0000936711-17-000002.txt : 20171201
0000936711-17-000002.hdr.sgml : 20171201
20171201070057
ACCESSION NUMBER: 0000936711-17-000002
CONFORMED SUBMISSION TYPE: 3
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170721
FILED AS OF DATE: 20171201
DATE AS OF CHANGE: 20171201
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: STROME MARK E
CENTRAL INDEX KEY: 0000919484
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-30415
FILM NUMBER: 171232693
MAIL ADDRESS:
STREET 1: 100 WILSHIRE BLVD
STREET 2: 15TH FL
CITY: SANTA MONICA
STATE: CA
ZIP: 90401
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: STROME INVESTMENT MANAGEMENT LP
CENTRAL INDEX KEY: 0000936711
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-30415
FILM NUMBER: 171232695
BUSINESS ADDRESS:
STREET 1: 100 WILSHIRE BLVD
STREET 2: 15TH FLOOR
CITY: SANTA MONICA
STATE: CA
ZIP: 90401
MAIL ADDRESS:
STREET 1: 100 WILSHIRE BLVD
STREET 2: 15TH FLOOR
CITY: SANTA MONICA
STATE: CA
ZIP: 90401
FORMER NAME:
FORMER CONFORMED NAME: STROME SUSSKIND INVESTMENT MANAGEMENT LP
DATE OF NAME CHANGE: 19950202
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: STROME GROUP, INC.
CENTRAL INDEX KEY: 0001724136
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-30415
FILM NUMBER: 171232694
BUSINESS ADDRESS:
STREET 1: 100 WILSHIRE BLVD., SUITE 1750
CITY: SANTA MONICA
STATE: CA
ZIP: 90401
BUSINESS PHONE: 3109176600
MAIL ADDRESS:
STREET 1: 100 WILSHIRE BLVD., SUITE 1750
CITY: SANTA MONICA
STATE: CA
ZIP: 90401
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Zivo Bioscience, Inc.
CENTRAL INDEX KEY: 0001101026
STANDARD INDUSTRIAL CLASSIFICATION: FOOD & KINDRED PRODUCTS [2000]
IRS NUMBER: 870699977
STATE OF INCORPORATION: NV
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 2804 ORCHARD LAKE ROAD, SUITE 202
CITY: KEEGO HARBOR
STATE: MI
ZIP: 48320
BUSINESS PHONE: (248) 452 9866
MAIL ADDRESS:
STREET 1: 2804 ORCHARD LAKE ROAD, SUITE 202
CITY: KEEGO HARBOR
STATE: MI
ZIP: 48320
FORMER COMPANY:
FORMER CONFORMED NAME: HEALTH ENHANCEMENT PRODUCTS INC
DATE OF NAME CHANGE: 20040202
FORMER COMPANY:
FORMER CONFORMED NAME: WESTERN GLORY HOLE INC
DATE OF NAME CHANGE: 19991215
3
1
primary_doc.xml
PRIMARY DOCUMENT
X0206
3
2017-07-21
0
0001101026
Zivo Bioscience, Inc.
OTCQB:ZIVO
0000936711
STROME INVESTMENT MANAGEMENT LP
100 WILSHIRE BLVD, SUITE 1750
SANTA MONICA
CA
90401
0
0
1
0
0001724136
STROME GROUP, INC.
100 WILSHIRE BLVD, SUITE 1750
SANTA MONICA
CA
90401
0
0
1
0
0000919484
STROME MARK E
100 WILSHIRE BLVD, SUITE 1750
SANTA MONICA
CA
90401
0
0
1
0
Common Stock Purchase Warrant
0.1
2017-07-21
2022-07-20
Common Stock
250000
I
See Footnote
Common Stock Purchase Warrant
0.1
2017-09-20
2022-09-19
Common Stock
250000
I
See Footnote
Common Stock Purchase Warrant
0.1
2017-11-17
2022-11-16
Common Stock
250000
I
See Footnote
Convertible Debt
0.1
2017-11-17
2018-09-30
Common Stock
15000000
I
See Footnote
Common Stock Purchase Warrant
0.1
2017-11-17
2019-11-16
Common Stock
25000000
I
See Footnote
Two thirds of the common stock warrants and convertible debt, and the underlying shares of common stock, are held by Strome Mezzanine Fund, LP ("Strome Mezzanine") and one third are held by Strome Alpha Fund, L.P. ("Strome Alpha"). Strome Mezzanine and Strome Alpha received the common stock warrants and convertible debt pursuant to a Participation Agreement dated July 21, 2017 (the "Participation Agreement") with HEP Investments, LLC ("HEP") and Zivo Bioscience, Inc., as amended by the Amendment to Participation Agreement, Guaranty, Warrants and Amended and Restated Registration Rights Agreement dated November 15, 2017 (the "Amendment"). 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.
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 (the "Reporting Persons") may be deemed to share voting and investment power for the shares held by Strome Mezzanine and Strome Alpha.
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 Persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any equity securities reported herein.
Kenneth R. Powell, Attorney-in-Fact by Power of Attorney
2017-12-01