XZERES Corp. Forms 3, 4 and 5: Corporate Securities (Bonds and Notes)
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 7 rows, 7 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2014-06-12: Reporting owner GARFF ROBERT N; Form 3/A; Security Note Conversion; Transaction Holding.
- 2013-06-20: Reporting owner GARFF ROBERT N; Form 3; Security Note Conversion; Transaction Holding.
- 2013-06-19: Reporting owner CORE FUND L P; Form 3; Security Convertible Note; Transaction Holding.
- 2013-04-01: Reporting owner CORE FUND L P; Form 4; Security Convertible Note; Transaction J Other acquisition or disposition (describe transaction).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2014-06-12 holding as of filing | GARFF ROBERT N Director | 3/A | Note Conversion Derivative · Direct | Holding | $0.35 exercise price | 2014-06-12 | ||
| 2013-06-20 holding as of filing | GARFF ROBERT N Director | 3 | Note Conversion Derivative · Direct | Holding | $0.35 exercise price | 2013-06-20 | ||
| 2013-06-19 holding as of filing | CORE FUND L P Director | 3 | Convertible Note Derivative · Direct | Holding | $0.35 exercise price | 2013-06-19 | ||
| 2013-04-01 | CORE FUND L P Director | 4 | Convertible Note Derivative · Direct | J Other acquisition or disposition (describe transaction) | +456,159 456,159 owned after | $0.35 exercise price | 2014-06-11 | |
| 2013-04-01 | HAGLER WILLIAM N Director | 4/A | Convertible Note Derivative · Indirect · Co-Trustee | J Other acquisition or disposition (describe transaction) | +1,769,521 1,769,521 owned after | $0.35 exercise price | 2014-06-10 | |
| 2012-05-15 | HAGLER WILLIAM N Director | 4/A | Convertible Note Derivative · Indirect · Co-Trustee | J Other acquisition or disposition (describe transaction) | +1,605,211 1,605,211 owned after | $0.35 exercise price | 2013-06-25 | |
| 2012-05-15 | HAGLER WILLIAM N Director | 4 | Convertible Note Derivative · Direct | J Other acquisition or disposition (describe transaction) | +1,605,211 1,605,211 owned after | $0.35 exercise price | 2013-06-17 |