Filing Details
- Accession Number:
- 0001432093-11-000026
- Form Type:
- 4/A
- Zero Holdings:
- No
- Publication Time:
- 2011-01-28 17:39:25
- Reporting Period:
- 2011-01-04
- Filing Date:
- 2011-01-28
- Accepted Time:
- 2011-01-28 17:39:25
- Original Submission Date:
- 2011-01-05
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1309082 | Lucas Energy Inc. | AMEX:LEI | Crude Petroleum & Natural Gas (1311) | 980417780 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1013720 | Peter Grunebaum | 368 Mclain Street Bedford Hills NY 10507 | Yes | No | No | 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 | 2011-01-04 | 200 | $2.38 | 112,229 | No | 4 | P | Direct | |
| Common Stock | Disposition | 2011-01-05 | 200 | $2.38 | 112,229 | No | 4 | G | Direct | |
| Common Stock | Acquisiton | 2011-01-10 | 12,000 | $0.00 | 112,229 | No | 4 | A | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Direct | |
| No | 4 | G | Direct | |
| No | 4 | A | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Options | Acquisiton | 2011-01-10 | 6,000 | $0.00 | 6,000 | $2.07 |
| Common Stock | Stock Options | Acquisiton | 2011-01-10 | 6,000 | $0.00 | 6,000 | $2.07 |
| Common Stock | Stock Options | Acquisiton | 2011-01-10 | 6,000 | $0.00 | 6,000 | $2.07 |
| Common Stock | Stock Options | Acquisiton | 2011-01-10 | 6,000 | $0.00 | 6,000 | $2.07 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 24,000 | 2011-01-10 | 2020-10-07 | No | 4 | A | Direct |
| 24,000 | 2011-01-10 | 2020-10-07 | No | 4 | A | Direct |
| 24,000 | 2011-01-10 | 2020-10-07 | No | 4 | A | Direct |
| 24,000 | 2011-03-31 | 2020-10-07 | No | 4 | A | Direct |
Footnotes
- This Form 4/A, replaces the Form 4 filed by Mr. Grunebaum on January 5, 2010, to update and correct the aggregate beneficial ownership from such original filing and includes additional transactions effective January 10, 2011.
- On October 7, 2010, the Issuer's Board of Directors approved the issuance of 12,000 shares of common stock and 24,000 options to purchase shares of common stock each Director of the Company, including Mr. Grunebaum, in consideration for services rendered to the Issuer during the April 1, 2010 to March 31, 2011 fiscal year, which options had an exercise price of $2.07 per share and vest in tranches of 1/4th of such options per quarter pursuant to the Plan, which issuances and grants were ratified by the Issuer's shareholders at its Annual Meeting of Stockholders held on January 10, 2011.
Billionaire Hedge Funds
