CUBIC ENERGY INC Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 42 rows, 42 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2014-02-12: Reporting owner WELLS FARGO & COMPANY/MN; Form 3; Security Warrant to Purchase Shares of Common Stock; Transaction Holding.
- 2014-02-12: Reporting owner WELLS FARGO & COMPANY/MN; Form 3; Security Warrant to Purchase Shares of Common Stock; Transaction Holding.
- 2014-02-12: Reporting owner WELLS FARGO & COMPANY/MN; Form 3; Security Warrant to Purchase Shares of Common Stock; Transaction Holding.
- 2013-10-15: Reporting owner O-Cap Management, L.P. | O-CAP Offshore Fund, Ltd. | O-CAP Partners, L.P. | O-CAP OFFSHORE MASTER FUND, L.P. | O-CAP GP, LLC | O-CAP ADVISORS, LLC | Olshan Michael E | STURDIVANT JARED S.; Form 3; Security Class A Warrants; Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2014-02-12 holding as of filing | WELLS FARGO & COMPANY/MN 10% Owner | 3 | Warrant to Purchase Shares of Common Stock Derivative · Indirect · See Footnote | Holding | $0.18 exercise price | 2014-02-12 | ||
| 2014-02-12 holding as of filing | WELLS FARGO & COMPANY/MN 10% Owner | 3 | Warrant to Purchase Shares of Common Stock Derivative · Indirect · See Footnote | Holding | $0.18 exercise price | 2014-02-12 | ||
| 2014-02-12 holding as of filing | WELLS FARGO & COMPANY/MN 10% Owner | 3 | Warrant to Purchase Shares of Common Stock Derivative · Indirect · See Footnote | Holding | $0.18 exercise price | 2014-02-12 | ||
| 2013-10-15 holding as of filing | O-Cap Management, L.P. | O-CAP Offshore Fund, Ltd. | O-CAP Partners, L.P. | O-CAP OFFSHORE MASTER FUND, L.P. | O-CAP GP, LLC | O-CAP ADVISORS, LLC | Olshan Michael E | STURDIVANT JARED S. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Class A Warrants Derivative · Indirect · By O-CAP Partners, L.P. | Holding | $0.01 exercise price | 2013-10-15 | ||
| 2013-10-15 holding as of filing | O-Cap Management, L.P. | O-CAP Offshore Fund, Ltd. | O-CAP Partners, L.P. | O-CAP OFFSHORE MASTER FUND, L.P. | O-CAP GP, LLC | O-CAP ADVISORS, LLC | Olshan Michael E | STURDIVANT JARED S. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Class A Warrants Derivative · Indirect · By O-CAP Offshore Master Fund, L.P. | Holding | $0.01 exercise price | 2013-10-15 | ||
| 2013-10-15 holding as of filing | O-Cap Management, L.P. | O-CAP Offshore Fund, Ltd. | O-CAP Partners, L.P. | O-CAP OFFSHORE MASTER FUND, L.P. | O-CAP GP, LLC | O-CAP ADVISORS, LLC | Olshan Michael E | STURDIVANT JARED S. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Class A Warrants Derivative · Indirect · By Corbin Opportunity Fund, L.P. in an account managed by O-CAP Management, L.P. | Holding | $0.01 exercise price | 2013-10-15 | ||
| 2013-10-15 holding as of filing | O-Cap Management, L.P. | O-CAP Offshore Fund, Ltd. | O-CAP Partners, L.P. | O-CAP OFFSHORE MASTER FUND, L.P. | O-CAP GP, LLC | O-CAP ADVISORS, LLC | Olshan Michael E | STURDIVANT JARED S. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Class B Warrants Derivative · Indirect · By O-CAP Partners, L.P. | Holding | $0.50 exercise price | 2013-10-15 | ||
| 2013-10-15 holding as of filing | O-Cap Management, L.P. | O-CAP Offshore Fund, Ltd. | O-CAP Partners, L.P. | O-CAP OFFSHORE MASTER FUND, L.P. | O-CAP GP, LLC | O-CAP ADVISORS, LLC | Olshan Michael E | STURDIVANT JARED S. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Class B Warrants Derivative · Indirect · By O-CAP Offshore Master Fund, L.P. | Holding | $0.50 exercise price | 2013-10-15 | ||
| 2013-10-15 holding as of filing | O-Cap Management, L.P. | O-CAP Offshore Fund, Ltd. | O-CAP Partners, L.P. | O-CAP OFFSHORE MASTER FUND, L.P. | O-CAP GP, LLC | O-CAP ADVISORS, LLC | Olshan Michael E | STURDIVANT JARED S. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Class B Warrants Derivative · Indirect · By Corbin Opportunity Fund, L.P. in an account managed by O-CAP Management, L.P. | Holding | $0.50 exercise price | 2013-10-15 | ||
| 2013-10-15 holding as of filing | Davis Anthony Lynn | Ulrich Kevin Michael | Anchorage Advisors Management, LLC | Anchorage Capital Group, L.L.C. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Class A Warrants Derivative · Indirect · By Anchorage Illiquid Opportunities Offshore Master III, L.P. | Holding | $0.01 exercise price | 2013-10-15 | ||
| 2013-10-15 holding as of filing | Davis Anthony Lynn | Ulrich Kevin Michael | Anchorage Advisors Management, LLC | Anchorage Capital Group, L.L.C. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Class A Warrants Derivative · Indirect · By Anchorage Illiquid Opportunities III (B), L.P. | Holding | $0.01 exercise price | 2013-10-15 | ||
| 2013-10-15 holding as of filing | Davis Anthony Lynn | Ulrich Kevin Michael | Anchorage Advisors Management, LLC | Anchorage Capital Group, L.L.C. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Class A Warrants Derivative · Indirect · By AIO III AIV, L.P. | Holding | $0.01 exercise price | 2013-10-15 | ||
| 2013-10-15 holding as of filing | Davis Anthony Lynn | Ulrich Kevin Michael | Anchorage Advisors Management, LLC | Anchorage Capital Group, L.L.C. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Class B Warrants Derivative · Indirect · By Anchorage Illiquid Opportunities Offshore Master III, L.P. | Holding | $0.50 exercise price | 2013-10-15 | ||
| 2013-10-15 holding as of filing | Davis Anthony Lynn | Ulrich Kevin Michael | Anchorage Advisors Management, LLC | Anchorage Capital Group, L.L.C. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Class B Warrants Derivative · Indirect · By Anchorage Illiquid Opportunities III (B), L.P. | Holding | $0.50 exercise price | 2013-10-15 | ||
| 2013-10-15 holding as of filing | Davis Anthony Lynn | Ulrich Kevin Michael | Anchorage Advisors Management, LLC | Anchorage Capital Group, L.L.C. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Class B Warrants Derivative · Indirect · By AIO III AIV, L.P. | Holding | $0.50 exercise price | 2013-10-15 | ||
| 2013-10-15 holding as of filing | Corbin Capital Partners, L.P. 10% Owner | 3 | Class A Warrants Derivative · Indirect · By Corbin Opportunity Fund, L.P. | Holding | $0.01 exercise price | 2013-10-15 | ||
| 2013-10-15 holding as of filing | Corbin Capital Partners, L.P. 10% Owner | 3 | Class B Warrants Derivative · Indirect · By Corbin Opportunity Fund, L.P. | Holding | $0.50 exercise price | 2013-10-15 | ||
| 2013-01-28 | WELLS FARGO & COMPANY/MN 10% Owner | 4/A | Warrant to Purchase Shares of Common Stock Derivative · Indirect · See Footnote | J Other acquisition or disposition (describe transaction) | −2,500,000 0 owned after | $0.99 exercise price | 2013-01-31 | |
| 2013-01-28 | WELLS FARGO & COMPANY/MN 10% Owner | 4/A | Warrant to Purchase Shares of Common Stock Derivative · Indirect · See Footnote | J Other acquisition or disposition (describe transaction) | +2,500,000 2,500,000 owned after | $0.20 exercise price | 2013-01-31 | |
| 2013-01-28 | WELLS FARGO & COMPANY/MN 10% Owner | 4/A | Warrant to Purchase Shares of Common Stock Derivative · Indirect · See Footnote | J Other acquisition or disposition (describe transaction) | −5,000,000 0 owned after | $1.00 exercise price | 2013-01-31 | |
| 2013-01-28 | WELLS FARGO & COMPANY/MN 10% Owner | 4/A | Warrant to Purchase Shares of Common Stock Derivative · Indirect · See Footnote | J Other acquisition or disposition (describe transaction) | +5,000,000 5,000,000 owned after | $0.20 exercise price | 2013-01-31 | |
| 2013-01-28 | WELLS FARGO & COMPANY/MN 10% Owner | 4/A | Warrant to Purchase Shares of Common Stock Derivative · Indirect · See Footnote | J Other acquisition or disposition (describe transaction) | −1,000,000 0 owned after | $1.00 exercise price | 2013-01-31 | |
| 2013-01-28 | WELLS FARGO & COMPANY/MN 10% Owner | 4/A | Warrant to Purchase Shares of Common Stock Derivative · Indirect · See Footnote | J Other acquisition or disposition (describe transaction) | +1,000,000 1,000,000 owned after | $0.20 exercise price | 2013-01-31 | |
| 2013-01-28 | WELLS FARGO & COMPANY/MN 10% Owner | 4 | Warrant to Purchase Shares of Common Stock Derivative · Indirect · See Footnote | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −2,500,000 0 owned after | $0.99 exercise price | 2013-01-30 | |
| 2013-01-28 | WELLS FARGO & COMPANY/MN 10% Owner | 4 | Warrant to Purchase Shares of Common Stock Derivative · Indirect · See Footnote | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,500,000 2,500,000 owned after | $0.20 exercise price | 2013-01-30 | |
| 2013-01-28 | WELLS FARGO & COMPANY/MN 10% Owner | 4 | Warrant to Purchase Shares of Common Stock Derivative · Indirect · See Footnote | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −5,000,000 0 owned after | $1.00 exercise price | 2013-01-30 | |
| 2013-01-28 | WELLS FARGO & COMPANY/MN 10% Owner | 4 | Warrant to Purchase Shares of Common Stock Derivative · Indirect · See Footnote | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000,000 5,000,000 owned after | $0.20 exercise price | 2013-01-30 | |
| 2013-01-28 | WELLS FARGO & COMPANY/MN 10% Owner | 4 | Warrant to Purchase Shares of Common Stock Derivative · Indirect · See Footnote | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −1,000,000 0 owned after | $1.00 exercise price | 2013-01-30 | |
| 2013-01-28 | WELLS FARGO & COMPANY/MN 10% Owner | 4 | Warrant to Purchase Shares of Common Stock Derivative · Indirect · See Footnote | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,000,000 1,000,000 owned after | $0.20 exercise price | 2013-01-30 | |
| 2011-01-18 | BRUGGEMAN WILLIAM Director, 10% Owner | 4 | Warrant Derivative · Indirect · By Diversified Dynamics Corp., an entity controlled by William Bruggeman | X Exercise of in-the-money or at-the-money derivative security | −600,000 0 owned after | $0.70 exercise price | 2011-01-19 | |
| 2010-08-30 | WELLS FARGO & CO/MN 10% Owner | 4 | Warrant to Purchase Shares of Common Stock Derivative · Indirect · By Subsidiary | P Open market or private purchase of non-derivative or derivative security | +1,000,000 1,000,000 owned after | $1.00 | 2010-09-02 | |
| 2009-12-18 | WELLS FARGO & CO/MN 10% Owner | 4 | Warrant to Purchase Shares of Common Stock Derivative · Indirect · By Subsidiary | P Open market or private purchase of non-derivative or derivative security | +5,000,000 5,000,000 owned after | $1.00 | 2009-12-22 | |
| 2009-08-18 | WELLS FARGO & CO/MN 10% Owner | 4 | Warrant to Purchase Shares of Common Stock Derivative · Indirect · By Subsidiary | J Other acquisition or disposition (describe transaction) | +0 2,500,000 owned after | $0.99 exercise price | 2009-12-22 | |
| 2009-03-02 | BRUGGEMAN WILLIAM 10% Owner | 4/A | Warrant (right to buy) Derivative · Indirect · William L. Bruggeman and Ruth J. Bruggeman JWROS | X Exercise of in-the-money or at-the-money derivative security | −1,544,000 600,000 owned after | $0.70 exercise price | 2009-03-27 | |
| 2009-03-02 | BRUGGEMAN WILLIAM 10% Owner | 4 | Warrant (right to buy) Derivative · Indirect · William L. Bruggeman and Ruth J. Bruggeman JWROS | X Exercise of in-the-money or at-the-money derivative security | −1,544,000 0 owned after | $0.70 exercise price | 2009-03-04 | |
| 2007-03-15 holding as of filing | GST Co. | WELLS FARGO ENERGY CAPITAL INC | WELLS FARGO & CO/MN 10% Owner | 10% Owner | 10% Owner | 3 | Warrant to Purchase Shares of Common Stock Derivative · Indirect · see footnote | Holding | $1.00 exercise price | 2007-03-15 | ||
| 2006-12-15 | BRUGGEMAN WILLIAM 10% Owner | 4/A | Warrant Derivative · Indirect · (m) | J Other acquisition or disposition (describe transaction) | +600,000 600,000 owned after | $0.70 | 2007-01-03 | |
| 2006-12-15 | BRUGGEMAN WILLIAM 10% Owner | 4/A | Warrant Derivative · Direct · (m) | J Other acquisition or disposition (describe transaction) | +1,544,000 2,144,000 owned after | $0.70 | 2007-01-03 | |
| 2006-12-15 | CLEMENTS BOB Director | 4 | Warrant Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +50,000 50,000 owned after | $0.70 | 2006-12-20 | |
| 2006-12-15 | BRUGGEMAN WILLIAM 10% Owner | 4 | Warrant Derivative · Indirect · (m) | J Other acquisition or disposition (describe transaction) | +600,000 600,000 owned after | $0.70 | 2006-12-18 | |
| 2006-12-15 | BRUGGEMAN WILLIAM 10% Owner | 4 | Warrant Derivative · Direct · (m) | J Other acquisition or disposition (describe transaction) | +2,000,000 2,600,000 owned after | $0.70 | 2006-12-18 | |
| 2006-11-10 | WALLEN CALVIN III Director, Officer (President / CEO), 10% Owner | 4 | Warrant Derivative · Indirect · Tauren Exploration, Inc., an affiliate entity | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $0.70 | 2006-11-14 |