Filing Details
- Accession Number:
- 0001181431-11-020849
- Form Type:
- 4/A
- Zero Holdings:
- No
- Publication Time:
- 2011-03-30 18:40:22
- Reporting Period:
- 2011-02-20
- Filing Date:
- 2011-03-30
- Accepted Time:
- 2011-03-30 18:40:22
- Original Submission Date:
- 2011-03-30
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1066551 | Sun River Energy Inc | SNRV | Crude Petroleum & Natural Gas (1311) | 841491159 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1498072 | Cicerone Corporate Development, Llc | 1224 N. Hwy 377 Suite 303, Pmb 56 Roanoke TX 76262 | 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 | 2011-02-20 | 10,000 | $1.50 | 1,264,729 | No | 4 | X | Direct | |
| Common Stock | Acquisiton | 2011-02-20 | 10,000 | $1.00 | 1,274,729 | No | 4 | X | Direct | |
| Common Stock | Acquisiton | 2011-03-20 | 10,000 | $1.50 | 1,284,729 | No | 4 | X | Direct | |
| Common Stock | Acquisiton | 2011-03-20 | 10,000 | $1.00 | 1,294,729 | No | 4 | X | Direct | |
| Common Stock | Acquisiton | 2011-03-07 | 20,000 | $4.25 | 1,314,729 | No | 4 | X | Direct | |
| Common Stock | Disposition | 2011-03-07 | 16,832 | $5.05 | 1,297,897 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2011-03-07 | 20,000 | $2.79 | 1,317,897 | No | 4 | X | Direct | |
| Common Stock | Disposition | 2011-03-07 | 11,050 | $5.05 | 1,306,847 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2011-03-07 | 20,000 | $2.22 | 1,326,847 | No | 4 | X | Direct | |
| Common Stock | Disposition | 2011-03-07 | 8,792 | $5.05 | 1,318,055 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2011-03-07 | 20,000 | $2.05 | 1,338,055 | No | 4 | X | Direct | |
| Common Stock | Disposition | 2011-03-07 | 8,119 | $5.05 | 1,329,936 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2011-03-07 | 20,000 | $1.80 | 1,349,936 | No | 4 | X | Direct | |
| Common Stock | Disposition | 2011-03-07 | 7,129 | $5.05 | 1,342,807 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2011-03-07 | 20,000 | $1.56 | 1,362,807 | No | 4 | X | Direct | |
| Common Stock | Disposition | 2011-03-07 | 6,178 | $5.05 | 1,356,629 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2011-03-07 | 20,000 | $1.51 | 1,376,629 | No | 4 | X | Direct | |
| Common Stock | Disposition | 2011-03-07 | 5,980 | $5.05 | 1,370,649 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2011-03-07 | 20,000 | $1.65 | 1,390,649 | No | 4 | X | Direct | |
| Common Stock | Disposition | 2011-03-07 | 6,535 | $5.05 | 1,384,114 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2011-03-07 | 20,000 | $1.45 | 1,404,114 | No | 4 | X | Direct | |
| Common Stock | Disposition | 2011-03-07 | 5,743 | $5.05 | 1,398,371 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2011-03-07 | 20,000 | $1.65 | 1,418,371 | No | 4 | X | Direct | |
| Common Stock | Disposition | 2011-03-07 | 6,535 | $5.05 | 1,411,836 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2011-03-07 | 20,000 | $2.05 | 1,431,836 | No | 4 | X | Direct | |
| Common Stock | Disposition | 2011-03-07 | 8,119 | $5.05 | 1,423,717 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2011-03-07 | 20,000 | $1.70 | 1,443,717 | No | 4 | X | Direct | |
| Common Stock | Disposition | 2011-03-07 | 6,733 | $5.05 | 1,436,984 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2011-03-07 | 20,000 | $1.54 | 1,456,984 | No | 4 | X | Direct | |
| Common Stock | Disposition | 2011-03-07 | 6,099 | $5.05 | 1,450,885 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | X | Direct | |
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Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (Right to Purchase) | Disposition | 2011-03-20 | 10,000 | $0.00 | 10,000 | $1.50 |
| Common Stock | Stock Option (Right to Purchase) | Disposition | 2011-03-20 | 10,000 | $0.00 | 10,000 | $1.00 |
| Common Stock | Stock Option (Right to Purchase) | Disposition | 2011-02-20 | 10,000 | $0.00 | 10,000 | $1.50 |
| Common Stock | Stock Option (Right to Purchase) | Disposition | 2011-02-20 | 10,000 | $0.00 | 10,000 | $1.00 |
| Common Stock | Warrants to Purchase Common Stock | Disposition | 2011-03-07 | 20,000 | $0.00 | 20,000 | $4.25 |
| Common Stock | Warrant to Purchase Common Stock | Disposition | 2011-03-07 | 20,000 | $0.00 | 20,000 | $2.79 |
| Common Stock | Warrant to Purchase Common Stock | Disposition | 2011-03-07 | 20,000 | $0.00 | 20,000 | $2.22 |
| Common Stock | Warrant to Purchase Common Stock | Disposition | 2011-03-07 | 20,000 | $0.00 | 20,000 | $2.05 |
| Common Stock | Warrant to Purchase Common Stock | Disposition | 2011-03-07 | 20,000 | $0.00 | 20,000 | $1.80 |
| Common Stock | Warrant to Purchase Common Stock | Disposition | 2011-03-07 | 20,000 | $0.00 | 20,000 | $1.56 |
| Common Stock | Warrant to Purchase Common Stock | Disposition | 2011-03-07 | 20,000 | $0.00 | 20,000 | $1.51 |
| Common Stock | Warrant to Purchase Common Stock | Disposition | 2011-03-07 | 20,000 | $0.00 | 20,000 | $1.65 |
| Common Stock | Warrant to Purchase Common Stock | Disposition | 2011-03-07 | 20,000 | $0.00 | 20,000 | $1.45 |
| Common Stock | Warrant to Purchase Common Stock | Disposition | 2011-03-07 | 20,000 | $0.00 | 20,000 | $1.65 |
| Common Stock | Warrant to Purchase Common Stock | Disposition | 2011-03-07 | 20,000 | $0.00 | 20,000 | $2.05 |
| Common Stock | Warrant to Purchase Common Stock | Disposition | 2011-03-07 | 20,000 | $0.00 | 20,000 | $1.70 |
| Common Stock | Warrant to Purchase Common Stock | Disposition | 2011-03-07 | 20,000 | $0.00 | 20,000 | $1.54 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 3,006,961 | 2010-08-03 | 2012-08-03 | No | 4 | X | Direct |
| 2,881,666 | 2010-09-21 | 2012-09-21 | No | 4 | X | Direct |
| 3,016,961 | 2010-08-03 | 2012-08-03 | No | 4 | X | Direct |
| 2,891,666 | 2010-09-21 | 2012-09-21 | No | 4 | X | Direct |
| 0 | 2011-01-31 | 2013-01-31 | No | 4 | X | Direct |
| 0 | 2010-12-31 | 2012-12-31 | No | 4 | X | Direct |
| 0 | 2010-11-30 | 2012-11-30 | No | 4 | X | Direct |
| 0 | 2010-10-29 | 2012-10-29 | No | 4 | X | Direct |
| 0 | 2010-09-30 | 2012-09-30 | No | 4 | X | Direct |
| 0 | 2010-08-31 | 2012-08-31 | No | 4 | X | Direct |
| 0 | 2010-07-31 | 2012-07-31 | No | 4 | X | Direct |
| 0 | 2010-06-30 | 2012-06-30 | No | 4 | X | Direct |
| 0 | 2010-05-31 | 2012-05-31 | No | 4 | X | Direct |
| 0 | 2010-04-30 | 2012-04-30 | No | 4 | X | Direct |
| 0 | 2010-03-31 | 2012-03-31 | No | 4 | X | Direct |
| 0 | 2009-12-31 | 2011-12-31 | No | 4 | X | Direct |
| 0 | 2010-02-28 | 2012-02-28 | No | 4 | X | Direct |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Warrant to Purchase Common Stock | $1.60 | 2010-01-31 | 2012-01-31 | 20,000 | 20,000 | Direct |
| Common Stock | Warrant to Purchase Common Stock | $1.70 | 2009-11-30 | 2011-11-30 | 20,000 | 20,000 | Direct |
| Common Stock | Warrant to Purchase Common Stock | $1.95 | 2009-10-31 | 2011-10-31 | 20,000 | 20,000 | Direct |
| Common Stock | Warrant to Purchase Common Stock | $2.73 | 2009-09-30 | 2011-09-30 | 20,000 | 20,000 | Direct |
| Common Stock | Warrant to Purchase Common Stock | $2.06 | 2009-08-31 | 2011-08-31 | 20,000 | 20,000 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2012-01-31 | 20,000 | 20,000 | Direct |
| 2011-11-30 | 20,000 | 20,000 | Direct |
| 2011-10-31 | 20,000 | 20,000 | Direct |
| 2011-09-30 | 20,000 | 20,000 | Direct |
| 2011-08-31 | 20,000 | 20,000 | Direct |
Footnotes
- Shares withheld by the Issuer as payment of the exercise price in connection with a cashless exercise of warrants.
- Represents shares purchasable upon exercise of an option dated August 3, 2010 granted to the Reporting Person by Robert Doak.
- Represents shares purchasable upon exercise of an option dated as of September 21, 2010 granted to the Reporting Person by New Mexico Energy, LLC, pursuant to which the Reporting Person has the right to purchase (i) 1,000,000 shares of common stock at an exercise price of $1.00 per share; (ii) 1,000,000 shares of common stock at an exercise price of $2.00 per share; and (iii) 941,666 shares of common stock at an exercise price of $1.50 per share.
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