Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| HeartBeam, Inc.BEAT · Entity 9039 | Director | April 16, 2026 | April 17, 2026 |
| Paradium.AI, Inc.AREN · Entity 7275 | See Remarks | December 31, 2024 | January 24, 2025 |
| Zivo Bioscience, Inc.ZIVO · Entity 9611 | 10% owner | April 17, 2026 | April 24, 2026 |
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.
HeartBeam, Inc.
Report date April 16, 2026 · Filed April 17, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 3,650,000 |
Reported balance
After 2026-04-16 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2026-04-16 · Purchase · Acquired 750,000 · Balance 3,650,000 F1: These shares were purchased in connection with the Registrant's underwritten public offering of 12,500,000 shares of common stock. Titan Partners, a division of American Capital Partners, acted as the sole bookrunner for the offering, which priced on April 14, 2026, and closed on April 16, 2026. F2: The reported securities are held directly by Strome Mezzanine Fund II, LP, Mark E. Strome Living Trust and Strome Dynasty, LLC. Mr. Strome has the authority to vote and dispose of the reported securities held by each of these entities. Mr. Strome disclaims beneficial ownership of the reported securities, except to the extent of his pecuniary interest therein. This report shall not be deemed an admission that Mr. Strome is a beneficial owner of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: These shares were purchased in connection with the Registrant's underwritten public offering of 12,500,000 shares of common stock. Titan Partners, a division of American Capital Partners, acted as the sole bookrunner for the offering, which priced on April 14, 2026, and closed on April 16, 2026.
F2: The reported securities are held directly by Strome Mezzanine Fund II, LP, Mark E. Strome Living Trust and Strome Dynasty, LLC. Mr. Strome has the authority to vote and dispose of the reported securities held by each of these entities. Mr. Strome disclaims beneficial ownership of the reported securities, except to the extent of his pecuniary interest therein. This report shall not be deemed an admission that Mr. Strome is a beneficial owner of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
Paradium.AI, Inc.
Report date December 31, 2024 · Filed January 24, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 890,620 |
Reported balance
After 2024-11-15 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2024-11-15 · Sale · Disposed 217,574 · Balance 890,620 F1: The reported securities were sold in multiple transactions at prices ranging from $1.32 to $1.80. The reported price reflects the weighted average price. The Reporting Person undertakes to provide to the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each separate price for all transactions reported on this Form 5. F2: The reported securities are directly owned by certain trust and private fund (the "Strome Investors") managed, directly or indirectly, by the Reporting Person. The Reporting Person disclaims beneficial ownership of the reported securities directly owned by the Strome Investors for purposes of Section 16 of the Securities Exchange Act of 1934 (the "Exchange Act"), except to the extent of his pecuniary interest therein. F3: Pursuant to Rule 16a-1(a)(4) of 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. |
Filing footnotes · ownership attribution and instrument terms
F1: The reported securities were sold in multiple transactions at prices ranging from $1.32 to $1.80. The reported price reflects the weighted average price. The Reporting Person undertakes to provide to the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each separate price for all transactions reported on this Form 5.
F2: The reported securities are directly owned by certain trust and private fund (the "Strome Investors") managed, directly or indirectly, by the Reporting Person. The Reporting Person disclaims beneficial ownership of the reported securities directly owned by the Strome Investors for purposes of Section 16 of the Securities Exchange Act of 1934 (the "Exchange Act"), except to the extent of his pecuniary interest therein.
F3: Pursuant to Rule 16a-1(a)(4) of 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.
Zivo Bioscience, Inc.
Report date April 17, 2026 · Filed April 24, 2026
Jointly reported with STROME INVESTMENT MANAGEMENT LP, STROME GROUP, INC.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy entity | 572,942 |
Reported balance
After 2026-04-17 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2026-04-17 · Purchase · Acquired 100,000 · Balance 572,942 F1: The reported securities are owned directly by Strome Mezzanine Fund II, LP ("SMF II"), which were acquired pursuant to a Securities Purchase Agreement that SMF II entered into with the issuer. F2: Strome Investment Management, LP is the general partner of SMF II. Strome Group, Inc. is the general partner of Strome Investment Management, LP. Mark E. Strome is the President and CEO of Strome Group, Inc. Mr. Strome, Strome Investment Management, LP and Strome Group, Inc. (together, the "Reporting Persons") may be deemed to share voting and investment power for and to beneficially own the shares held by SMF II under Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act"). F3: Pursuant to Rule 16a-1(a)(4) of 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 securities are owned directly by Strome Mezzanine Fund II, LP ("SMF II"), which were acquired pursuant to a Securities Purchase Agreement that SMF II entered into with the issuer.
F2: Strome Investment Management, LP is the general partner of SMF II. Strome Group, Inc. is the general partner of Strome Investment Management, LP. Mark E. Strome is the President and CEO of Strome Group, Inc. Mr. Strome, Strome Investment Management, LP and Strome Group, Inc. (together, the "Reporting Persons") may be deemed to share voting and investment power for and to beneficially own the shares held by SMF II under Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act").
F3: Pursuant to Rule 16a-1(a)(4) of 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.
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 |
|---|---|---|---|---|---|---|
| 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 23, 2018 Filed May 25, 2018 20:14 UTC | Zivo Bioscience, Inc. OTCQB:ZIVO · Entity 9611 | PurchaseCommon Stock | 4,268,163 | $0.10 | $426,816.30 |
DisclosureSEC source: 0000919484-18-000001 · primary_doc.xml · nonDerivative · entry 2 STROME MARK E · CIK 0000919484 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By trust Disclosed balance after: 13,088,129 F1 · 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. F2 · ownership.nature: By the Mark E. Strome Living Trust, U/A/D January 15, 1997. Read SEC document |
| May 11, 2018 Filed May 25, 2018 20:14 UTC | Zivo Bioscience, Inc. OTCQB:ZIVO · Entity 9611 | PurchaseCommon Stock | 8,819,966 | $0.10 | $881,996.60 |
DisclosureSEC source: 0000919484-18-000001 · primary_doc.xml · nonDerivative · entry 1 STROME MARK E · CIK 0000919484 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By trust Disclosed balance after: 8,819,966 F1 · 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. F2 · ownership.nature: By the Mark E. Strome Living Trust, U/A/D January 15, 1997. 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.