TRI VALLEY CORP Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 39 rows, 39 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2011-07-15: Reporting owner KROMER JAMES C; Form 4; Security Warrant (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2010-11-22: Reporting owner KANDLE JOSEPH R; Form 4/A; Security Warrants; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2010-11-22: Reporting owner KANDLE JOSEPH R; Form 4; Security Warrants; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2008-09-04: Reporting owner Gamble G Thomas; Form 4; Security Warrant; Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2011-07-15 | KROMER JAMES C Officer (VICE PRESIDENT, OPERATIONS) | 4 | Warrant (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +75,000 75,000 owned after | $0.58 exercise price | 2011-07-19 | |
| 2010-11-22 | KANDLE JOSEPH R Officer (Senior VP - Corp. Development) | 4/A | Warrants Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +435,000 435,000 owned after | $0.54 exercise price | 2010-12-07 | |
| 2010-11-22 | KANDLE JOSEPH R Officer (Senior VP - Corp. Development) | 4 | Warrants Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +435,000 435,000 owned after | $0.54 exercise price | 2010-12-07 | |
| 2008-09-04 holding as of filing | Gamble G Thomas Director | 4 | Warrant Derivative · Direct | Holding | 16,667 owned after | $12.00 exercise price | 2008-09-04 | |
| 2008-02-06 holding as of filing | Gamble G Thomas Director | 4 | Warrant Derivative · Direct | Holding | 16,667 owned after | $12.00 exercise price | 2008-02-06 | |
| 2008-02-06 holding as of filing | Gamble G Thomas Director | 4 | Warrant Derivative · Direct | Holding | 16,667 owned after | $12.00 exercise price | 2008-02-06 | |
| 2008-02-06 holding as of filing | Gamble G Thomas Director | 5 | Warrant Derivative · Direct | Holding | 16,667 owned after | $12.00 exercise price | 2008-02-06 | |
| 2007-06-07 holding as of filing | Gamble G Thomas Director | 4 | Warrant Derivative · Direct | Holding | 33,333 owned after | $12.00 exercise price | 2007-06-07 | |
| 2007-06-07 holding as of filing | Gamble G Thomas Director | 4 | Warrant Derivative · Direct | Holding | 16,667 owned after | $12.00 exercise price | 2007-06-07 | |
| 2007-05-24 holding as of filing | Gamble G Thomas Director | 4 | warrant Derivative · Direct | Holding | 33,333 owned after | $12.00 exercise price | 2007-05-24 | |
| 2007-05-24 holding as of filing | Gamble G Thomas Director | 4 | warrant Derivative · Direct | Holding | 16,667 owned after | $12.00 exercise price | 2007-05-24 | |
| 2007-05-18 holding as of filing | Gamble G Thomas Director | 4 | Warrant Derivative · Direct | Holding | 33,333 owned after | $12.00 exercise price | 2007-05-18 | |
| 2007-05-18 holding as of filing | Gamble G Thomas Director | 4 | Warrant Derivative · Direct | Holding | 16,667 owned after | $12.00 exercise price | 2007-05-18 | |
| 2007-05-17 holding as of filing | Gamble G Thomas Director | 4 | Warrant Derivative · Direct | Holding | 33,333 owned after | $12.00 exercise price | 2007-05-17 | |
| 2007-05-17 holding as of filing | Gamble G Thomas Director | 4 | Warrant Derivative · Direct | Holding | 16,667 owned after | $12.00 exercise price | 2007-05-17 | |
| 2007-05-16 holding as of filing | Gamble G Thomas Director | 4 | Warrant Derivative · Direct | Holding | 33,333 owned after | $12.00 exercise price | 2007-05-16 | |
| 2007-05-16 holding as of filing | Gamble G Thomas Director | 4 | Warrant Derivative · Direct | Holding | 16,667 owned after | $12.00 exercise price | 2007-05-16 | |
| 2007-05-16 holding as of filing | Gamble G Thomas Director | 4 | Warrant Derivative · Direct | Holding | 33,333 owned after | $12.00 exercise price | 2007-05-16 | |
| 2007-05-16 holding as of filing | Gamble G Thomas Director | 4 | Warrant Derivative · Direct | Holding | 16,667 owned after | $12.00 exercise price | 2007-05-16 | |
| 2007-05-11 holding as of filing | Gamble G Thomas Director | 4 | Warrant Derivative · Direct | Holding | 33,333 owned after | $12.00 exercise price | 2007-05-11 | |
| 2007-05-11 holding as of filing | Gamble G Thomas Director | 4 | Warrant Derivative · Direct | Holding | 16,667 owned after | $12.00 exercise price | 2007-05-11 | |
| 2007-05-10 holding as of filing | Gamble G Thomas Director | 4 | Warrant Derivative · Direct | Holding | 33,333 owned after | $12.00 exercise price | 2007-05-10 | |
| 2007-05-10 holding as of filing | Gamble G Thomas Director | 4 | Warrants Derivative · Direct | Holding | 16,667 owned after | $12.00 exercise price | 2007-05-10 | |
| 2007-05-10 holding as of filing | Gamble G Thomas Director | 4 | Warrants Derivative · Direct | Holding | 33,333 owned after | $12.00 exercise price | 2007-05-10 | |
| 2007-05-10 holding as of filing | Gamble G Thomas Director | 4 | Warrants Derivative · Direct | Holding | 16,667 owned after | $12.00 exercise price | 2007-05-10 | |
| 2007-05-08 holding as of filing | Gamble G Thomas Director | 4 | Warrant Derivative · Direct | Holding | 33,333 owned after | $12.00 exercise price | 2007-05-08 | |
| 2007-05-08 holding as of filing | Gamble G Thomas Director | 4 | Warrant Derivative · Direct | Holding | 16,667 owned after | $12.00 exercise price | 2007-05-08 | |
| 2007-05-07 holding as of filing | Gamble G Thomas Director | 4 | Warrant Derivative · Direct | Holding | 33,333 owned after | $12.00 exercise price | 2007-05-07 | |
| 2007-05-07 holding as of filing | Gamble G Thomas Director | 4 | Warrant Derivative · Direct | Holding | 16,667 owned after | $12.00 exercise price | 2007-05-07 | |
| 2007-05-04 holding as of filing | Gamble G Thomas Director | 4 | Warrant Derivative · Direct | Holding | 33,333 owned after | $12.00 exercise price | 2007-05-04 | |
| 2007-05-04 holding as of filing | Gamble G Thomas Director | 4 | Warrant Derivative · Direct | Holding | 16,667 owned after | $12.00 exercise price | 2007-05-04 | |
| 2007-05-04 holding as of filing | Gamble G Thomas Director | 4 | Warrant Derivative · Direct | Holding | 33,333 owned after | $12.00 exercise price | 2007-05-04 | |
| 2007-05-04 holding as of filing | Gamble G Thomas Director | 4 | Warrant Derivative · Direct | Holding | 16,667 owned after | $12.00 exercise price | 2007-05-04 | |
| 2007-01-30 holding as of filing | Gamble G Thomas Director | 4 | Warrant Derivative · Direct | Holding | 33,333 owned after | $12.00 exercise price | 2007-01-30 | |
| 2007-01-30 holding as of filing | Gamble G Thomas Director | 4 | Warrant Derivative · Direct | Holding | 16,667 owned after | $12.00 exercise price | 2007-01-30 | |
| 2006-12-29 holding as of filing | Gamble G Thomas Director | 4 | Warrant Derivative · Direct | Holding | 33,333 owned after | $12.00 exercise price | 2006-12-29 | |
| 2006-12-28 | Gamble G Thomas Director | 4 | Warrant Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +16,667 16,667 owned after | $12.00 exercise price | 2006-12-29 | |
| 2006-06-08 holding as of filing | Gamble G Thomas Director | 4 | Warrant Derivative · Direct | Holding | 33,333 owned after | $12.00 exercise price | 2006-06-08 | |
| 2006-05-10 holding as of filing | Gamble G Thomas Director | 4 | Warrant Derivative · Direct | Holding | 33,333 owned after | $12.00 exercise price | 2006-05-10 |