-----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, BkwbTH0AxlaKXu3e98k7wFToUOCkukFvd+dFfAIECmIsr9iWMRfjMWuDgLrUSpRN wdDjc+Q0apDg+2sT54KlHw== 0001031192-97-000003.txt : 19970225 0001031192-97-000003.hdr.sgml : 19970225 ACCESSION NUMBER: 0001031192-97-000003 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970206 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: PEASE OIL & GAS CO /CO/ CENTRAL INDEX KEY: 0000076878 STANDARD INDUSTRIAL CLASSIFICATION: CRUDE PETROLEUM & NATURAL GAS [1311] IRS NUMBER: 870285520 STATE OF INCORPORATION: NV FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-06580 FILM NUMBER: 97519131 BUSINESS ADDRESS: STREET 1: 751 HORIZON COURT STE 203 STREET 2: P O BOX 60219 CITY: GRAND JUNCTION STATE: CO ZIP: 81506-8758 BUSINESS PHONE: 970-243-8840 MAIL ADDRESS: STREET 2: P O BOX 60219 CITY: GRAND JUNCTION STATE: CO ZIP: 81506-8758 FORMER COMPANY: FORMER CONFORMED NAME: WILLARD PEASE OIL & GAS CO DATE OF NAME CHANGE: 19920703 COMPANY DATA: COMPANY CONFORMED NAME: ANTRY STEVE A CENTRAL INDEX KEY: 0001031192 STANDARD INDUSTRIAL CLASSIFICATION: [] DIRECTOR FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 901 DOVE ST STREET 2: STE 230 CITY: NEWPORT BEACH STATE: CA ZIP: 92660 MAIL ADDRESS: STREET 1: 901 DOVE ST STREET 2: STE 230 CITY: NEWPORT BEACH STATE: CA ZIP: 92660 4 1 FORM 4 - JANUARY 1997 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 4 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP ( ) Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instructions 1(b). 1. Name and Address of Reporting Person Antry, Steve A. 901 Dove Street, Suite 230 Newport Beach, CA 92660 2. Issuer Name and Ticker or Trading Symbol Pease Oil and Gas Company WPOG 3. IRS or Social Security Number of Reporting Person (Voluntary) ###-##-#### 4. Statement for Month/Year January 1997 5. If Amendment, Date of Original (Month/Year) 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) (X) Director ( ) 10% Owner ( ) Officer (give title below) ( ) Other (specify below) 7. Individual or Joint/Group Filing (Check Applicable Line) (X) Form filed by One Reporting Person ( ) Form filed by More than One Reporting Person
___________________________________________________________________________________________________________________________________ Table I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ___________________________________________________________________________________________________________________________________| 1. Title of Security |2. |3. |4.Securities Acquired (A) |5.Amount of |6.Dir |7.Nature of Indirect | | Transaction | or Disposed of (D) | Securities |ect | Beneficial Ownership | | | | | Beneficially |(D)or | | | | | | | A/| | Owned at |Indir | | | Date |Code|V| Amount | D | Price | End of Month |ect(I)| | ___________________________________________________________________________________________________________________________________| $0.10 Par Value Common S|N/A |N/A |N|N/A |N/A|N/A |2,680 |D |N/A | tock | | |/| | | | | | | | | |A| | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| ___________________________________________________________________________________________________________________________________| ___________________________________________________________________________________________________________________________________ Table II -- Derivative Securitites Acquired, Disposed of, or Beneficially Owned | ___________________________________________________________________________________________________________________________________| 1.Title of Derivative |2.Con- |3. |4. |5.Number of De |6.Date Exer|7.Title and Amount |8.Price|9.Number |10.|11.Nature of| Security |version |Transaction | rivative Secu |cisable and| of Underlying |of Deri|of Deriva |Dir|Indirect | |or Exer | | | rities Acqui |Expiration | Securities |vative |tive |ect|Beneficial | |cise | | | red(A) or Dis |Date(Month/| |Secu |Securities |(D)|Ownership | |Price of| | | posed of(D) |Day/Year) | |rity |Benefi |or | | |Deriva- | | | |Date |Expir| | |ficially |Ind| | |tive | | | | A/|Exer-|ation| Title and Number | |Owned at |ire| | |Secu- | | | | | D |cisa-|Date | of Shares | |End of |ct | | |rity |Date |Code|V| Amount | |ble | | | |Month |(I)| | ___________________________________________________________________________________________________________________________________| Option To Purchase Com|$2.97 |01/27|A | |7,500 |A |07/27|01/26|common stock|7,500 | |7,500 |D | | mon Stock | |/97 | | | | |/97 |/02 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Warrant To Purchase Co|$0.75 |N/A |N/A |N|N/A N/A |A,D|03/09|02/12|common stock|600,000| |600,000 |I |By Wife | mmon Stock | | | |/| | |/96 |/01 | | | | | | | | | | |A| | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Warrant To Purchase Co|$2.00 |N/A |N/A |N|N/A N/A |A,D|05/17|05/16|common stock|11,137 | |11,137 |D | | mmon Stock | | | |/| | |/96 |/99 | | | | | | | | | | |A| | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Warrant To Purchase Co|$6.00 |N/A |N/A |N|N/A N/A |A,D|Immed|08/13|common stock|50,000 | |50,000 |D | | mmon Stock | | | |/| | | |/98 | | | | | | | | | | |A| | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Series A Cum. Conv. Pr|$6.00 |N/A |N/A |N|N/A N/A |A,D|Immed|08/13|com.stk.&war|312/313| |100** |D | | eferred Stock | | | |/| | | |/98 |rants | | | | | | | | | |A| | | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | | | | | ___________________________________________________________________________________________________________________________________|
Explanation of Responses: ** The Series A Cumulative Convertible Preferred Stock is currently convertible into the Company's $0.10 par value common stock and warrants to purchase common stock at a ratio of 3.125 to 1. SIGNATURE OF REPORTING PERSON Patrick J. Duncan, Attorney-In-Fact for Steve A. Antry DATE February 6, 1997 -----END PRIVACY-ENHANCED MESSAGE-----