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