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OOIL > SEC Filings for OOIL > Form 8-K on 7-Nov-2013All Recent SEC Filings

Show all filings for ORIGINOIL INC

Form 8-K for ORIGINOIL INC


7-Nov-2013

Unregistered Sale of Equity Securities


Item 3.02 Unregistered Sales of Equity Securities.

Conversion of Notes

Between October 4, 2013 and November 1, 2013, holders of convertible promissory notes converted an aggregate principal and interest amount of $450,953 into an aggregate of 3,985,990 shares of the common stock of OriginOil, Inc. (the "Company").

The securities above were offered and sold pursuant to an exemption from the registration requirements under Section 4(2) of the Securities Act of 1933, as amended (the "Securities Act") since, among other things, the transactions did not involve a public offering.

Warrant Exercises

On October 23, 2013, a holder of a warrant to purchase up to an aggregate of 38,462 shares of the Company's common stock at an exercise price of $0.25 per share delivered a notice of election to exercise the warrant on a cash basis resulting in the issuance of 37,462 shares of the Company's common stock for an aggregate purchase price of $9,366.

The securities above were offered and sold pursuant to an exemption from the registration requirements under Section 4(2) of the Securities Act and Rule 506 of Regulation D promulgated thereunder since, among other things, the transactions did not involve a public offering and the securities were acquired for investment purposes only and not with a view to or for sale in connection with any distribution thereof.


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