0001568303-17-000001.txt : 20170105
0001568303-17-000001.hdr.sgml : 20170105
20170105141048
ACCESSION NUMBER: 0001568303-17-000001
CONFORMED SUBMISSION TYPE: 3/A
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20161207
FILED AS OF DATE: 20170105
DATE AS OF CHANGE: 20170105
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: TRANSATLANTIC PETROLEUM LTD.
CENTRAL INDEX KEY: 0001092289
STANDARD INDUSTRIAL CLASSIFICATION: OIL AND GAS FIELD EXPLORATION SERVICES [1382]
IRS NUMBER: 000000000
STATE OF INCORPORATION: D0
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 16803 DALLAS PARKWAY
CITY: ADDISON
STATE: TX
ZIP: 75001
BUSINESS PHONE: 214-220-4323
MAIL ADDRESS:
STREET 1: 16803 DALLAS PARKWAY
CITY: ADDISON
STATE: TX
ZIP: 75001
FORMER COMPANY:
FORMER CONFORMED NAME: TRANSATLANTIC PETROLEUM CORP.
DATE OF NAME CHANGE: 20050527
FORMER COMPANY:
FORMER CONFORMED NAME: TRANSATLANTIC PETROLEUM CORP
DATE OF NAME CHANGE: 20000918
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: West Family Investments, Inc.
CENTRAL INDEX KEY: 0001568303
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 3/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34574
FILM NUMBER: 17510025
BUSINESS ADDRESS:
STREET 1: 1603 ORRINGTON AVE, SUITE 810
CITY: EVANSTON
STATE: IL
ZIP: 60201
BUSINESS PHONE: (847) 328-0747
MAIL ADDRESS:
STREET 1: 1603 ORRINGTON AVE, SUITE 810
CITY: EVANSTON
STATE: IL
ZIP: 60201
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: WEST MARY E
CENTRAL INDEX KEY: 0001185538
STATE OF INCORPORATION: DE
FILING VALUES:
FORM TYPE: 3/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34574
FILM NUMBER: 17510026
MAIL ADDRESS:
STREET 1: WEST CORPORATION
STREET 2: 11808 MIRACLE HILLS DRIVE
CITY: OMAHA
STATE: NE
ZIP: 68154
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: West Gary
CENTRAL INDEX KEY: 0001693031
FILING VALUES:
FORM TYPE: 3/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34574
FILM NUMBER: 17510027
BUSINESS ADDRESS:
BUSINESS PHONE: 847-328-0711
MAIL ADDRESS:
STREET 1: 1603 ORRINGTON AVE., SUITE 810
CITY: EVANSTON
STATE: IL
ZIP: 60201
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: West Investment Holdings, LLC
CENTRAL INDEX KEY: 0001692998
FILING VALUES:
FORM TYPE: 3/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34574
FILM NUMBER: 17510028
BUSINESS ADDRESS:
BUSINESS PHONE: 847-328-0711
MAIL ADDRESS:
STREET 1: 1603 ORRINGTON AVE., SUITE 810
CITY: EVANSTON
STATE: IL
ZIP: 60201
3/A
1
primary_doc.xml
PRIMARY DOCUMENT
X0206
3/A
2016-12-07
2016-12-16
0
0001092289
TRANSATLANTIC PETROLEUM LTD.
TAT
0001568303
West Family Investments, Inc.
1603 ORRINGTON AVE.
SUITE 810
EVANSTON
IL
60201
0
0
0
1
See Footnote 21
0001692998
West Investment Holdings, LLC
1603 ORRINGTON AVE.
SUITE 810
EVANSTON
IL
60201
0
0
1
0
0001693031
West Gary
1603 ORRINGTON AVE.
SUITE 810
EVANSTON
IL
60201
0
0
0
1
See Footnote 21
0001185538
WEST MARY E
1603 ORRINGTON AVE.
SUITE 810
EVANSTON
IL
60201
0
0
0
1
See Footnote 21
Common Shares
6000
I
See Footnote 2
Common Shares
6000
I
See Footnote 3
Common Shares
729841
I
See Footnote 4
Common Shares
6000
I
See Footnote 5
Common Shares
6000
I
See Footnote 6
Common Shares
67106
I
See Footnote 7
Common Shares
55458
I
See Footnote 8
Common Shares
41480
I
See Footnote 9
Common Shares
67065
I
See Footnote 10
Common Shares
55458
I
See Footnote 11
Common Shares
41480
I
See Footnote 12
Convertible Note
2017-07-01
Common Shares
110294
I
See Footnote 14
Convertible Note
2017-07-01
Common Shares
88235
I
See Footnote 15
Convertible Note
2017-07-01
Common Shares
73529
I
See Footnote 16
Convertible Note
2017-07-01
Common Shares
110294
I
See Footnote 17
Convertible Note
2017-07-01
Common Shares
88235
I
See Footnote 18
Convertible Note
2017-07-01
Common Shares
73529
I
See Footnote 19
Series A Convertible Preferred Shares
2024-11-04
Common Shares
4575400
I
See Footnote 20
The reporting persons disclaim beneficial ownership of all of the securities reported in Table I and II except to the extent of any
pecuniary interest therein.
The Common Shares are owned by West Gary CRT4 LLC, an entity owned by a trust of which Gary West is a beneficiary.
The Common Shares are owned by West Gary CRT5 LLC, an entity owned by a trust of which Gary West is a beneficiary.
The Common Shares are owned by West Investment Holdings, LLC (WIH), an entity owned by West Family Holdings, LLC, an entity that is owned by
trusts of which Gary West and Mary West are beneficiaries.
The Common Shares are owned by Mary West CRT4, LLC, an entity owned by a trust of which Mary West is a beneficiary.
The Common Shares are owned by Mary West CRT5, LLC, an entity owned by a trust of which Mary West is a beneficiary.
The Common Shares are owned by Gary West CRT1, LLC (Gary CRT1), an entity owned by a trust of which Gary West is a beneficiary.
The Common Shares are owned by Gary West CRT2, LLC (Gary CRT2), an entity owned by a trust of which Gary West is a beneficiary.
The Common Shares are owned by Gary West CRT3, LLC (Gary CRT3), an entity owned by a trust of which Gary West is a beneficiary.
The Common Shares are owned by Mary West CRT1, LLC (Mary CRT1), an entity owned by a trust of which Mary West is a beneficiary.
The Common Shares are owned by Mary West CRT2, LLC (Mary CRT2), an entity owned by a trust of which Mary West is a beneficiary.
The Common Shares are owned by Mary West CRT3, LLC (Mary CRT3), an entity owned by a trust of which Mary West is a beneficiary.
The 13.0% Convertible Notes are convertible into shares of the Issuer's Common Shares at any time after July 01, 2015 at a conversion price
of $6.80 per Common Share.
The 13.0% Convertible Note is in the principal amount of $750,000 and held by Gary CRT1.
The 13.0% Convertible Note is in the principal amount of $600,000 and held by Gary CRT2.
The 13.0% Convertible Note is in the principal amount of $500,000 and held by Gary CRT3.
The 13.0% Convertible Note is in the principal amount of $750,000 and held by Mary CRT1.
The 13.0% Convertible Note is in the principal amount of $600,000 and held by Mary CRT2.
The 13.0% Convertible Note is in the principal amount of $500,000 and held by Mary CRT3.
WIH disposed of $5,000,000 of the 13.0% Convertible Note due July 1, 2017 in exchange for 100,000 Series A Preferred Shares. Each Series A Preferred Share is convertible at any time, after December 7, 2017 (the date of approval of the listing of the Common Shares issuable upon conversion of the Series A Preferred Shares by the NYSE MKT and Toronto Stock Exchange), at the option of the holder, into 45.754 Common Shares, par value $0.10 per share, of the Issuer (which is equal to an initial conversion price of approximately $1.0928 per Common Share and is subject to customary adjustment for stock splits, stock dividends, recapitalizations or other fundamental changes).
This statement is filed jointly on behalf of the West Family Investments, Inc. (the Adviser), WIH, Gary West and Mary West (collectively, the reporting persons). The Adviser is an investment adviser exempt from registration pursuant to 17 C.F.R. Section 275.202(a)(11)(G)-1. Pursuant to Rule 16a-1 and Instruction 5 of the Form 3, the Adviser does not beneficially own any securities listed on this Form. However, the Adviser maintains complete investment and voting power and authority with respect to all of the shares under management arrangements entered into by and between the Adviser and the direct owners of the shares (as indicated in the footnotes of this Form 3). By reason of the provisions of Rule 16a-1(a)(1), the Adviser was required to file this Form. WIH is a beneficial owner of greater than 10% of the Common Shares of the Issuer.
**Note: This amendment is being made solely for the purpose of including the CIK numbers for the Additional Reporting Persons which were inadvertently left off the original Form 3. No other changes have been made.**
Randall Rochman, on behalf of West Family Investments, Inc., as its CEO
2017-01-05
Gary West
2017-01-05
Mary West
2017-01-05
Randall Rochman, on behalf of West Investment Holdings, LLC, as its Manager
2017-01-05
EX-99
2
exh99-1.txt
ADDITIONAL REPORTING PERSONS LIST
EXHIBIT 99-1
TO FORM 3
OF
WEST FAMILY INVESTMENTS, INC.
Dated 12/16/16
TransAtlantic Petroleum Ltd. [TAT]
Additional Reporting Persons:
1.
Gary West
1603 Orrington Ave., Suite 810
Evanston, Illinois 60201
2.
Mary West
1603 Orrington Ave., Suite 810
Evanston, Illinois 60201
3.
West Investment Holdings, LLC
1603 Orrington Ave., Suite 810
Evanston, Illinois 60201