Fund for the purpose of resolving certain disputes that had arisen between the issuer and the Reporting Persons (as defined below) in connection with the original transaction. Pursuant to the rescission agreement among the parties, the purchase of the Rescinded Stock has been deemed null and void ab initio by the issuer as if the original transaction documents were never entered into by the Fund and the purchase of the Rescinded Stock had never occurred. F3 · ownership.nature: (continued from footnote 2) In connection with the rescission and voiding of this purchase, the Fund was refunded its original purchase price for the Rescinded Stock and surrendered the Rescinded Stock to the issuer for cancellation, as a result of which the issuer and each Reporting Person have been placed in the position it was in with respect to the ownership of the Rescinded Stock immediately prior to the transaction. F4 · ownership.nature: The reported securities are owned directly by the Fund. Strome Investment Management, L.P. ("SIM") is the general partner of the Fund and may be deemed to beneficially own the reported securities under Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act"). Strome Group Inc. ("SG") is the general partner of SIM and may also be deemed to beneficially own the reported securities under Section 13(d) of the Exchange Act. Mark E. Strome is the President and CEO of SG and may also be deemed to beneficially own the reported securities under Section 13(d) of the Exchange Act. SIM, SG and Mr. Strome disclaim beneficial ownership of the reported securities for purposes of Section 16 of the Exchange Act, except the extent of their respective pecuniary interest in the securities. The Fund, SIM, SG and Mr. Strome are hereby referred to as the "Reporting Persons". Read SEC document |
| October 29, 2020 Filed Nov 2, 2020 23:10 UTC Amendment | Paradium.AI, Inc. MVEN · Entity 7275 | OtherSeries H Convertible Preferred Stock · Derivative | 412.5 | Not disclosed Strike: $0.33 | Not disclosed |
DisclosureSEC source: 0000899243-20-030115 · doc4a.xml · derivative · entry 4 STROME MARK E · CIK 0000919484 · 10% owner STROME MEZZANINE FUND, LP · CIK 0001713153 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 8,050 Underlying: Common Stock · Not disclosed shares Expires not disclosed F2 · kind: This Amendment reports the rescission on October 29, 2020 of (a) the purchase of the 82.5 shares of Series H Stock on August 19, 2020 by Strome Alpha Fund, L.P. (the "Alpha Fund") and (b) the purchase of the 412.5 shares of Series H Stock on August 20, 2020 by Strome Mezzanine Fund, LP (collectively with the Alpha Fund, the "Funds"), each of which was reported in the original Form 4. The purchases of the reported Series H Stock (the "Rescinded Stock") were rescinded by the mutual agreement of the issuer and the Funds for the purpose of resolving certain disputes that had arisen between the issuer and the Reporting Persons (as defined below) in connection with the original transactions. Pursuant to the rescission agreement among the parties, the purchases of the Rescinded Stock have been deemed null and void ab initio by the issuer as if the original transaction documents were never entered into by the Funds and the purchases of the Rescinded Stock had never occurred. F3 · kind: (Continued from Footnote 2) In connection with the rescission and voiding of these purchases, each Fund was refunded its original purchase price for the Rescinded Stock and surrendered the Rescinded Stock to the issuer for cancellation, as a result of which the issuer and each Reporting Person have been placed in the position it was in with respect to the ownership of the Rescinded Stock immediately prior to such transactions. F2 · price: This Amendment reports the rescission on October 29, 2020 of (a) the purchase of the 82.5 shares of Series H Stock on August 19, 2020 by Strome Alpha Fund, L.P. (the "Alpha Fund") and (b) the purchase of the 412.5 shares of Series H Stock on August 20, 2020 by Strome Mezzanine Fund, LP (collectively with the Alpha Fund, the "Funds"), each of which was reported in the original Form 4. The purchases of the reported Series H Stock (the "Rescinded Stock") were rescinded by the mutual agreement of the issuer and the Funds for the purpose of resolving certain disputes that had arisen between the issuer and the Reporting Persons (as defined below) in connection with the original transactions. Pursuant to the rescission agreement among the parties, the purchases of the Rescinded Stock have been deemed null and void ab initio by the issuer as if the original transaction documents were never entered into by the Funds and the purchases of the Rescinded Stock had never occurred. F3 · price: (Continued from Footnote 2) In connection with the rescission and voiding of these purchases, each Fund was refunded its original purchase price for the Rescinded Stock and surrendered the Rescinded Stock to the issuer for cancellation, as a result of which the issuer and each Reporting Person have been placed in the position it was in with respect to the ownership of the Rescinded Stock immediately prior to such transactions. F2 · derivative.exercise_date: This Amendment reports the rescission on October 29, 2020 of (a) the purchase of the 82.5 shares of Series H Stock on August 19, 2020 by Strome Alpha Fund, L.P. (the "Alpha Fund") and (b) the purchase of the 412.5 shares of Series H Stock on August 20, 2020 by Strome Mezzanine Fund, LP (collectively with the Alpha Fund, the "Funds"), each of which was reported in the original Form 4. The purchases of the reported Series H Stock (the "Rescinded Stock") were rescinded by the mutual agreement of the issuer and the Funds for the purpose of resolving certain disputes that had arisen between the issuer and the Reporting Persons (as defined below) in connection with the original transactions. Pursuant to the rescission agreement among the parties, the purchases of the Rescinded Stock have been deemed null and void ab initio by the issuer as if the original transaction documents were never entered into by the Funds and the purchases of the Rescinded Stock had never occurred. F3 · derivative.exercise_date: (Continued from Footnote 2) In connection with the rescission and voiding of these purchases, each Fund was refunded its original purchase price for the Rescinded Stock and surrendered the Rescinded Stock to the issuer for cancellation, as a result of which the issuer and each Reporting Person have been placed in the position it was in with respect to the ownership of the Rescinded Stock immediately prior to such transactions. F2 · derivative.expiration_date: This Amendment reports the rescission on October 29, 2020 of (a) the purchase of the 82.5 shares of Series H Stock on August 19, 2020 by Strome Alpha Fund, L.P. (the "Alpha Fund") and (b) the purchase of the 412.5 shares of Series H Stock on August 20, 2020 by Strome Mezzanine Fund, LP (collectively with the Alpha Fund, the "Funds"), each of which was reported in the original Form 4. The purchases of the reported Series H Stock (the "Rescinded Stock") were rescinded by the mutual agreement of the issuer and the Funds for the purpose of resolving certain disputes that had arisen between the issuer and the Reporting Persons (as defined below) in connection with the original transactions. Pursuant to the rescission agreement among the parties, the purchases of the Rescinded Stock have been deemed null and void ab initio by the issuer as if the original transaction documents were never entered into by the Funds and the purchases of the Rescinded Stock had never occurred. F3 · derivative.expiration_date: (Continued from Footnote 2) In connection with the rescission and voiding of these purchases, each Fund was refunded its original purchase price for the Rescinded Stock and surrendered the Rescinded Stock to the issuer for cancellation, as a result of which the issuer and each Reporting Person have been placed in the position it was in with respect to the ownership of the Rescinded Stock immediately prior to such transactions. F2 · derivative.underlying_shares: This Amendment reports the rescission on October 29, 2020 of (a) the purchase of the 82.5 shares of Series H Stock on August 19, 2020 by Strome Alpha Fund, L.P. (the "Alpha Fund") and (b) the purchase of the 412.5 shares of Series H Stock on August 20, 2020 by Strome Mezzanine Fund, LP (collectively with the Alpha Fund, the "Funds"), each of which was reported in the original Form 4. The purchases of the reported Series H Stock (the "Rescinded Stock") were rescinded by the mutual agreement of the issuer and the Funds for the purpose of resolving certain disputes that had arisen between the issuer and the Reporting Persons (as defined below) in connection with the original transactions. Pursuant to the rescission agreement among the parties, the purchases of the Rescinded Stock have been deemed null and void ab initio by the issuer as if the original transaction documents were never entered into by the Funds and the purchases of the Rescinded Stock had never occurred. F3 · derivative.underlying_shares: (Continued from Footnote 2) In connection with the rescission and voiding of these purchases, each Fund was refunded its original purchase price for the Rescinded Stock and surrendered the Rescinded Stock to the issuer for cancellation, as a result of which the issuer and each Reporting Person have been placed in the position it was in with respect to the ownership of the Rescinded Stock immediately prior to such transactions. F2 · ownership.nature: This Amendment reports the rescission on October 29, 2020 of (a) the purchase of the 82.5 shares of Series H Stock on August 19, 2020 by Strome Alpha Fund, L.P. (the "Alpha Fund") and (b) the purchase of the 412.5 shares of Series H Stock on August 20, 2020 by Strome Mezzanine Fund, LP (collectively with the Alpha Fund, the "Funds"), each of which was reported in the original Form 4. The purchases of the reported Series H Stock (the "Rescinded Stock") were rescinded by the mutual agreement of the issuer and the Funds for the purpose of resolving certain disputes that had arisen between the issuer and the Reporting Persons (as defined below) in connection with the original transactions. Pursuant to the rescission agreement among the parties, the purchases of the Rescinded Stock have been deemed null and void ab initio by the issuer as if the original transaction documents were never entered into by the Funds and the purchases of the Rescinded Stock had never occurred. F3 · ownership.nature: (Continued from Footnote 2) In connection with the rescission and voiding of these purchases, each Fund was refunded its original purchase price for the Rescinded Stock and surrendered the Rescinded Stock to the issuer for cancellation, as a result of which the issuer and each Reporting Person have been placed in the position it was in with respect to the ownership of the Rescinded Stock immediately prior to such transactions. F6 · ownership.nature: Strome Investment Management, L.P. ("SIM") is the general partner of the Funds. Strome Group Inc. ("SG") is the general partner of SIM, and Mark E. Strome is the President and CEO of SG. Each of SIM, SG and Mr. Strome may be deemed to beneficially own the reported securities held by the Funds under Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act"), and hereby disclaims beneficial ownership of the reported securities for purposes of Section 16 of the Exchange Act, except the extent of its or his respective pecuniary interest in the reported securities. The Funds, SIM, SG and Mr. Strome are hereby referred to as the "Reporting Persons". Read SEC document |
| October 29, 2020 Filed Nov 2, 2020 23:10 UTC Amendment | Paradium.AI, Inc. MVEN · Entity 7275 | OtherSeries H Convertible Preferred Stock · Derivative | 82.5 | Not disclosed Strike: $0.33 | Not disclosed |
DisclosureSEC source: 0000899243-20-030115 · doc4a.xml · derivative · entry 3 STROME MARK E · CIK 0000919484 · 10% owner STROME MEZZANINE FUND, LP · CIK 0001713153 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 8,462.5 Underlying: Common Stock · Not disclosed shares Expires not disclosed F2 · kind: This Amendment reports the rescission on October 29, 2020 of (a) the purchase of the 82.5 shares of Series H Stock on August 19, 2020 by Strome Alpha Fund, L.P. (the "Alpha Fund") and (b) the purchase of the 412.5 shares of Series H Stock on August 20, 2020 by Strome Mezzanine Fund, LP (collectively with the Alpha Fund, the "Funds"), each of which was reported in the original Form 4. The purchases of the reported Series H Stock (the "Rescinded Stock") were rescinded by the mutual agreement of the issuer and the Funds for the purpose of resolving certain disputes that had arisen between the issuer and the Reporting Persons (as defined below) in connection with the original transactions. Pursuant to the rescission agreement among the parties, the purchases of the Rescinded Stock have been deemed null and void ab initio by the issuer as if the original transaction documents were never entered into by the Funds and the purchases of the Rescinded Stock had never occurred. F3 · kind: (Continued from Footnote 2) In connection with the rescission and voiding of these purchases, each Fund was refunded its original purchase price for the Rescinded Stock and surrendered the Rescinded Stock to the issuer for cancellation, as a result of which the issuer and each Reporting Person have been placed in the position it was in with respect to the ownership of the Rescinded Stock immediately prior to such transactions. F2 · price: This Amendment reports the rescission on October 29, 2020 of (a) the purchase of the 82.5 shares of Series H Stock on August 19, 2020 by Strome Alpha Fund, L.P. (the "Alpha Fund") and (b) the purchase of the 412.5 shares of Series H Stock on August 20, 2020 by Strome Mezzanine Fund, LP (collectively with the Alpha Fund, the "Funds"), each of which was reported in the original Form 4. The purchases of the reported Series H Stock (the "Rescinded Stock") were rescinded by the mutual agreement of the issuer and the Funds for the purpose of resolving certain disputes that had arisen between the issuer and the Reporting Persons (as defined below) in connection with the original transactions. Pursuant to the rescission agreement among the parties, the purchases of the Rescinded Stock have been deemed null and void ab initio by the issuer as if the original transaction documents were never entered into by the Funds and the purchases of the Rescinded Stock had never occurred. F3 · price: (Continued from Footnote 2) In connection with the rescission and voiding of these purchases, each Fund was refunded its original purchase price for the Rescinded Stock and surrendered the Rescinded Stock to the issuer for cancellation, as a result of which the issuer and each Reporting Person have been placed in the position it was in with respect to the ownership of the Rescinded Stock immediately prior to such transactions. F2 · derivative.exercise_date: This Amendment reports the rescission on October 29, 2020 of (a) the purchase of the 82.5 shares of Series H Stock on August 19, 2020 by Strome Alpha Fund, L.P. (the "Alpha Fund") and (b) the purchase of the 412.5 shares of Series H Stock on August 20, 2020 by Strome Mezzanine Fund, LP (collectively with the Alpha Fund, the "Funds"), each of which was reported in the original Form 4. The purchases of the reported Series H Stock (the "Rescinded Stock") were rescinded by the mutual agreement of the issuer and the Funds for the purpose of resolving certain disputes that had arisen between the issuer and the Reporting Persons (as defined below) in connection with the original transactions. Pursuant to the rescission agreement among the parties, the purchases of the Rescinded Stock have been deemed null and void ab initio by the issuer as if the original transaction documents were never entered into by the Funds and the purchases of the Rescinded Stock had never occurred. F3 · derivative.exercise_date: (Continued from Footnote 2) In connection with the rescission and voiding of these purchases, each Fund was refunded its original purchase price for the Rescinded Stock and surrendered the Rescinded Stock to the issuer for cancellation, as a result of which the issuer and each Reporting Person have been placed in the position it was in with respect to the ownership of the Rescinded Stock immediately prior to such transactions. F2 · derivative.expiration_date: This Amendment reports the rescission on October 29, 2020 of (a) the purchase of the 82.5 shares of Series H Stock on August 19, 2020 by Strome Alpha Fund, L.P. (the "Alpha Fund") and (b) the purchase of the 412.5 shares of Series H Stock on August 20, 2020 by Strome Mezzanine Fund, LP (collectively with the Alpha Fund, the "Funds"), each of which was reported in the original Form 4. The purchases of the reported Series H Stock (the "Rescinded Stock") were rescinded by the mutual agreement of the issuer and the Funds for the purpose of resolving certain disputes that had arisen between the issuer and the Reporting Persons (as defined below) in connection with the original transactions. Pursuant to the rescission agreement among the parties, the purchases of the Rescinded Stock have been deemed null and void ab initio by the issuer as if the original transaction documents were never entered into by the Funds and the purchases of the Rescinded Stock had never occurred. F3 · derivative.expiration_date: (Continued from Footnote 2) In connection with the rescission and voiding of these purchases, each Fund was refunded its original purchase price for the Rescinded Stock and surrendered the Rescinded Stock to the issuer for cancellation, as a result of which the issuer and each Reporting Person have been placed in the position it was in with respect to the ownership of the Rescinded Stock immediately prior to such transactions. F2 · derivative.underlying_shares: This Amendment reports the rescission on October 29, 2020 of (a) the purchase of the 82.5 shares of Series H Stock on August 19, 2020 by Strome Alpha Fund, L.P. (the "Alpha Fund") and (b) the purchase of the 412.5 shares of Series H Stock on August 20, 2020 by Strome Mezzanine Fund, LP (collectively with the Alpha Fund, the "Funds"), each of which was reported in the original Form 4. The purchases of the reported Series H Stock (the "Rescinded Stock") were rescinded by the mutual agreement of the issuer and the Funds for the purpose of resolving certain disputes that had arisen between the issuer and the Reporting Persons (as defined below) in connection with the original transactions. Pursuant to the rescission agreement among the parties, the purchases of the Rescinded Stock have been deemed null and void ab initio by the issuer as if the original transaction documents were never entered into by the Funds and the purchases of the Rescinded Stock had never occurred. F3 · derivative.underlying_shares: (Continued from Footnote 2) In connection with the rescission and voiding of these purchases, each Fund was refunded its original purchase price for the Rescinded Stock and surrendered the Rescinded Stock to the issuer for cancellation, as a result of which the issuer and each Reporting Person have been placed in the position it was in with respect to the ownership of the Rescinded Stock immediately prior to such transactions. F2 · ownership.nature: This Amendment reports the rescission on October 29, 2020 of (a) the purchase of the 82.5 shares of Series H Stock on August 19, 2020 by Strome Alpha Fund, L.P. (the "Alpha Fund") and (b) the purchase of the 412.5 shares of Series H Stock on August 20, 2020 by Strome Mezzanine Fund, LP (collectively with the Alpha Fund, the "Funds"), each of which was reported in the original Form 4. The purchases of the reported Series H Stock (the "Rescinded Stock") were rescinded by the mutual agreement of the issuer and the Funds for the purpose of resolving certain disputes that had arisen between the issuer and the Reporting Persons (as defined below) in connection with the original transactions. Pursuant to the rescission agreement among the parties, the purchases of the Rescinded Stock have been deemed null and void ab initio by the issuer as if the original transaction documents were never entered into by the Funds and the purchases of the Rescinded Stock had never occurred. F3 · ownership.nature: (Continued from Footnote 2) In connection with the rescission and voiding of these purchases, each Fund was refunded its original purchase price for the Rescinded Stock and surrendered the Rescinded Stock to the issuer for cancellation, as a result of which the issuer and each Reporting Person have been placed in the position it was in with respect to the ownership of the Rescinded Stock immediately prior to such transactions. F6 · ownership.nature: Strome Investment Management, L.P. ("SIM") is the general partner of the Funds. Strome Group Inc. ("SG") is the general partner of SIM, and Mark E. Strome is the President and CEO of SG. Each of SIM, SG and Mr. Strome may be deemed to beneficially own the reported securities held by the Funds under Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act"), and hereby disclaims beneficial ownership of the reported securities for purposes of Section 16 of the Exchange Act, except the extent of its or his respective pecuniary interest in the reported securities. The Funds, SIM, SG and Mr. Strome are hereby referred to as the "Reporting Persons". Read SEC document |
| October 08, 2020 Filed Oct 13, 2020 17:31 UTC | Zivo Bioscience, Inc. OTCQB:ZIVO · Entity 9611 | PurchaseCommon Stock Purchase Warrant · Derivative | 1,500,000 | $0.00 Strike: $0.12 | $0.00 |
DisclosureSEC source: 0001793373-20-000012 · primary_doc.xml · derivative · entry 1 STROME MARK E · CIK 0000919484 · 10% owner STROME MEZZANINE FUND, LP · CIK 0001713153 · 10% owner STROME INVESTMENT MANAGEMENT LP · CIK 0000936711 · 10% owner STROME GROUP, INC. · CIK 0001724136 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 1,500,000 Underlying: Common Stock · 1,500,000 shares Expires 2025-10-08 F1 · price: Strome Mezzanine Fund, L.P. ("Strome Mezzanine") entered into a License Co-Development Participation Agreement dated October 8, 2020 (the "Participation Agreement") with Zivo Bioscience, Inc. ("Zivo"), pursuant to which Strome Mezzanine agreed to fund a portion of the budgeted costs for Zivo's work to enter into certain license agreements. As additional consideration for Strome Mezzanine's funding of the Participation Agreement and to encourage Strome Mezzanine's continued investment in Zivo, Zivo issued this warrant to Strome Mezzanine. No valuation of this portion of the consideration was assigned. F2 · ownership.nature: This filing is made on behalf of Strome Mezzanine, Strome Investment Management, LP, Strome Group, Inc., and Mark Strome (together, the "Reporting Persons"). Strome Investment Management, LP is the general partner of Strome Mezzanine. Strome Group, Inc. is the general partner of Strome Investment Management, LP. Mark Strome is the President and CEO of Strome Group, Inc. Strome Investment Management, LP, Strome Group, Inc., and Mark Strome may be deemed to share voting and investment power for the shares held by Strome Mezzanine. F3 · ownership.nature: Pursuant to Rule 16a-1(a)(4) of the Securities Exchange Act of 1934 (the "Exchange Act"), this filing shall not be deemed an admission that the Reporting Persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any equity securities reported herein. Read SEC document |
| August 20, 2020 Filed Aug 21, 2020 21:14 UTC | Paradium.AI, Inc. MVEN · Entity 7275 | PurchaseSeries H Convertible Preferred Stock · Derivative | 412.5 | $1,000.00 Strike: $0.33 | $412,500.00 |
DisclosureSEC source: 0000899243-20-023212 · doc4.xml · derivative · entry 2 STROME MARK E · CIK 0000919484 · 10% owner STROME MEZZANINE FUND, LP · CIK 0001713153 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 8,545 Underlying: Common Stock · Not disclosed shares Expires not disclosed F4 · derivative.exercise_date: Subject to the conversion limitation (described in note 5), the reported securities are convertible into common stock of the issuer at any time, and has no expiration date, but are subject to mandatory conversion on the fifth anniversary of the original issuance date. F4 · derivative.expiration_date: Subject to the conversion limitation (described in note 5), the reported securities are convertible into common stock of the issuer at any time, and has no expiration date, but are subject to mandatory conversion on the fifth anniversary of the original issuance date. F5 · derivative.underlying_shares: The reported securities are subject to a conversion limitation that prohibits the issuer from effecting a conversion of the reported securities into common stock if giving effect to the conversion would cause the holder to beneficially own (together with its affiliates or any "group" members) in excess of 4.99% of the common stock (or, upon notice by the holder, in excess of 9.99% of the common stock). As beneficial owners of more than 10% of the common stock, the Reporting Persons are effectively barred from converting the reported securities into additional shares of common stock. Absent this conversion limitation, the reported securities held by the Funds would be convertible into 1,500,000 shares of the issuer's common stock at the election of the Funds. F2 · ownership.nature: The reported securities are owned directly by Strome Mezzanine Fund, LP (the "Mezzanine Fund"). F3 · ownership.nature: Strome Investment Management, L.P. ("SIM") is the general partner of the Alpha Fund and the Mezzanine Fund (collectively, the "Funds"). Strome Group Inc. ("SG") is the general partner of SIM, and Mark E. Strome is the President and CEO of SG. Each of SIM, SG and Mr. Strome may be deemed to beneficially own the reported securities held by the Funds under Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act"), and hereby disclaims beneficial ownership of the reported securities for purposes of Section 16 of the Exchange Act, except the extent of its or his respective pecuniary interest in the reported securities. The Funds, SIM, SG and Mr. Strome are hereby referred to as the "Reporting Persons". Read SEC document |
| August 20, 2020 Filed Nov 2, 2020 23:10 UTC Amendment | Paradium.AI, Inc. MVEN · Entity 7275 | PurchaseSeries H Convertible Preferred Stock · Derivative | 412.5 | $1,212.12 Strike: $0.33 | $499,999.50 |
DisclosureSEC source: 0000899243-20-030115 · doc4a.xml · derivative · entry 2 STROME MARK E · CIK 0000919484 · 10% owner STROME MEZZANINE FUND, LP · CIK 0001713153 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 8,545 Underlying: Common Stock · Not disclosed shares Expires not disclosed F1 · price: Due to a scrivener's error, the original Form 4, as filed on August 21, 2020, inadvertently listed the stated value per share of the reported shares of Series H Convertible Preferred Stock (the "Series H Stock") instead of the purchase price paid per share for the reported Series H Stock, which is reflected in this Amendment. F7 · derivative.exercise_date: Subject to the conversion limitation (described in note 8), the reported securities are convertible into common stock of the issuer at any time, and has no expiration date, but are subject to mandatory conversion on the fifth anniversary of the original issuance date. F7 · derivative.expiration_date: Subject to the conversion limitation (described in note 8), the reported securities are convertible into common stock of the issuer at any time, and has no expiration date, but are subject to mandatory conversion on the fifth anniversary of the original issuance date. F8 · derivative.underlying_shares: The reported securities are subject to a conversion limitation that prohibits the issuer from effecting a conversion of the reported securities into common stock if giving effect to the conversion would cause the holder to beneficially own (together with its affiliates or any "group" members) in excess of 4.99% of the common stock (or, upon notice by the holder, in excess of 9.99% of the common stock). As beneficial owners of more than 10% of the common stock, the Reporting Persons are effectively barred from converting the reported securities into additional shares of common stock. Absent this conversion limitation, the reported securities held by the Funds would be convertible into 1,500,000 shares of the issuer's common stock at the election of the Funds. F2 · balance_after: This Amendment reports the rescission on October 29, 2020 of (a) the purchase of the 82.5 shares of Series H Stock on August 19, 2020 by Strome Alpha Fund, L.P. (the "Alpha Fund") and (b) the purchase of the 412.5 shares of Series H Stock on August 20, 2020 by Strome Mezzanine Fund, LP (collectively with the Alpha Fund, the "Funds"), each of which was reported in the original Form 4. The purchases of the reported Series H Stock (the "Rescinded Stock") were rescinded by the mutual agreement of the issuer and the Funds for the purpose of resolving certain disputes that had arisen between the issuer and the Reporting Persons (as defined below) in connection with the original transactions. Pursuant to the rescission agreement among the parties, the purchases of the Rescinded Stock have been deemed null and void ab initio by the issuer as if the original transaction documents were never entered into by the Funds and the purchases of the Rescinded Stock had never occurred. F3 · balance_after: (Continued from Footnote 2) In connection with the rescission and voiding of these purchases, each Fund was refunded its original purchase price for the Rescinded Stock and surrendered the Rescinded Stock to the issuer for cancellation, as a result of which the issuer and each Reporting Person have been placed in the position it was in with respect to the ownership of the Rescinded Stock immediately prior to such transactions. F5 · ownership.nature: The reported securities are owned directly by the Mezzanine Fund. F6 · ownership.nature: Strome Investment Management, L.P. ("SIM") is the general partner of the Funds. Strome Group Inc. ("SG") is the general partner of SIM, and Mark E. Strome is the President and CEO of SG. Each of SIM, SG and Mr. Strome may be deemed to beneficially own the reported securities held by the Funds under Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act"), and hereby disclaims beneficial ownership of the reported securities for purposes of Section 16 of the Exchange Act, except the extent of its or his respective pecuniary interest in the reported securities. The Funds, SIM, SG and Mr. Strome are hereby referred to as the "Reporting Persons". Read SEC document |
| August 19, 2020 Filed Aug 21, 2020 21:14 UTC | Paradium.AI, Inc. MVEN · Entity 7275 | PurchaseSeries H Convertible Preferred Stock · Derivative | 82.5 | $1,000.00 Strike: $0.33 | $82,500.00 |
DisclosureSEC source: 0000899243-20-023212 · doc4.xml · derivative · entry 1 STROME MARK E · CIK 0000919484 · 10% owner STROME MEZZANINE FUND, LP · CIK 0001713153 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 8,132.5 Underlying: Common Stock · Not disclosed shares Expires not disclosed F4 · derivative.exercise_date: Subject to the conversion limitation (described in note 5), the reported securities are convertible into common stock of the issuer at any time, and has no expiration date, but are subject to mandatory conversion on the fifth anniversary of the original issuance date. F4 · derivative.expiration_date: Subject to the conversion limitation (described in note 5), the reported securities are convertible into common stock of the issuer at any time, and has no expiration date, but are subject to mandatory conversion on the fifth anniversary of the original issuance date. F5 · derivative.underlying_shares: The reported securities are subject to a conversion limitation that prohibits the issuer from effecting a conversion of the reported securities into common stock if giving effect to the conversion would cause the holder to beneficially own (together with its affiliates or any "group" members) in excess of 4.99% of the common stock (or, upon notice by the holder, in excess of 9.99% of the common stock). As beneficial owners of more than 10% of the common stock, the Reporting Persons are effectively barred from converting the reported securities into additional shares of common stock. Absent this conversion limitation, the reported securities held by the Funds would be convertible into 1,500,000 shares of the issuer's common stock at the election of the Funds. F1 · ownership.nature: The reported securities are owned directly by Strome Alpha Fund, L.P. (the "Alpha Fund"). F3 · ownership.nature: Strome Investment Management, L.P. ("SIM") is the general partner of the Alpha Fund and the Mezzanine Fund (collectively, the "Funds"). Strome Group Inc. ("SG") is the general partner of SIM, and Mark E. Strome is the President and CEO of SG. Each of SIM, SG and Mr. Strome may be deemed to beneficially own the reported securities held by the Funds under Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act"), and hereby disclaims beneficial ownership of the reported securities for purposes of Section 16 of the Exchange Act, except the extent of its or his respective pecuniary interest in the reported securities. The Funds, SIM, SG and Mr. Strome are hereby referred to as the "Reporting Persons". Read SEC document |
| August 19, 2020 Filed Nov 2, 2020 23:10 UTC Amendment | Paradium.AI, Inc. MVEN · Entity 7275 | PurchaseSeries H Convertible Preferred Stock · Derivative | 82.5 | $1,212.12 Strike: $0.33 | $99,999.90 |
DisclosureSEC source: 0000899243-20-030115 · doc4a.xml · derivative · entry 1 STROME MARK E · CIK 0000919484 · 10% owner STROME MEZZANINE FUND, LP · CIK 0001713153 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 8,132.5 Underlying: Common Stock · Not disclosed shares Expires not disclosed F1 · price: Due to a scrivener's error, the original Form 4, as filed on August 21, 2020, inadvertently listed the stated value per share of the reported shares of Series H Convertible Preferred Stock (the "Series H Stock") instead of the purchase price paid per share for the reported Series H Stock, which is reflected in this Amendment. F7 · derivative.exercise_date: Subject to the conversion limitation (described in note 8), the reported securities are convertible into common stock of the issuer at any time, and has no expiration date, but are subject to mandatory conversion on the fifth anniversary of the original issuance date. F7 · derivative.expiration_date: Subject to the conversion limitation (described in note 8), the reported securities are convertible into common stock of the issuer at any time, and has no expiration date, but are subject to mandatory conversion on the fifth anniversary of the original issuance date. F8 · derivative.underlying_shares: The reported securities are subject to a conversion limitation that prohibits the issuer from effecting a conversion of the reported securities into common stock if giving effect to the conversion would cause the holder to beneficially own (together with its affiliates or any "group" members) in excess of 4.99% of the common stock (or, upon notice by the holder, in excess of 9.99% of the common stock). As beneficial owners of more than 10% of the common stock, the Reporting Persons are effectively barred from converting the reported securities into additional shares of common stock. Absent this conversion limitation, the reported securities held by the Funds would be convertible into 1,500,000 shares of the issuer's common stock at the election of the Funds. F2 · balance_after: This Amendment reports the rescission on October 29, 2020 of (a) the purchase of the 82.5 shares of Series H Stock on August 19, 2020 by Strome Alpha Fund, L.P. (the "Alpha Fund") and (b) the purchase of the 412.5 shares of Series H Stock on August 20, 2020 by Strome Mezzanine Fund, LP (collectively with the Alpha Fund, the "Funds"), each of which was reported in the original Form 4. The purchases of the reported Series H Stock (the "Rescinded Stock") were rescinded by the mutual agreement of the issuer and the Funds for the purpose of resolving certain disputes that had arisen between the issuer and the Reporting Persons (as defined below) in connection with the original transactions. Pursuant to the rescission agreement among the parties, the purchases of the Rescinded Stock have been deemed null and void ab initio by the issuer as if the original transaction documents were never entered into by the Funds and the purchases of the Rescinded Stock had never occurred. F3 · balance_after: (Continued from Footnote 2) In connection with the rescission and voiding of these purchases, each Fund was refunded its original purchase price for the Rescinded Stock and surrendered the Rescinded Stock to the issuer for cancellation, as a result of which the issuer and each Reporting Person have been placed in the position it was in with respect to the ownership of the Rescinded Stock immediately prior to such transactions. F4 · ownership.nature: The reported securities are owned directly by the Alpha Fund. F6 · ownership.nature: Strome Investment Management, L.P. ("SIM") is the general partner of the Funds. Strome Group Inc. ("SG") is the general partner of SIM, and Mark E. Strome is the President and CEO of SG. Each of SIM, SG and Mr. Strome may be deemed to beneficially own the reported securities held by the Funds under Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act"), and hereby disclaims beneficial ownership of the reported securities for purposes of Section 16 of the Exchange Act, except the extent of its or his respective pecuniary interest in the reported securities. The Funds, SIM, SG and Mr. Strome are hereby referred to as the "Reporting Persons". Read SEC document |
| August 14, 2020 Filed Aug 18, 2020 20:23 UTC | Paradium.AI, Inc. MVEN · Entity 7275 | PurchaseSeries H Convertible Preferred Stock · Derivative | 1,650 | $1,000.00 Strike: $0.33 | $1,650,000.00 |
DisclosureSEC source: 0000899243-20-022720 · doc4.xml · derivative · entry 1 STROME MARK E · CIK 0000919484 · 10% owner STROME MEZZANINE FUND, LP · CIK 0001713153 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 8,050 Underlying: Common Stock · Not disclosed shares Expires not disclosed F2 · derivative.exercise_date: Subject to the conversion limitation (described in note 3), the reported securities are convertible into common stock of the issuer at any time, and has no expiration date, but is subject to mandatory conversion on the fifth anniversary of the original issuance date. F2 · derivative.expiration_date: Subject to the conversion limitation (described in note 3), the reported securities are convertible into common stock of the issuer at any time, and has no expiration date, but is subject to mandatory conversion on the fifth anniversary of the original issuance date. F3 · derivative.underlying_shares: The reported securities are subject to a conversion limitation that prohibits the issuer from effecting a conversion of the reported securities into common stock if giving effect to the conversion would cause the holder to beneficially own (together with its affiliates or any "group" members) in excess of 4.99% of the common stock (or, upon notice by the holder, in excess of 9.99% of the common stock). As beneficial owners of more than 10% of the common stock, the Reporting Persons are effectively barred from converting the reported security into additional shares of common stock. Absent this conversion limitation, the reported securities would be convertible into 5,000,000 shares of the issuer's common stock at the election of the Fund. F1 · ownership.nature: The reported securities are owned directly by Strome Mezzanine Fund, LP (the "Fund"). Strome Investment Management, L.P. ("SIM") is the general partner of the Fund and may be deemed to beneficially own the reported securities under Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act"). Strome Group Inc. ("SG") is the general partner of SIM and may also be deemed to beneficially own the reported securities under Section 13(d) of the Exchange Act. Mark E. Strome is the President and CEO of SG and may also be deemed to beneficially own the reported securities under Section 13(d) of the Exchange Act. SIM, SG and Mr. Strome disclaim beneficial ownership of the reported securities for purposes of Section 16 of the Exchange Act, except the extent of their respective pecuniary interest in the securities. The Fund, SIM, SG and Mr. Strome are hereby referred to as the "Reporting Persons". Read SEC document |
| August 14, 2020 Filed Nov 2, 2020 23:16 UTC Amendment | Paradium.AI, Inc. MVEN · Entity 7275 | PurchaseSeries H Convertible Preferred Stock · Derivative | 1,650 | $1,212.12 Strike: $0.33 | $1,999,998.00 |
DisclosureSEC source: 0000899243-20-030117 · doc4a.xml · derivative · entry 1 STROME MARK E · CIK 0000919484 · 10% owner STROME MEZZANINE FUND, LP · CIK 0001713153 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 8,050 Underlying: Common Stock · Not disclosed shares Expires not disclosed F1 · price: Due to a scrivener's error, the original Form 4, as filed on August 18, 2020, inadvertently listed the stated value per share of the reported shares of Series H Convertible Preferred Stock (the "Series H Stock") instead of the purchase price paid per share for the reported Series H Stock, which is reflected in this Amendment. F5 · derivative.exercise_date: Subject to the conversion limitation (described in note 6), the reported securities are convertible into common stock of the issuer at any time, and has no expiration date, but is subject to mandatory conversion on the fifth anniversary of the original issuance date. F5 · derivative.expiration_date: Subject to the conversion limitation (described in note 6), the reported securities are convertible into common stock of the issuer at any time, and has no expiration date, but is subject to mandatory conversion on the fifth anniversary of the original issuance date. F6 · derivative.underlying_shares: The reported securities are subject to a conversion limitation that prohibits the issuer from effecting a conversion of the reported securities into common stock if giving effect to the conversion would cause the holder to beneficially own (together with its affiliates or any "group" members) in excess of 4.99% of the common stock (or, upon notice by the holder, in excess of 9.99% of the common stock). As beneficial owners of more than 10% of the common stock, the Reporting Persons are effectively barred from converting the reported security into additional shares of common stock. Absent this conversion limitation, the reported securities would be convertible into 5,000,000 shares of the issuer's common stock at the election of the Fund. F2 · balance_after: This Amendment reports the rescission on October 29, 2020 of the purchase of the 1,650 shares of Series H Stock on August 14, 2020 by Strome Mezzanine Fund, LP (the "Fund"), which was reported in the original Form 4. The purchase of the reported Series H Stock (the "Rescinded Stock") was rescinded by the mutual agreement of the issuer and the Fund for the purpose of resolving certain disputes that had arisen between the issuer and the Reporting Persons (as defined below) in connection with the original transaction. Pursuant to the rescission agreement among the parties, the purchase of the Rescinded Stock has been deemed null and void ab initio by the issuer as if the original transaction documents were never entered into by the Fund and the purchase of the Rescinded Stock had never occurred. F3 · balance_after: (continued from footnote 2) In connection with the rescission and voiding of this purchase, the Fund was refunded its original purchase price for the Rescinded Stock and surrendered the Rescinded Stock to the issuer for cancellation, as a result of which the issuer and each Reporting Person have been placed in the position it was in with respect to the ownership of the Rescinded Stock immediately prior to the transaction. F4 · ownership.nature: The reported securities are owned directly by the Fund. Strome Investment Management, L.P. ("SIM") is the general partner of the Fund and may be deemed to beneficially own the reported securities under Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act"). Strome Group Inc. ("SG") is the general partner of SIM and may also be deemed to beneficially own the reported securities under Section 13(d) of the Exchange Act. Mark E. Strome is the President and CEO of SG and may also be deemed to beneficially own the reported securities under Section 13(d) of the Exchange Act. SIM, SG and Mr. Strome disclaim beneficial ownership of the reported securities for purposes of Section 16 of the Exchange Act, except the extent of their respective pecuniary interest in the securities. The Fund, SIM, SG and Mr. Strome are hereby referred to as the "Reporting Persons". Read SEC document |
| April 29, 2019 Filed May 1, 2019 22:32 UTC | Paradium.AI, Inc. MVEN · Entity 7275 | PurchaseSeries H Convertible Preferred Stock · Derivative | 200 | $1,000.00 Strike: $0.33 | $200,000.00 |
DisclosureSEC source: 0000899243-19-011647 · doc4.xml · derivative · entry 1 STROME MARK E · CIK 0000919484 · 10% owner STROME MEZZANINE FUND, LP · CIK 0001713153 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 5,800 Underlying: Common Stock · Not disclosed shares Expires not disclosed F2 · derivative.exercise_date: Subject to the conversion limitation (described in note 3), the reported security is convertible into common stock of the issuer at any time, and has no expiration date, but is subject to mandatory conversion on the fifth anniversary of the issuance date. F2 · derivative.expiration_date: Subject to the conversion limitation (described in note 3), the reported security is convertible into common stock of the issuer at any time, and has no expiration date, but is subject to mandatory conversion on the fifth anniversary of the issuance date. F3 · derivative.underlying_shares: The reported security is subject to a conversion limitation that prohibits the issuer from effecting a conversion of the reported security into common stock if giving effect to the conversion would cause the holder to beneficially own (together with its affiliates or any "group" members) in excess of 4.99% of the common stock (or, upon notice by the holder, in excess of 9.99% of the common stock). As beneficial owners of more than 10% of the common stock, the Reporting Persons are effectively barred from converting the reported security into additional shares of common stock. Absent this conversion limitation, the reported security would be convertible into 606,060 shares of the issuer's common stock at the election of the Fund. F1 · ownership.nature: The reported securities are owned directly by Strome Mezzanine Fund, LP (the "Fund"). Strome Investment Management, L.P. ("SIM") is the general partner of the Fund and may be deemed to beneficially own the reported security under Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act"). Strome Group Inc. ("SG") is the general partner of SIM and may also be deemed to beneficially own the reported security under Section 13(d) of the Exchange Act. Mark E. Strome is the President and CEO of SG and may also be deemed to beneficially own the reported security under Section 13(d) of the Exchange Act. SIM, SG and Mr. Strome disclaim beneficial ownership of the reported security for purposes of Section 16 of the Exchange Act, except the extent of their respective pecuniary interest in the security. The Fund, SIM, SG and Mr. Strome are hereby referred to as the "Reporting Persons". Read SEC document |
| August 10, 2018 Filed Oct 4, 2018 22:02 UTC | Paradium.AI, Inc. MVEN · Entity 7275 | PurchaseSeries H Convertible Preferred Stock · Derivative | 1,000 | $1,000,000.00 Strike: $0.33 | $1,000,000,000.00 |
DisclosureSEC source: 0000899243-18-026229 · doc4.xml · derivative · entry 17 STROME MARK E · CIK 0000919484 · 10% owner STROME MEZZANINE FUND, LP · CIK 0001713153 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 5,600 Underlying: Common Stock · Not disclosed shares Expires not disclosed F8 · derivative.exercise_date: The Series H Convertible Preferred Stock is convertible into common stock at any time, and has no expiration date, but is subject to mandatory conversion on the fifth anniversary of the issuance date. F8 · derivative.expiration_date: The Series H Convertible Preferred Stock is convertible into common stock at any time, and has no expiration date, but is subject to mandatory conversion on the fifth anniversary of the issuance date. F6 · derivative.underlying_shares: The reported securities are subject to a conversion limitation that prohibits the Issuer from effecting a conversion of the reported securities into common stock if giving effect to the conversion would cause the holder to beneficially own in excess of 4.99% of the common stock (or, upon notice by the holder, in excess of 9.99% of the common stock). As beneficial owners of more than 10% of the common stock, the Reporting Persons are effectively barred from converting the reported securities into additional shares of common stock. Absent this conversion limitation, at the election of the Reporting Persons, the 5,600 shares of Series H Convertible Preferred Stock would be convertible into 16,969,677shares of the issuer's common stock. F9 · ownership.nature: The reported securities are owned directly by The Mark Strome Revocable Trust (the "Revocable Trust"). Mark E. Strome is the trustee of the Revocable Trust and may also be deemed to beneficially own the reported securities under Section 13(d) of the Exchange Act. Mr. Strome disclaims beneficial ownership of the reported securities for purposes of Section 16 of the Exchange Act, except the extent of his pecuniary interest in the securities. Read SEC document |
| August 10, 2018 Filed Oct 4, 2018 22:02 UTC | Paradium.AI, Inc. MVEN · Entity 7275 | PurchaseSeries H Convertible Preferred Stock · Derivative | 1,000 | $1,000,000.00 Strike: $0.33 | $1,000,000,000.00 |
DisclosureSEC source: 0000899243-18-026229 · doc4.xml · derivative · entry 16 STROME MARK E · CIK 0000919484 · 10% owner STROME MEZZANINE FUND, LP · CIK 0001713153 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 4,600 Underlying: Common Stock · Not disclosed shares Expires not disclosed F8 · derivative.exercise_date: The Series H Convertible Preferred Stock is convertible into common stock at any time, and has no expiration date, but is subject to mandatory conversion on the fifth anniversary of the issuance date. F8 · derivative.expiration_date: The Series H Convertible Preferred Stock is convertible into common stock at any time, and has no expiration date, but is subject to mandatory conversion on the fifth anniversary of the issuance date. F6 · derivative.underlying_shares: The reported securities are subject to a conversion limitation that prohibits the Issuer from effecting a conversion of the reported securities into common stock if giving effect to the conversion would cause the holder to beneficially own in excess of 4.99% of the common stock (or, upon notice by the holder, in excess of 9.99% of the common stock). As beneficial owners of more than 10% of the common stock, the Reporting Persons are effectively barred from converting the reported securities into additional shares of common stock. Absent this conversion limitation, at the election of the Reporting Persons, the 5,600 shares of Series H Convertible Preferred Stock would be convertible into 16,969,677shares of the issuer's common stock. F2 · ownership.nature: The reported securities are owned directly by Strome Mezzanine Fund LP (the "Fund"), a 10% owner of the issuer. Strome Investment Management, L.P. ("SIM") is the general partner of the Fund and may be deemed to beneficially own the reported securities under Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act"). Strome Group Inc. ("SG") is the general partner of SIM and may also be deemed to beneficially own the reported securities under Section 13(d) of the Exchange Act. Mark E. Strome is the President and CEO of SG and may also be deemed to beneficially own the reported securities under Section 13(d) of the Exchange Act. SIM, SG and Mr. Strome disclaim beneficial ownership of the reported securities for purposes of Section 16 of the Exchange Act, except the extent of their respective pecuniary interest in the securities. The Fund, the Living Trust, the Revocable Trust (see note 9 below), SIM, SG and Mr. Strome are hereby referred to as the "Reporting Persons". Read SEC document |
| August 10, 2018 Filed Oct 4, 2018 22:02 UTC | Paradium.AI, Inc. MVEN · Entity 7275 | PurchaseSeries H Convertible Preferred Stock · Derivative | 3,600 | Not disclosed Strike: $0.33 | Not disclosed |
DisclosureSEC source: 0000899243-18-026229 · doc4.xml · derivative · entry 15 STROME MARK E · CIK 0000919484 · 10% owner STROME MEZZANINE FUND, LP · CIK 0001713153 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 3,600 Underlying: Common Stock · Not disclosed shares Expires not disclosed F7 · shares: In a private transaction between the Issuer and the Fund, the principal sum of the 10% Convertible Debenture was converted into 3,600 shares of Series H Convertible Preferred Stock, which are convertible into the same number of the Issuer's common stock, after taking into consideration automatic exercise price adjustments. F7 · price: In a private transaction between the Issuer and the Fund, the principal sum of the 10% Convertible Debenture was converted into 3,600 shares of Series H Convertible Preferred Stock, which are convertible into the same number of the Issuer's common stock, after taking into consideration automatic exercise price adjustments. F8 · derivative.exercise_date: The Series H Convertible Preferred Stock is convertible into common stock at any time, and has no expiration date, but is subject to mandatory conversion on the fifth anniversary of the issuance date. F8 · derivative.expiration_date: The Series H Convertible Preferred Stock is convertible into common stock at any time, and has no expiration date, but is subject to mandatory conversion on the fifth anniversary of the issuance date. F6 · derivative.underlying_shares: The reported securities are subject to a conversion limitation that prohibits the Issuer from effecting a conversion of the reported securities into common stock if giving effect to the conversion would cause the holder to beneficially own in excess of 4.99% of the common stock (or, upon notice by the holder, in excess of 9.99% of the common stock). As beneficial owners of more than 10% of the common stock, the Reporting Persons are effectively barred from converting the reported securities into additional shares of common stock. Absent this conversion limitation, at the election of the Reporting Persons, the 5,600 shares of Series H Convertible Preferred Stock would be convertible into 16,969,677shares of the issuer's common stock. F2 · ownership.nature: The reported securities are owned directly by Strome Mezzanine Fund LP (the "Fund"), a 10% owner of the issuer. Strome Investment Management, L.P. ("SIM") is the general partner of the Fund and may be deemed to beneficially own the reported securities under Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act"). Strome Group Inc. ("SG") is the general partner of SIM and may also be deemed to beneficially own the reported securities under Section 13(d) of the Exchange Act. Mark E. Strome is the President and CEO of SG and may also be deemed to beneficially own the reported securities under Section 13(d) of the Exchange Act. SIM, SG and Mr. Strome disclaim beneficial ownership of the reported securities for purposes of Section 16 of the Exchange Act, except the extent of their respective pecuniary interest in the securities. The Fund, the Living Trust, the Revocable Trust (see note 9 below), SIM, SG and Mr. Strome are hereby referred to as the "Reporting Persons". Read SEC document |
| August 10, 2018 Filed Oct 4, 2018 22:02 UTC | Paradium.AI, Inc. MVEN · Entity 7275 | Conversion10% Convertible Debenture · Derivative | Not disclosed | $0.00 Strike: $1.29 | $3,000,000.00 |
DisclosureSEC source: 0000899243-18-026229 · doc4.xml · derivative · entry 14 STROME MARK E · CIK 0000919484 · 10% owner STROME MEZZANINE FUND, LP · CIK 0001713153 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · Not disclosed shares Expires not disclosed 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. F6 · kind: The reported securities are subject to a conversion limitation that prohibits the Issuer from effecting a conversion of the reported securities into common stock if giving effect to the conversion would cause the holder to beneficially own in excess of 4.99% of the common stock (or, upon notice by the holder, in excess of 9.99% of the common stock). As beneficial owners of more than 10% of the common stock, the Reporting Persons are effectively barred from converting the reported securities into additional shares of common stock. Absent this conversion limitation, at the election of the Reporting Persons, the 5,600 shares of Series H Convertible Preferred Stock would be convertible into 16,969,677shares of the issuer's common stock. F5 · derivative.exercise_date: The 10% Convertible Debenture was convertible into common stock at any time, and had no expiration date. F5 · derivative.expiration_date: The 10% Convertible Debenture was convertible into common stock at any time, and had no expiration date. F7 · derivative.underlying: In a private transaction between the Issuer and the Fund, the principal sum of the 10% Convertible Debenture was converted into 3,600 shares of Series H Convertible Preferred Stock, which are convertible into the same number of the Issuer's common stock, after taking into consideration automatic exercise price adjustments. F6 · derivative.underlying_shares: The reported securities are subject to a conversion limitation that prohibits the Issuer from effecting a conversion of the reported securities into common stock if giving effect to the conversion would cause the holder to beneficially own in excess of 4.99% of the common stock (or, upon notice by the holder, in excess of 9.99% of the common stock). As beneficial owners of more than 10% of the common stock, the Reporting Persons are effectively barred from converting the reported securities into additional shares of common stock. Absent this conversion limitation, at the election of the Reporting Persons, the 5,600 shares of Series H Convertible Preferred Stock would be convertible into 16,969,677shares of the issuer's common stock. F2 · ownership.nature: The reported securities are owned directly by Strome Mezzanine Fund LP (the "Fund"), a 10% owner of the issuer. Strome Investment Management, L.P. ("SIM") is the general partner of the Fund and may be deemed to beneficially own the reported securities under Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act"). Strome Group Inc. ("SG") is the general partner of SIM and may also be deemed to beneficially own the reported securities under Section 13(d) of the Exchange Act. Mark E. Strome is the President and CEO of SG and may also be deemed to beneficially own the reported securities under Section 13(d) of the Exchange Act. SIM, SG and Mr. Strome disclaim beneficial ownership of the reported securities for purposes of Section 16 of the Exchange Act, except the extent of their respective pecuniary interest in the securities. The Fund, the Living Trust, the Revocable Trust (see note 9 below), SIM, SG and Mr. Strome are hereby referred to as the "Reporting Persons". Read SEC document |
| June 28, 2018 Filed Oct 24, 2018 20:59 UTC | Zivo Bioscience, Inc. OTCQB:ZIVO · Entity 9611 | PurchaseConvertible Debt · Derivative | Not disclosed | $691,187.00 Strike: $0.10 | $691,187.00 |
DisclosureSEC source: 0001736749-18-000011 · primary_doc.xml · derivative · entry 3 STROME MARK E · CIK 0000919484 · 10% owner Strome Alpha Fund L P · CIK 0001324539 · 10% owner STROME INVESTMENT MANAGEMENT LP · CIK 0000936711 · 10% owner STROME GROUP, INC. · CIK 0001724136 · 10% owner STROME MEZZANINE FUND, LP · CIK 0001713153 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: Not disclosed Underlying: Common Stock · 6,911,870 shares Expires 2019-04-01 F6 · price: On June 28, 2018, Strome Mezzanine, Strome Alpha, HEP and Zivo entered into the First Amended and Restated Participation Agreement (the "A&R Participation Agreement"). Under the terms of the A&R Participation Agreement, Strome Mezzanine purchased a participation right in the Eleventh Amended and Restated Senior Secured Promissory Note dated May 16, 2018 (the "Eleventh A&R Note") in the amount of $691,187. The Eleventh A&R Note accrues interest at a rate of eleven percent per annum. The principal amount of the Eleventh A&R Note and accrued interest are convertible to Common Stock of Zivo at $0.10 per share. F7 · valueOwnedAfter: Under the A&R Participation Agreement, upon conversion Strome Mezzanine and Strome Alpha will receive shares of Common Stock equal to the principal and one-half of the accrued interest but unpaid interest, converted at $0.10 per share. If all of the principal and accrued but unpaid interest were converted as of the date hereof, Strome Mezzanine and Strome Alpha would receive a combined 22,952,461 shares of Common Stock. Under the terms of the A&R Participation Agreement, Strome Mezzanine would receive 17,697,804 shares upon conversion , and Strome Alpha would receive 5,254,657 of the shares issued upon conversion. A copy of the A&R Participation Agreement was filed with Strome Mezzanine's Schedule 13D on October 24, 2018, and a copy of the Eleventh A&R Note was filed with Zivo's Form 8-K on May 18, 2018. F3 · ownership.nature: This filing is made on behalf of Strome Mezzanine, Strome Alpha, Strome Investment Management, LP, Strome Group, Inc., and Mark Strome (together,the "Reporting Persons"). Strome Investment Management, LP is the general partner of Strome Mezzanine and Strome Alpha. Strome Group, Inc. is the general partner of Strome Investment Management, LP. Mark Strome is the President and CEO of Strome Group, Inc. Strome Investment Management, LP, Strome Group, Inc., and Mark Strome may be deemed to share voting and investment power for the shares held by Strome Mezzanine and Strome Alpha. F4 · ownership.nature: Pursuant to Rule 16a-1(a)(4) of the Securities Exchange Act of 1934 (the "Exchange Act"), this filing shall not be deemed an admission that the Reporting Persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any equity securities reported herein. Read SEC document |
| June 15, 2018 Filed Oct 4, 2018 22:02 UTC | Paradium.AI, Inc. MVEN · Entity 7275 | Purchase10% Convertible Debenture · Derivative | Not disclosed | $3,000,000.00 Strike: $1.29 | $3,000,000.00 |
DisclosureSEC source: 0000899243-18-026229 · doc4.xml · derivative · entry 13 STROME MARK E · CIK 0000919484 · 10% owner STROME MEZZANINE FUND, LP · CIK 0001713153 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1 Underlying: Common Stock · Not disclosed shares Expires not disclosed F5 · derivative.exercise_date: The 10% Convertible Debenture was convertible into common stock at any time, and had no expiration date. F5 · derivative.expiration_date: The 10% Convertible Debenture was convertible into common stock at any time, and had no expiration date. F6 · derivative.underlying_shares: The reported securities are subject to a conversion limitation that prohibits the Issuer from effecting a conversion of the reported securities into common stock if giving effect to the conversion would cause the holder to beneficially own in excess of 4.99% of the common stock (or, upon notice by the holder, in excess of 9.99% of the common stock). As beneficial owners of more than 10% of the common stock, the Reporting Persons are effectively barred from converting the reported securities into additional shares of common stock. Absent this conversion limitation, at the election of the Reporting Persons, the 5,600 shares of Series H Convertible Preferred Stock would be convertible into 16,969,677shares of the issuer's common stock. F2 · ownership.nature: The reported securities are owned directly by Strome Mezzanine Fund LP (the "Fund"), a 10% owner of the issuer. Strome Investment Management, L.P. ("SIM") is the general partner of the Fund and may be deemed to beneficially own the reported securities under Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act"). Strome Group Inc. ("SG") is the general partner of SIM and may also be deemed to beneficially own the reported securities under Section 13(d) of the Exchange Act. Mark E. Strome is the President and CEO of SG and may also be deemed to beneficially own the reported securities under Section 13(d) of the Exchange Act. SIM, SG and Mr. Strome disclaim beneficial ownership of the reported securities for purposes of Section 16 of the Exchange Act, except the extent of their respective pecuniary interest in the securities. The Fund, the Living Trust, the Revocable Trust (see note 9 below), SIM, SG and Mr. Strome are hereby referred to as the "Reporting Persons". Read SEC document |
| June 15, 2018 Filed Oct 4, 2018 22:02 UTC | Paradium.AI, Inc. MVEN · Entity 7275 | PurchaseWarrant (right to buy) · Derivative | 1 | Not disclosed Strike: $0.50 | Not disclosed |
DisclosureSEC source: 0000899243-18-026229 · doc4.xml · derivative · entry 12 STROME MARK E · CIK 0000919484 · 10% owner STROME MEZZANINE FUND, LP · CIK 0001713153 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1 Underlying: Common Stock · 1,500,000 shares Expires 2023-06-13 F3 · derivative.exercise_price: The original exercise price of the Warrant was $1.19 per share. However, the terms of the Warrant requires that the exercise price of the Warrant be reduced, but not below $0.50 per share, in the event of a subsequent issuance of securities convertible into the common stock at a lower exercise price upon notice by the purchaser. Effective as of August 3, 2018, the Issuer issued shares of Series H Convertible Preferred Stock with an exercise price of $0.33 per share. Accordingly, the exercise price of the Warrants was reduced by the Issuer to $0.50 per share in accordance with the terms of the Warrant. No additional common stock is issuable upon exercise of the Warrant as a result of the amendment to the exercise price. F4 · price: In a private transaction between the Issuer and the Fund, in consideration for the issuance of the Warrant, the Fund surrendered a "true up" right under a securities purchase agreement, dated March 30, 2018, to purchase up to 500,000 additional shares of the Issuer's common stock at no cost under certain circumstances. F2 · ownership.nature: The reported securities are owned directly by Strome Mezzanine Fund LP (the "Fund"), a 10% owner of the issuer. Strome Investment Management, L.P. ("SIM") is the general partner of the Fund and may be deemed to beneficially own the reported securities under Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act"). Strome Group Inc. ("SG") is the general partner of SIM and may also be deemed to beneficially own the reported securities under Section 13(d) of the Exchange Act. Mark E. Strome is the President and CEO of SG and may also be deemed to beneficially own the reported securities under Section 13(d) of the Exchange Act. SIM, SG and Mr. Strome disclaim beneficial ownership of the reported securities for purposes of Section 16 of the Exchange Act, except the extent of their respective pecuniary interest in the securities. The Fund, the Living Trust, the Revocable Trust (see note 9 below), SIM, SG and Mr. Strome are hereby referred to as the "Reporting Persons". Read SEC document |
| June 07, 2018 Filed Oct 24, 2018 20:59 UTC | Zivo Bioscience, Inc. OTCQB:ZIVO · Entity 9611 | PurchaseCommon Stock Purchase Warrant · Derivative | 9,000,000 | $0.00 Strike: $0.10 | $0.00 |
DisclosureSEC source: 0001736749-18-000011 · primary_doc.xml · derivative · entry 5 STROME MARK E · CIK 0000919484 · 10% owner Strome Alpha Fund L P · CIK 0001324539 · 10% owner STROME INVESTMENT MANAGEMENT LP · CIK 0000936711 · 10% owner STROME GROUP, INC. · CIK 0001724136 · 10% owner STROME MEZZANINE FUND, LP · CIK 0001713153 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 9,000,000 Underlying: Common Stock · 9,000,000 shares Expires 2023-06-01 F8 · price: Under the terms of the A&R Participation Agreement, in consideration of Strome Mezzanine purchasing a participation right in the Eleventh A&R Note, Zivo issued this warrant to Strome Mezzanine. F3 · ownership.nature: This filing is made on behalf of Strome Mezzanine, Strome Alpha, Strome Investment Management, LP, Strome Group, Inc., and Mark Strome (together,the "Reporting Persons"). Strome Investment Management, LP is the general partner of Strome Mezzanine and Strome Alpha. Strome Group, Inc. is the general partner of Strome Investment Management, LP. Mark Strome is the President and CEO of Strome Group, Inc. Strome Investment Management, LP, Strome Group, Inc., and Mark Strome may be deemed to share voting and investment power for the shares held by Strome Mezzanine and Strome Alpha. F4 · ownership.nature: Pursuant to Rule 16a-1(a)(4) of the Securities Exchange Act of 1934 (the "Exchange Act"), this filing shall not be deemed an admission that the Reporting Persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any equity securities reported herein. Read SEC document |
| June 07, 2018 Filed Oct 24, 2018 20:59 UTC | Zivo Bioscience, Inc. OTCQB:ZIVO · Entity 9611 | PurchaseCommon Stock Purchase Warrant · Derivative | 16,000,000 | $0.00 Strike: $0.10 | $0.00 |
DisclosureSEC source: 0001736749-18-000011 · primary_doc.xml · derivative · entry 4 STROME MARK E · CIK 0000919484 · 10% owner Strome Alpha Fund L P · CIK 0001324539 · 10% owner STROME INVESTMENT MANAGEMENT LP · CIK 0000936711 · 10% owner STROME GROUP, INC. · CIK 0001724136 · 10% owner STROME MEZZANINE FUND, LP · CIK 0001713153 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 16,000,000 Underlying: Common Stock · 16,000,000 shares Expires 2023-06-01 F8 · price: Under the terms of the A&R Participation Agreement, in consideration of Strome Mezzanine purchasing a participation right in the Eleventh A&R Note, Zivo issued this warrant to Strome Mezzanine. F3 · ownership.nature: This filing is made on behalf of Strome Mezzanine, Strome Alpha, Strome Investment Management, LP, Strome Group, Inc., and Mark Strome (together,the "Reporting Persons"). Strome Investment Management, LP is the general partner of Strome Mezzanine and Strome Alpha. Strome Group, Inc. is the general partner of Strome Investment Management, LP. Mark Strome is the President and CEO of Strome Group, Inc. Strome Investment Management, LP, Strome Group, Inc., and Mark Strome may be deemed to share voting and investment power for the shares held by Strome Mezzanine and Strome Alpha. F4 · ownership.nature: Pursuant to Rule 16a-1(a)(4) of the Securities Exchange Act of 1934 (the "Exchange Act"), this filing shall not be deemed an admission that the Reporting Persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any equity securities reported herein. Read SEC document |
| May 02, 2018 Filed Oct 4, 2018 22:02 UTC | Paradium.AI, Inc. MVEN · Entity 7275 | PurchaseCommon Stock | 4,200 | $1.62 | $6,804.00 |
DisclosureSEC source: 0000899243-18-026229 · doc4.xml · nonDerivative · entry 11 STROME MARK E · CIK 0000919484 · 10% owner STROME MEZZANINE FUND, LP · CIK 0001713153 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 4,485,268 F1 · ownership.nature: The reported securities are owned directly by Strome Living Trust (the "Living Trust"). Mark E. Strome is the trustee of the Living Trust and may also be deemed to beneficially own the reported securities under Section 13(d) of the Exchange Act. Mr. Strome disclaims beneficial ownership of the reported securities for purposes of Section 16 of the Exchange Act, except the extent of his pecuniary interest in the securities. Read SEC document |
| May 01, 2018 Filed Oct 4, 2018 22:02 UTC | Paradium.AI, Inc. MVEN · Entity 7275 | PurchaseCommon Stock | 7,000 | $1.66 | $11,620.00 |
DisclosureSEC source: 0000899243-18-026229 · doc4.xml · nonDerivative · entry 10 STROME MARK E · CIK 0000919484 · 10% owner STROME MEZZANINE FUND, LP · CIK 0001713153 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 4,481,068 F1 · ownership.nature: The reported securities are owned directly by Strome Living Trust (the "Living Trust"). Mark E. Strome is the trustee of the Living Trust and may also be deemed to beneficially own the reported securities under Section 13(d) of the Exchange Act. Mr. Strome disclaims beneficial ownership of the reported securities for purposes of Section 16 of the Exchange Act, except the extent of his pecuniary interest in the securities. Read SEC document |
| May 01, 2018 Filed Oct 4, 2018 22:02 UTC | Paradium.AI, Inc. MVEN · Entity 7275 | PurchaseCommon Stock | 27,000 | $1.62 | $43,740.00 |
DisclosureSEC source: 0000899243-18-026229 · doc4.xml · nonDerivative · entry 9 STROME MARK E · CIK 0000919484 · 10% owner STROME MEZZANINE FUND, LP · CIK 0001713153 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 4,474,068 F1 · ownership.nature: The reported securities are owned directly by Strome Living Trust (the "Living Trust"). Mark E. Strome is the trustee of the Living Trust and may also be deemed to beneficially own the reported securities under Section 13(d) of the Exchange Act. Mr. Strome disclaims beneficial ownership of the reported securities for purposes of Section 16 of the Exchange Act, except the extent of his pecuniary interest in the securities. Read SEC document |
| April 30, 2018 Filed Oct 4, 2018 22:02 UTC | Paradium.AI, Inc. MVEN · Entity 7275 | PurchaseCommon Stock | 1,000 | $1.68 | $1,680.00 |
DisclosureSEC source: 0000899243-18-026229 · doc4.xml · nonDerivative · entry 8 STROME MARK E · CIK 0000919484 · 10% owner STROME MEZZANINE FUND, LP · CIK 0001713153 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 4,447,068 F1 · ownership.nature: The reported securities are owned directly by Strome Living Trust (the "Living Trust"). Mark E. Strome is the trustee of the Living Trust and may also be deemed to beneficially own the reported securities under Section 13(d) of the Exchange Act. Mr. Strome disclaims beneficial ownership of the reported securities for purposes of Section 16 of the Exchange Act, except the extent of his pecuniary interest in the securities. Read SEC document |
| April 30, 2018 Filed Oct 4, 2018 22:02 UTC | Paradium.AI, Inc. MVEN · Entity 7275 | PurchaseCommon Stock | 3,700 | $1.57 | $5,809.00 |
DisclosureSEC source: 0000899243-18-026229 · doc4.xml · nonDerivative · entry 7 STROME MARK E · CIK 0000919484 · 10% owner STROME MEZZANINE FUND, LP · CIK 0001713153 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 4,446,068 F1 · ownership.nature: The reported securities are owned directly by Strome Living Trust (the "Living Trust"). Mark E. Strome is the trustee of the Living Trust and may also be deemed to beneficially own the reported securities under Section 13(d) of the Exchange Act. Mr. Strome disclaims beneficial ownership of the reported securities for purposes of Section 16 of the Exchange Act, except the extent of his pecuniary interest in the securities. Read SEC document |
| April 27, 2018 Filed Oct 4, 2018 22:02 UTC | Paradium.AI, Inc. MVEN · Entity 7275 | PurchaseCommon Stock | 29,408 | $1.53 | $44,994.24 |
DisclosureSEC source: 0000899243-18-026229 · doc4.xml · nonDerivative · entry 6 STROME MARK E · CIK 0000919484 · 10% owner STROME MEZZANINE FUND, LP · CIK 0001713153 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 4,442,368 F1 · ownership.nature: The reported securities are owned directly by Strome Living Trust (the "Living Trust"). Mark E. Strome is the trustee of the Living Trust and may also be deemed to beneficially own the reported securities under Section 13(d) of the Exchange Act. Mr. Strome disclaims beneficial ownership of the reported securities for purposes of Section 16 of the Exchange Act, except the extent of his pecuniary interest in the securities. Read SEC document |
| April 26, 2018 Filed Oct 4, 2018 22:02 UTC | Paradium.AI, Inc. MVEN · Entity 7275 | PurchaseCommon Stock | 14,600 | $1.46 | $21,316.00 |
DisclosureSEC source: 0000899243-18-026229 · doc4.xml · nonDerivative · entry 5 STROME MARK E · CIK 0000919484 · 10% owner STROME MEZZANINE FUND, LP · CIK 0001713153 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 4,412,960 F1 · ownership.nature: The reported securities are owned directly by Strome Living Trust (the "Living Trust"). Mark E. Strome is the trustee of the Living Trust and may also be deemed to beneficially own the reported securities under Section 13(d) of the Exchange Act. Mr. Strome disclaims beneficial ownership of the reported securities for purposes of Section 16 of the Exchange Act, except the extent of his pecuniary interest in the securities. Read SEC document |
| April 25, 2018 Filed Oct 4, 2018 22:02 UTC | Paradium.AI, Inc. MVEN · Entity 7275 | PurchaseCommon Stock | 5,000 | $1.42 | $7,100.00 |
DisclosureSEC source: 0000899243-18-026229 · doc4.xml · nonDerivative · entry 4 STROME MARK E · CIK 0000919484 · 10% owner STROME MEZZANINE FUND, LP · CIK 0001713153 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 4,398,360 F1 · ownership.nature: The reported securities are owned directly by Strome Living Trust (the "Living Trust"). Mark E. Strome is the trustee of the Living Trust and may also be deemed to beneficially own the reported securities under Section 13(d) of the Exchange Act. Mr. Strome disclaims beneficial ownership of the reported securities for purposes of Section 16 of the Exchange Act, except the extent of his pecuniary interest in the securities. Read SEC document |
| April 25, 2018 Filed Oct 4, 2018 22:02 UTC | Paradium.AI, Inc. MVEN · Entity 7275 | PurchaseCommon Stock | 5,687 | $1.44 | $8,189.28 |
DisclosureSEC source: 0000899243-18-026229 · doc4.xml · nonDerivative · entry 3 STROME MARK E · CIK 0000919484 · 10% owner STROME MEZZANINE FUND, LP · CIK 0001713153 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 4,393,360 F1 · ownership.nature: The reported securities are owned directly by Strome Living Trust (the "Living Trust"). Mark E. Strome is the trustee of the Living Trust and may also be deemed to beneficially own the reported securities under Section 13(d) of the Exchange Act. Mr. Strome disclaims beneficial ownership of the reported securities for purposes of Section 16 of the Exchange Act, except the extent of his pecuniary interest in the securities. Read SEC document |
| April 25, 2018 Filed Oct 4, 2018 22:02 UTC | Paradium.AI, Inc. MVEN · Entity 7275 | PurchaseCommon Stock | 2,910 | $1.43 | $4,161.30 |
DisclosureSEC source: 0000899243-18-026229 · doc4.xml · nonDerivative · entry 2 STROME MARK E · CIK 0000919484 · 10% owner STROME MEZZANINE FUND, LP · CIK 0001713153 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 4,387,673 F1 · ownership.nature: The reported securities are owned directly by Strome Living Trust (the "Living Trust"). Mark E. Strome is the trustee of the Living Trust and may also be deemed to beneficially own the reported securities under Section 13(d) of the Exchange Act. Mr. Strome disclaims beneficial ownership of the reported securities for purposes of Section 16 of the Exchange Act, except the extent of his pecuniary interest in the securities. Read SEC document |
| March 30, 2018 Filed Oct 4, 2018 22:02 UTC | Paradium.AI, Inc. MVEN · Entity 7275 | PurchaseCommon Stock | 500,000 | $2.50 | $1,250,000.00 |
DisclosureSEC source: 0000899243-18-026229 · doc4.xml · nonDerivative · entry 1 STROME MARK E · CIK 0000919484 · 10% owner STROME MEZZANINE FUND, LP · CIK 0001713153 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 4,384,763 F1 · ownership.nature: The reported securities are owned directly by Strome Living Trust (the "Living Trust"). Mark E. Strome is the trustee of the Living Trust and may also be deemed to beneficially own the reported securities under Section 13(d) of the Exchange Act. Mr. Strome disclaims beneficial ownership of the reported securities for purposes of Section 16 of the Exchange Act, except the extent of his pecuniary interest in the securities. Read SEC document |
| November 21, 2017 Filed Oct 24, 2018 20:59 UTC | Zivo Bioscience, Inc. OTCQB:ZIVO · Entity 9611 | PurchaseCommon Stock Purchase Warrant · Derivative | 333,333 | $0.00 Strike: $0.10 | $0.00 |
DisclosureSEC source: 0001736749-18-000011 · primary_doc.xml · derivative · entry 2 STROME MARK E · CIK 0000919484 · 10% owner Strome Alpha Fund L P · CIK 0001324539 · 10% owner STROME INVESTMENT MANAGEMENT LP · CIK 0000936711 · 10% owner STROME GROUP, INC. · CIK 0001724136 · 10% owner STROME MEZZANINE FUND, LP · CIK 0001713153 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,000,000 Underlying: Common Stock · 333,333 shares Expires 2022-11-20 F5 · price: As additional consideration for Strome Alpha's funding of the Participation Agreement and to encourage Strome Alpha's continued investment in Zivo, Laith Yaldoo, the Manager of HEP, assigned this warrant to Strome Alpha. No valuation of this portion of the consideration was assigned. F3 · ownership.nature: This filing is made on behalf of Strome Mezzanine, Strome Alpha, Strome Investment Management, LP, Strome Group, Inc., and Mark Strome (together,the "Reporting Persons"). Strome Investment Management, LP is the general partner of Strome Mezzanine and Strome Alpha. Strome Group, Inc. is the general partner of Strome Investment Management, LP. Mark Strome is the President and CEO of Strome Group, Inc. Strome Investment Management, LP, Strome Group, Inc., and Mark Strome may be deemed to share voting and investment power for the shares held by Strome Mezzanine and Strome Alpha. F4 · ownership.nature: Pursuant to Rule 16a-1(a)(4) of the Securities Exchange Act of 1934 (the "Exchange Act"), this filing shall not be deemed an admission that the Reporting Persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any equity securities reported herein. Read SEC document |
| November 21, 2017 Filed Oct 24, 2018 20:59 UTC | Zivo Bioscience, Inc. OTCQB:ZIVO · Entity 9611 | PurchaseCommon Stock Purchase Warrant · Derivative | 666,667 | $0.00 Strike: $0.10 | $0.00 |
DisclosureSEC source: 0001736749-18-000011 · primary_doc.xml · derivative · entry 1 STROME MARK E · CIK 0000919484 · 10% owner Strome Alpha Fund L P · CIK 0001324539 · 10% owner STROME INVESTMENT MANAGEMENT LP · CIK 0000936711 · 10% owner STROME GROUP, INC. · CIK 0001724136 · 10% owner STROME MEZZANINE FUND, LP · CIK 0001713153 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 666,667 Underlying: Common Stock · 666,667 shares Expires 2022-11-20 F1 · price: Strome Mezzanine Fund, L.P. ("Strome Mezzanine") entered into a Participation Agreement dated July 21, 2017 (the "Participation Agreement") with HEP Investments, LLC ("HEP") and Zivo Bioscience, Inc. ("Zivo"), as amended by the Amendment to Participation Agreement, Guaranty, Warrants and Amended and Restated Registration Rights Agreement dated November 15, 2017 (the "Amendment"), which added Strome Alpha Fund LP ("Strome Alpha") as a party to the Participation Agreement. A copy of the Participation Agreement was filed with Strome Mezzanine's Schedule 13D on July 31, 2017, and a copy of the Amendment was filed with Strome Mezzanine's Schedule 13D/A on November 21, 2017. Under the terms of the Participation Agreement, Strome Mezzanine and Strome Alpha agreed to fund a portion of a Ninth Amended and Restated Secured Promissory Note made by Zivo in favor of HEP. F2 · price: As additional consideration for Strome Mezzanine's funding of the Participation Agreement and to encourage Strome Mezzanine's continued investment in Zivo, Laith Yaldoo, the Manager of HEP, assigned this warrant to Strome Mezzanine. No valuation of this portion of the consideration was assigned. F3 · ownership.nature: This filing is made on behalf of Strome Mezzanine, Strome Alpha, Strome Investment Management, LP, Strome Group, Inc., and Mark Strome (together,the "Reporting Persons"). Strome Investment Management, LP is the general partner of Strome Mezzanine and Strome Alpha. Strome Group, Inc. is the general partner of Strome Investment Management, LP. Mark Strome is the President and CEO of Strome Group, Inc. Strome Investment Management, LP, Strome Group, Inc., and Mark Strome may be deemed to share voting and investment power for the shares held by Strome Mezzanine and Strome Alpha. F4 · ownership.nature: Pursuant to Rule 16a-1(a)(4) of the Securities Exchange Act of 1934 (the "Exchange Act"), this filing shall not be deemed an admission that the Reporting Persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any equity securities reported herein. Read SEC document |
| November 17, 2017 Filed Nov 21, 2017 23:14 UTC | Zivo Bioscience, Inc. OTCQB:ZIVO · Entity 9611 | PurchaseCommon Stock Purchase Warrant · Derivative | 16,666,667 | $0.00 Strike: $0.10 | $0.00 |
DisclosureSEC source: 0001713153-17-000003 · primary_doc.xml · derivative · entry 1 STROME MEZZANINE FUND, LP · CIK 0001713153 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,666,667 Underlying: Common Stock · 16,666,667 shares Expires 2019-11-16 F1 · price: The Reporting Person entered into a Participation Agreement dated July 21, 2017 (the "Participation Agreement") with HEP Investments, LLC ("HEP") and Zivo Bioscience, Inc. ("Zivo"), as amended by the Amendment to Participation Agreement, Guaranty, Warrants and Amended and Restated Registration Rights Agreement dated November 15, 2017 (the "Amendment") under which the Reporting Person agreed to fund a portion of a Ninth Amended and Restated Secured Promissory Note made by Zivo in favor of HEP. Under the terms of the Participation Agreement, Zivo issues warrants to the Reporting Person upon certain funding benchmarks. A copy of the Participation Agreement was filed with the Reporting Person's Schedule 13D on July 31, 2017, and a copy of the Amendment was filed with the Reporting Person's Schedule 13D/A on November 21, 2017. F2 · balance_after: Pursuant to Rule 16a-1(a)(4) of the Securities Exchange Act of 1934 (the "Exchange Act"), this filing shall not be deemed an admission that the Reporting Person is, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any equity securities reported herein. Read SEC document |
| September 20, 2017 Filed Oct 5, 2017 22:37 UTC | Zivo Bioscience, Inc. OTCQB:ZIVO · Entity 9611 | PurchaseConvertible Debt · Derivative | 5,000,000 | $500,000.00 Strike: $0.10 | $2,500,000,000,000.00 |
DisclosureSEC source: 0001713153-17-000002 · primary_doc.xml · derivative · entry 2 STROME MEZZANINE FUND, LP · CIK 0001713153 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Participation Agreement Disclosed balance after: 10,000,000 Underlying: Common Stock · 5,000,000 shares Expires 2018-09-30 F2 · balance_after: Pursuant to Rule 16a-1(a)(4) of the Securities Exchange Act of 1934 ("Exchange Act"), this filing shall not be deemed an admission that the Reporting Person is, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any equity securities reported herein. F3 · ownership.nature: Under the Participation Agreement the Reporting Person has funded $1,000,000 of the Note and may demand that HEP convert the Reporting Person's portion of the Note. Read SEC document |
| September 20, 2017 Filed Oct 5, 2017 22:37 UTC | Zivo Bioscience, Inc. OTCQB:ZIVO · Entity 9611 | PurchaseCommon Stock Purchase Warrant · Derivative | 250,000 | $0.00 Strike: $0.10 | $0.00 |
DisclosureSEC source: 0001713153-17-000002 · primary_doc.xml · derivative · entry 1 STROME MEZZANINE FUND, LP · CIK 0001713153 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 250,000 Underlying: Common Stock · 250,000 shares Expires 2022-09-19 F1 · price: The Reporting Person entered into a Participation Agreement dated July 21, 2017 (the "Participation Agreement") with HEP Investments, LLC ("HEP") and Zivo Bioscience, Inc. ("Zivo"), under which the Reporting Person agreed to fund a portion of a Ninth Amended and Restated Secured Promissory Note (the "Note"). Under the terms of the Participation Agreement, Zivo issues warrants to the Reporting Person upon certain funding benchmarks. A copy of the Participation Agreement was filed with the Reporting Person's Schedule 13D on July 31, 2017. F2 · balance_after: Pursuant to Rule 16a-1(a)(4) of the Securities Exchange Act of 1934 ("Exchange Act"), this filing shall not be deemed an admission that the Reporting Person is, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any equity securities reported herein. 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.