organization · Reporting owner
Strome Alpha Fund L P
Disclosed activity across 1 company
Sign in to followReported relationships
Latest disclosed role at each company.
No relationships currently tracked through insider filings.
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.
No balances currently tracked through insider filings.
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 MEZZANINE FUND, LP, 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 |
| 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 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 |
| 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.