Statement of Changes in Beneficial Ownership (4)
29 Juni 2023 - 1:48AM
Edgar (US Regulatory)
FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
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0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
SCHOONOVER JAMES A |
2. Issuer Name and Ticker or Trading Symbol
HOUSTON AMERICAN ENERGY CORP
[
HUSA
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
1770 COUNTY ROAD H2 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
6/27/2023 |
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(Street)
WHITE BEAR TOWNSHIP, MN 55110 |
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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(City)
(State)
(Zip)
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Rule 10b5-1(c) Transaction Indication
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Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan that is intended to
satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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| Common Stock | | | | | | | | 172976 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 7. Title and Amount of Securities Underlying Derivative Security
(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) |
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Stock Option (Right to Buy) | $3.338 | | | | | | | 10/13/2018 | 4/13/2028 | Common Stock | 666 | | 666 | D | |
| Stock Option (Right to Buy) | $3.031 | | | | | | | 12/5/2018 | 6/5/2028 | Common Stock | 4000 | | 4000 | D | |
| Stock Option (Right to Buy) | $2.706 | | | | | | | 6/13/2020 | 6/13/2029 | Common Stock | 40000 | | 40000 | D | |
| Warrant | $2.463 | | | | | | | 9/18/2019 | 9/18/2029 | Common Stock | 46400 | | 46400 | D | |
| Stock Option (Right to Buy) | $1.45 | | | | | | | 11/11/2020 | 11/10/2030 | Common Stock | 150000 | | 150000 | D | |
| Stock Option (Right to Buy) | $1.77 | | | | | | | 1/22/2022 | 7/22/2031 | Common Stock | 20000 | | 20000 | D | |
| Stock Option (Right to Buy) | $3.91 | | | | | | | 4/20/2023 | 9/20/2032 | Common Stock | 20000 | | 20000 | D | |
| Stock Option (Right to Buy) | $2.09 | 6/27/2023 | | A | | 20000 | | 12/27/2023 (1) | 6/27/2033 | Common Stock | 20000 | $0 | 20000 | D | |
| Explanation of Responses: |
| (1) | The options were granted on June 27, 2023 and are exercisable six months from the date of grant, subject to vesting. The option vests 20% on the date of grant and 80% nine months from the date of grant. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
SCHOONOVER JAMES A
1770 COUNTY ROAD H2
WHITE BEAR TOWNSHIP, MN 55110 | X |
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Signatures
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| James Schoonover | | 6/28/2023 |
| **Signature of Reporting Person | Date |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
| * | 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). |
| Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
| 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. |
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