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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 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 | ||||||||
Nonqualified Stock Options | $ 1.35 | 02/14-05:00/2020 | J | 73,333 | 03/31-05:00/2016(5) | 01/07-05:00/2026 | Common Stock | 73,333 | (3) | 0 | D | ||||
Nonqualified Stock Options | $ 2.535 | 02/14-05:00/2020 | J | 100,000 | 06/30-05:00/2017(5) | 05/23-05:00/2027 | Common Stock | 100,000 | (3) | 0 | D | ||||
Nonqualified Stock Options | $ 4.3875 | 02/14-05:00/2020 | J | 266,667 | 03/31-05:00/2018(5) | 01/14-05:00/2028 | Common Stock | 266,667 | (3) | 0 | D | ||||
Nonqualified Stock Options | $ 2.02 | 02/14-05:00/2020 | J | 275,000 | 09/30-05:00/2018(5) | 07/29-05:00/2028 | Common Stock | 275,000 | (3) | 0 | D | ||||
Nonqualified Stock Options | $ 1 | 02/14-05:00/2020 | J | 1,500,000 | 12/31-05:00/2018(5) | 12/10-05:00/2028 | Common Stock | 1,500,000 | (3) | 0 | D | ||||
Nonqualified Stock Options | $ 0.585 | 02/14-05:00/2020 | J | 1,000,000 | 06/30-05:00/2019(5) | 06/19-05:00/2029 | Common Stock | 1,000,000 | (3) | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Peterson Derek 2040 MAIN STREET SUITE 225 IRVINE, CA 92614 |
X | Chief Strategy Officer |
/s/ Derek Peterson | 03/13-05:00/2020 | |
**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) | Shares of common stock of the corporation then known as OneQor Technologies, Inc. ("OneQor") were converted into shares of common stock of Terra Tech Corp. ("Terra Tech") pursuant to that certain Agreement and Plan of Merger, dated as of October 30, 2019, as amended, by and among Terra Tech, TT Merger Sub, Inc. ("Merger Sub"), OneQor, Matthew Morgan, Larry Martin, and the shareholder representative thereunder (the "Merger Agreement"). Pursuant to the terms of the Merger Agreement, each share of OneQor common stock was exchanged for 44.9762 shares of Terra Tech common stock in connection with the merger of Merger Sub into OneQor (the "Merger"). |
(2) | Received in exchange for 162,500 shares of OneQor common stock in connection with the Merger. On the effective date of the Merger, the closing price of Terra Tech's common stock was $0.16 per share. |
(3) | Under the terms of the Merger Agreement, the Reporting Person agreed to forfeit all of his stock options. |
(4) | Common Stock held in the name of the Reporting Person's spouse. |
(5) | The nonqualified stock option vests in twelve equal quarterly installments. |