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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 2270 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned at End of Issuer's Fiscal Year (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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(A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | |||||||||
Director Stock Option (Right to Buy) | $ 6 | 11/21/2013 | Â | A4 | 250,000 | Â | Â (2) | 11/21/2019 | Common stock | $ 0 | 250,000 | Â | ||
Common Stock Warrant (Right to Buy) | $ 5.5 | 04/28/2014 | Â | J4 (3) | 50,000 | Â | 04/28/2014 | 04/28/2019 | Common Stock | (3) | 50,000 | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Ebner Richard O. C/O OCTAGON 88 RESOURCES, INC. HOCHWACHTSTRASSE 4 STEINHAUSEN CH, V8 6312 |
 X |  |  Chief Financial Officer |  |
Richard O. Ebner | 08/08/2014 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | (1)The reporting person beneficially owned no securities of Octagon 88 Resources, Inc. (the "Issuer") on July 1, 2013, the date on which the reporting person became a director of the Issuer |
(2) | One-third of the total number of options granted vested and became exercisable on the November 21, 2013 date of grant, and one-third of the total number of options granted shall vest and become exercisable on each of the first and second anniversary of the date of grant |
(3) | The warrant was issued to the reporting person as compensation for services rendered by the reporting person to the Issuer. |