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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT 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 1474 (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 Following Reported Transaction(s) (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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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Option to acquire common stock | $ 1.3 | (9) | 02/04/2010 | Common Stock | 82,500 | 82,500 | D | ||||||||
Option to acquire common stock | $ 0.29 | (9) | 02/04/2010 | Common Stock | 75,000 | 75,000 | D | ||||||||
Option to acquire common stock | $ 5.4375 | (10) | 11/27/2005 | Common Stock | 45,000 | 45,000 | D | ||||||||
Option to acquire common stock | $ 1.65 | (11) | 04/12/2007 | Common Stock | 45,000 | 45,000 | D | ||||||||
Option to acquire common stock | $ 0.46 | (12) | 09/09/2008 | Common Stock | 50,000 | 50,000 | D | ||||||||
Option to acquire common stock | $ 0.92 | (13) | 08/27/2011 | Common Stock | 45,000 | 45,000 | D | ||||||||
Option to acquire common stock | $ 0.92 | (14) | 08/27/2009 | Common Stock | 40,000 | 40,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
BERRY KENNETH R JR 1675 BROADWAY, SUITE 2450 DENVER, CO 80202 |
Vice President of Land |
/s/ Kenneth Berry | 10/04/2005 | |
**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) | These securities are owned by Estancia Corporation. The Reporting Person owns all the outstanding equity interests in this corporation. |
(2) | These securities are owned by the Reporting Person's IRA. |
(3) | These securities are owned by the Kenneth R. Berry, Jr. and Leslie A. Berry Trust. The Reporting Person is a Trustee and Beneficiary of this Trust. |
(4) | These securities are beneficially owned by the Reporting Person's minor daughter. The Reporting Person disclaims beneficial ownership of these securities. |
(5) | These securities are beneficially owned by the Reporting Person's minor daughter's IRA. The Reporting Person disclaims beneficial ownership of these securities. |
(6) | These securities are beneficially owned by the Reporting Person's spouse's IRA. The Reporting Person disclaims beneficial ownership of these securities. |
(7) | These securities are beneficially owned by the Reporting Person's spouse's additional IRA. The Reporting Person disclaims beneficial ownership of these securities. |
(8) | These securities are beneficially owned by the Leslie A. Berry and Kenneth R. Berry, Jr. Trust. The Reporting Person is a Trustee and Beneficiary of this Trust. |
(9) | Options to purchase one-third of these shares are exercisable on each of February 5, 2004, 2005 and 2006. |
(10) | Options to purchase one-third of these shares became exercisable on each of November 27, 2001, 2002 and 2003. |
(11) | Options to purchase one-third of these shares became exercisable on April 12, 2003, and options to purchase one-third of these shares become exercisable on each of April 12, 2004 and 2005. |
(12) | Currently exercisable. |
(13) | Options to purchase one-third of these shares became exercisable on August 26, 2005, and options to purchase one-third of these shares become exercisable on each of August 26, 2006 and 2007. |
(14) | Currently exercisable. |