-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, Dza8eSvqq5cbIIKGb3CXon/P3D0Lgi81X1sR6MECK2atkMYEmKEb1RPksfeSDaMI UIfHG9pC8e9zUHLSxDXGog== 0001162677-09-000126.txt : 20090715 0001162677-09-000126.hdr.sgml : 20090715 20090715151811 ACCESSION NUMBER: 0001162677-09-000126 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20090715 DATE AS OF CHANGE: 20090715 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ASPEN EXPLORATION CORP CENTRAL INDEX KEY: 0000319458 STANDARD INDUSTRIAL CLASSIFICATION: CRUDE PETROLEUM & NATURAL GAS [1311] IRS NUMBER: 840811316 STATE OF INCORPORATION: DE FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-33130 FILM NUMBER: 09945886 BUSINESS ADDRESS: STREET 1: 2050 S. ONEIDA STREET STREET 2: SUITE 208 CITY: DENVER STATE: CO ZIP: 80224 BUSINESS PHONE: 303-639-9860 MAIL ADDRESS: STREET 1: 2050 S. ONEIDA STREET STREET 2: SUITE 208 CITY: DENVER STATE: CO ZIP: 80224 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: ROYALE ENERGY INC CENTRAL INDEX KEY: 0000864839 STANDARD INDUSTRIAL CLASSIFICATION: CRUDE PETROLEUM & NATURAL GAS [1311] IRS NUMBER: 330224120 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 7676 HAZARD CENTER DR STREET 2: SUITE 1500 CITY: SAN DIEGO STATE: CA ZIP: 92108 BUSINESS PHONE: 6192978505 MAIL ADDRESS: STREET 1: ROYALE ENERGY INC STE 1500 STREET 2: 7676 HAZARD CENTER DR CITY: SAN DIEGO STATE: CA ZIP: 92108 FORMER COMPANY: FORMER CONFORMED NAME: ROYALE ENERGY FUNDS INC DATE OF NAME CHANGE: 19940318 SC 13D/A 1 royaspen13da.htm AMENDMENT NO. 2

 

Securities and Exchange Commission

Washington, D.C. 20549

 

SCHEDULE 13D/A

(Amendment No. 2)

Under the Securities Exchange Act of 1934

 

Aspen Exploration Corporation

(Name of Issuer)

 

Common Stock Par Value $0.01 Per Share

(Class of Securities)

 

78074G200

(CUSIP Number)

 

Donald H. Hosmer

 

 

Stephen M. Hosmer

                  

With a copy to:

7676 Hazard Center Drive

                  

Lee Polson

Suite 1500

                  

Strasburger & Price, L.L.P.

San Diego, California 92108

                  

600 Congress Ave., Ste. 1600

(619) 881-2800

                  

Austin, Texas 78701

 

                  

(512) 499-3600

 

(Name, Address and Telephone Number of Person

Authorized to Receive Notices and Communications)

 

July 13, 2009

(Date of Event which Requires Filing of this Statement)

 

If the filing person has previously filed a statement on Schedule 13G to report the acquisition which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(e), Rule 13d-1(f) or Rule 13d-1(g), check the following box o.

 

CUSIP No. 78074G200

 

 

 


------------------------------------------------------------------------------------------------------

(1)

Names of Reporting Persons:

 

Royale Energy, Inc.

------------------------------------------------------------------------------------------------------

(2)

Check the appropriate box if a member of a group:

 

(a)  [  

]

 

(b)  x

------------------------------------------------------------------------------------------------------

(3)

SEC Use Only

 

------------------------------------------------------------------------------------------------------

(4)

Source of Funds:

 

WC

------------------------------------------------------------------------------------------------------

(5)

Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e).

 

[  

]

------------------------------------------------------------------------------------------------------

(6)

Citizenship or place of organization:

 

California

------------------------------------------------------------------------------------------------------

Number of shares beneficially owned by each person with:

 

(7)

  

Sole voting power

  

Royale Energy, Inc.

  

308,400 Shares Common

  

  

  

  

  

  

 

(8)

  

Shared voting power  

  

None

  

  

  

  

  

  

  

  

  

(9)

  

Sole dispositive power

  

Royale Energy, Inc.

  

308,400 Shares Common

  

  

 

  

  

  

 

(10)

  

Shared dispositive power

  

None

  

  

 

------------------------------------------------------------------------------------------------------

(11)

Aggregate amount beneficially owned by each reporting person.

 

Royale Energy, Inc.:

308,400 Shares Common

------------------------------------------------------------------------------------------------------

(12)

Check if the aggregate amount in row (11) excludes certain shares

 

[  

]

------------------------------------------------------------------------------------------------------

(13)

Percent of class represented by amount in Row (11)

 

4.25% (See Item 5 for calculation of outstanding shares.)

------------------------------------------------------------------------------------------------------

(14)

Type of reporting person:

 

CO

------------------------------------------------------------------------------------------------------

 

 

 

 


This statement constitutes Amendment No. 2 to Royale Energy, Inc.’s Schedule 13D originally dated March 6, 2009, filed March 9, 2009, and amended on March 26, 2009. Except as specifically set forth herein, the Schedule 13D remains unchanged.

 

Item 5

Interest in Securities of the Issuer

 

This Item 5 is amended to report Royale’s sale of 54,900 shares of common stock of Aspen Exploration Corporation (“Aspen”) between April 24, 2009, and July 13, 2009, in open market transactions.

 

Person:

Royale Energy, Inc.

No. Shares Owned:

308,400 Shares of Common Stock

Percent of Outstanding shares

4.25%*

 

 

Aspen common stock outstanding at May 15, 2009

7,259,622*

 

* Number of shares outstanding and percent of outstanding shares are based on the number of shares reported as outstanding in the Form 10-Q filed with the SEC by Aspen on May 15, 2009.

 

By virtue of its sales between April 24, 2009, and July 13, 2009, Royale has ceased to be the beneficial owner of more than five percent of Aspen’s common stock.

 

Signatures

 

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

 

 

                      

Royale Energy, Inc.

Date:  July 15, 2009

                      

/s/ Stephen M. Hosmer

 

 

By Stephen M. Hosmer, Co-President, Co-CEO and Chief Financial Officer

 

 

 

 

 

 

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