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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 | ||||||||
Series B Convertible Preferred Stock (1) | $ 1.65 | 08/27/2015 | M | 1,500 | (2) | (3) | Common Stock | 909,091 (4) | $ 0 | 0 | I | Robert C. Kopple as Trustee for the E.L. II Properties Trust Dated 7 /1/1983 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Kopple Robert C. 10866 WILSHIRE BLVD., SUITE 1500 LOS ANGELES, CA 90024 |
X |
/s/ Robert C. Kopple | 08/31/2015 | |
**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) | On August 27, 2015, Comstock Mining Inc. forced the conversion of all outstanding shares of convertible preferred stock upon receiving approval from a majority of the holders thereof. In addition, a special dividend of 127 common shares per share of preferred stock was declared. |
(2) | Exercisable at any time by the reporting person upon conversion of preferred shares. |
(3) | No expiration date. |
(4) | 1,500 shares of Series B Convertible Preferred Stock were convertible into 909,091 shares of Common Stock. |