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SYRG > SEC Filings for SYRG > Form 8-K on 3-Jan-2014All Recent SEC Filings

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Form 8-K for SYNERGY RESOURCES CORP


3-Jan-2014

Unregistered Sale of Equity Securities


Item 3.02. Unregistered Sales of Equity Securities

On December 30, 2013, the Company issued:

o 15,883 shares of its restricted common stock to George Seward, a director of the Company, in consideration for his assistance in obtaining oil and gas leases for the Company; and

o 14,201 shares of its restricted common stock to two persons in consideration for their assistance in obtaining oil and gas leases for the Company;

The shares of common stock described above were not registered under the Securities Act of 1933 and are restricted securities. The Company relied upon the exemption provided by Section 4(2) of the Securities Act of 1933 in connection with the issuance of these shares. The persons who acquired these shares were sophisticated investors and were provided full information regarding the Company's business and operations. There was no general solicitation in connection with the offer or sale of these securities. The persons who acquired these shares acquired them for their own accounts. The certificates representing these shares will bear a restricted legend providing that they cannot be sold except pursuant to an effective registration statement or an exemption from registration. No commission was paid to any person in connection with the issuance of these shares.

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