Filing Details
- Accession Number:
- 0001010412-14-000158
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-09-15 14:09:02
- Reporting Period:
- 2014-07-31
- Filing Date:
- 2014-09-15
- Accepted Time:
- 2014-09-15 14:09:02
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 830483 | Oak Ridge Energy Technologies Inc. | OKME | Miscellaneous Electrical Machinery, Equipment & Supplies (3690) | 841077242 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1593366 | Portfolio Segregated Fund Prescient Of Behalf On Spc Management Fund Precept | Ground Floor, Harbour Centre 42, North Church Street, P.o. Box 1569 George Town, Grand Cayman E9 KY1-1110 | No | No | Yes | No | |
| 1594537 | Ltd Management Asset Precept | Ground Floor, Harbour Centre 42, North Church Street, P.o. Box 1569 George Town, Grand Cayman E9 KY1-1110 | No | No | Yes | No | |
| 1594682 | J Stephen Barber | Level 1 16 O'Connell Street Sydney C3 NSW 2000 | No | No | Yes | No | |
| 1618406 | Portfolio Segregated Fund Precept Of Behalf On Spc Management Fund Precept | Ground Floor, Harbour Center 42 North Church Street, P. O. Box 1569 George Town E9 KY1-1110 | No | No | Yes | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2014-07-31 | 11,000,000 | $0.20 | 109,638,888 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2014-08-13 | 16,775,000 | $0.20 | 126,413,888 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2014-09-05 | 15,000,000 | $0.20 | 141,413,888 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Direct | |
| No | 4 | P | Direct | |
| No | 4 | P | Direct |
Footnotes
- On July 31, 2014, the Issuer offered and sold 11,000,000 shares of its Common Stock to Precept Fund Management SPC ("Precept") for and on behalf of Precept Fund Segregated Portfolio ("Precept Fund") under a Private Placement Subscription Agreement, effective August 5, 2014, in consideration of $2,200,000.
- On August 13, 2014, the Issuer agreed to issue an additional 16,775,000 shares of its Common Stock to Precept for and on behalf of Prescient Fund Segregated Portfolio ("Prescient Fund") under a Private Placement Subscription Agreement effective August 20, 2014, in consideration of $3,355,000, which sum was advanced by Prescient Fund on the Issuer's behalf under the Leclanche Convertible and Investment Loan Agreement of the Issuer.
- On September 5, 2014, Precept on behalf of Prescient Fund, entered into a Private Placement Subscription Agreement to purchase 15,000,000 shares of the Issuer's Common Stock for an aggregate purchase price of $3,000,000.
- All of these shares of Common Stock have been issued.
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