Amended Statement of Ownership (sc 13g/a)
15 Mai 2015 - 7:16PM
Edgar (US Regulatory)
UNITED STATES
SECURITIES
AND EXCHANGE COMMISSION
Washington,
D.C. 20549
SCHEDULE 13G/A
Under the Securities
Exchange Act of 1934
(Amendment No.
4)*
EnerJex
Resources, Inc.
(Name of Issuer)
Common Stock,
par value $0.001
(Title of
Class of Securities)
292758208
(CUSIP Number)
May 4,
2015
(Date of Event
Which Requires Filing of this Statement)
Check the appropriate box to designate
the rule pursuant to which this Schedule is filed:
¨
Rule 13d-1(b)
x
Rule 13d-1(c)
¨
Rule 13d-1(d)
* The remainder
of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject
class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior
cover page.
The information
required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the
Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall
be subject to all other provisions of the Act (however, see the Notes).
CUSIP No. 292758208
1. Names
of Reporting Persons
Jeffrey Creighton
Newman, Jr.
I.R.S. Identification
Nos. of above persons (entities only)
N/A
2. Check
the Appropriate Box if a Member of a Group (See Instructions)
(a) ¨
(b) ¨
3. SEC
Use Only
4. Citizenship
or Place of Organization
Nevada
NUMBER OF SHARES |
5. |
SOLE VOTING POWER |
0 |
|
BENEFICIALLY OWNED |
6. |
SHARED VOTING POWER |
536,118 |
|
BY EACH REPORTING |
7. |
SOLE DISPOSITIVE POWER |
0 |
|
PERSON WITH: |
8. |
SHARED DISPOSITIVE POWER |
536,118 |
|
9. Aggregate
Amount Beneficially Owned by Each Reporting Person
536,118
10. Check
if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) ¨
11. Percent
of Class Represented by Amount in Row (9)
6.38%
12. Type
of Reporting Person (See Instructions)
IN
CUSIP No. 292758208
1. Names
of Reporting Persons
Jeffrey Creighton
Newman, Jr. and Adrienne Ann Newman Family Trust (2-1-04)
I.R.S. Identification
Nos. of above persons (entities only)
N/A
2. Check
the Appropriate Box if a Member of a Group (See Instructions)
(a) ¨
(b) ¨
3. SEC
Use Only
4. Citizenship
or Place of Organization
Nevada
NUMBER OF SHARES |
5. |
SOLE VOTING POWER |
0 |
|
BENEFICIALLY OWNED |
6. |
SHARED VOTING POWER |
536,118 |
|
BY EACH REPORTING |
7. |
SOLE DISPOSITIVE POWER |
0 |
|
PERSON WITH: |
8. |
SHARED DISPOSITIVE POWER |
536,118 |
|
9. Aggregate
Amount Beneficially Owned by Each Reporting Person
536,118
10. Check
if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) ¨
11. Percent
of Class Represented by Amount in Row (9)
6.38%
12. Type
of Reporting Person (See Instructions)
OO
Item 1.
| (a) | The
name of the issuer is EnerJex Resources, Inc. (the “Issuer”). |
| (b) | The principal
executive offices of the Issuer are located at 4040 Broadway, Suite 508, San Antonio
Texas 78209. |
Item 2.
| (a), (c) | This
Statement is being filed by Jeffrey Creighton Newman, Jr. and The Jeffrey Creighton Newman,
Jr. and Adrienne Ann Newman Family Trust (“Reporting Person”). |
| (b) | The
principal business office of Reporting Person is 121 Monterey Street, Bakersfield, California
93305. |
| (d) | This Statement relates to the Common
Stock, par value $0.001, of the Issuer (the “Common Stock”). |
| (e) | The CUSIP Number of the Common Stock
is 292758208. |
Item 3. If this statement is filed
pursuant to 240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:
(a) |
¨ |
Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o). |
(b) |
¨ |
Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c). |
(c) |
¨ |
Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c). |
(d) |
¨ |
Investment company registered under section 8 of the Investment Company Act of 1940 (15
U.S.C. 80a-8). |
(e) |
¨ |
An investment adviser in accordance with 240.13d-1(b)(1)(ii)(E); |
(f) |
¨ |
An employee benefit plan or endowment fund in accordance with 240.13d-1(b)(1)(ii)(F); |
(g) |
¨ |
A parent holding company or control person in accordance with 240.13d-1(b)(1)(ii)(G); |
(h) |
¨ |
A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12
U.S.C. 1813); |
(i) |
¨ |
A church plan that is excluded from the definition of an investment company under section
3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3); |
(j) |
¨ |
Group, in accordance with 240.13d-1(b)(1)(ii)(J). |
Item 4. Ownership.
Reporting Persons
beneficially own and has voting control over the 536,118 shares of Common Stock which are owned by the Jeffrey Creighton Newman,
Jr. and Adrienne Ann Newman Family Trust, of which Reporting Person is the sole trustee. See Items 5-9 and 11 on the cover page
for Filer, and Item 2, which information is given as of May 4, 2015 and is based on 8,406,661 shares as reported in the Issuer’s
Annual Report on Form 10-K for the quarterly period ended December 31, 2014.
Item 5. Ownership of Five Percent
or Less of a Class.
If this statement is being filed
to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent
of the class of securities, check the following: ¨.
Item 6. Ownership of More than
Five Percent on Behalf of Another Person.
Not applicable.
Item 7. Identification and Classification
of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company.
Not applicable.
Item 8. Identification and Classification
of Members of the Group.
Not applicable.
Item 9. Notice of Dissolution
of Group.
Not applicable.
Item 10. Certification.
| (b) | By signing
below I certify that, to the best of my knowledge and belief, the securities referred
to above were not acquired and are not held for the purpose of or with the effect of
changing or influencing the control of the issuer of the securities and were not acquired
and are not held in connection with or as a participant in any transaction having that
purpose or effect. |
SIGNATURE
After reasonable
inquiry and to the best of its knowledge and belief, the undersigned each certifies that the information with respect to it set
forth in this Statement is true, complete and correct.
Dated: May
15, 2015
By: |
|
/s/
Jeffrey Creighton Newman, Jr. |
Name: |
|
Jeffrey
Creighton Newman, Jr.,
Trustee of the Jeffrey Creighton
Newman, Jr. and Adrienne Ann
Newman Family Trust |
By: |
|
/s/ Jeffrey
Creighton Newman, Jr. |
Name: |
|
Jeffrey Creighton
Newman |
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