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Sow Good Inc. — Director's Dealing 2021
Jan 6, 2021
35248_dirs_2021-01-06_6171172a-4574-4b0c-832d-9b67a06f5bbf.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Black Ridge Oil & Gas, Inc. (ANFC)
CIK: 0001490161
Period of Report: 2021-01-04
Reporting Person: Goldfarb Ira (Director, Executive Chairman(1), 10% Owner)
Reporting Person: Goldfarb Claudia (Director, Chief Executive Officer (2), 10% Owner)
Reporting Person: S-FDF, LLC (10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-01-04 | Common Stock | A | 18133 | — | Acquired | 22540 | Direct |
| 2021-01-04 | Common Stock | A | 16623 | — | Acquired | 18724 | Direct |
| 2021-01-04 | Common Stock | A | 500973 | — | Acquired | 1620973 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-01-04 | Incentive Stock Options (right to buy) | $3.70 | A | 75000 | Acquired | 2031-01-04 | Common Stock (75000) | Direct |
| 2021-01-04 | Incentive Stock Options (right to buy) | $3.70 | A | 75000 | Acquired | 2031-01-04 | Common Stock (75000) | Direct |
Footnotes
F1: Mr. Ira Goldfarb is a director and the Executive Chairman of the Issuer. Mr. Goldfarb's employment agreement, as amended, provides for compensation paid in part in common stock on a monthly basis. Mr. Goldfarb, as the Managing Member of S-FDF, LLC, exercises voting and dispositive power over the shares held by S-FDF, LLC, a 10% owner of the Issuer.
F2: Mrs. Claudia Goldfarb is a director and the Chief Executive Officer of the Issuer. Mrs. Goldfarb's employment agreement, as amended, provides for compensation paid in part in common stock on a monthly basis. She is also the spouse of Mr. Goldfarb and, by virtue of her indirect ownership in S-FDF, LLC, a 10% owner in the Issuer.
F3: The Incentive Stock Options vest in three (3) installments, beginning on January 4, 2022 and continuing on the next two (2) anniversaries thereof, until the options are fully vested.
F4: Issued to Mr. Goldfarb in his individual capacity.
F5: Issued to Mrs. Goldfarb in her individual capacity.
F6: Excluding indirect ownership of shares held by S-FDF, LLC.
F7: The shares were acquired by S-FDF, LLC as consideration under an Asset Purchase Agreement between S-FDF, LLC and the Issuer. Mr. and Mrs. Goldfarb share indirect beneficial ownership of the Issuer's shares held by S-FDF, LLC.
F8: Excluding shares individually by Mr. and Mrs. Goldfarb in their individual capacities.