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Alpha Capital Anstalt – ‘SC 13G’ on 3/16/15 re: AgEagle Aerial Systems Inc.

On:  Monday, 3/16/15, at 11:57am ET   ·   Accession #:  1213900-15-1795   ·   File #:  5-82806

Previous ‘SC 13G’:  ‘SC 13G’ on 2/26/15   ·   Next:  ‘SC 13G’ on 4/22/15   ·   Latest:  ‘SC 13G’ on 3/18/24

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  As Of                Filer                Filing    For·On·As Docs:Size              Issuer               Agent

 3/16/15  Alpha Capital Anstalt             SC 13G                 1:27K  AgEagle Aerial Systems Inc.       Edgar Agents LLC/FA

Statement of Beneficial Ownership   —   Sch. 13G
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: SC 13G      Statement of Beneficial Ownership                   HTML     15K 


This is an HTML Document rendered as filed.  [ Alternative Formats ]



 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D.C. 20549

 

SCHEDULE 13G

 

UNDER THE SECURITIES EXCHANGE ACT OF 1934

(AMENDMENT NO. __)

 

 

ENERJEX RESOURCES, INC.


(Name of Issuer)

 

 

 

COMMON STOCK, PAR VALUE $0.001


 (Title of Class of Securities)

 

 

292758208


(CUSIP Number)

 

 

 Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [X] Rule 13d-1(c)

 

 

*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).

 

  

(Continued on following page(s)

 

Page 1 of 4 Pages

 

 C: 
 
 

  


CUSIP No. 292758208      13G Page 2 of 4 Pages


  

1. NAMES OF REPORTING PERSON

S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON

 

Alpha Capital Anstalt


2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP:

(a) ☐

(b) ☐


3. SEC USE ONLY

 


4. CITIZENSHIP OR PLACE OF ORGANIZATION

 

Liechtenstein 


5. SOLE VOTING POWER, NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON –

                 832,259 Common Stock 

 


6. SHARED VOTING POWER - None

 


7. SOLE DISPOSITIVE POWER – 832,259 shares of Common Stock

 


8. SHARED DISPOSITIVE POWER – None

 


9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON -

                  832,259 shares of Common Stock

 


10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES

CERTAIN SHARES ☒

 

The aggregate amount in Row 9 represents the maximum amount of shares that Alpha Capital Anstalt can beneficially control under a contractually stipulated 9.9% ownership restriction. The full conversion/exercise of Alpha Capital Anstalt’s securities would exceed this restriction.


11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9

 

9.9% 


 

12. TYPE OF REPORTING PERSON

 

CO

 

 C: 
 
 

 


CUSIP No. 292758208      13G Page 3 of 4 Pages


 

ITEM 1 (a) NAME OF ISSUER: EnerJex Resources, Inc.

 

ITEM 1 (b) ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES:

 

4040 Broadway, Suite 508, San Antonio, Texas 78209

 

ITEM 2 (a) NAME OF PERSON FILING: Alpha Capital Anstalt

 

ITEM 2 (b) ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE:

 

Pradafant 7, Furstentums 9490, Vaduz, Liechtenstein

 

ITEM 2 (c) CITIZENSHIP: Liechtenstein

 

ITEM 2 (d) TITLE OF CLASS OF SECURITIES: Common Stock, par value $0.001

 

ITEM 2 (e) CUSIP NUMBER: 292758208

 

ITEM 3 IF THIS STATEMENT IS FILED PURSUANT TO RULE 13D-1(B) OR 13D-2(B): Not applicable

 

ITEM 4 OWNERSHIP

 

(a) AMOUNT BENEFICIALLY OWNED: 832,259 Shares of Common Stock

 

(b) PERCENT OF CLASS: 9.9%

 

(c) NUMBER OF SHARES AS TO WHICH SUCH PERSON HAS:

 

(i) SOLE POWER TO VOTE OR DIRECT THE VOTE

 

832,259 Shares

 

(ii) SHARED POWER TO VOTE OR DIRECT THE VOTE

 

0 Shares

 

(iii) SOLE POWER TO DISPOSE OR TO DIRECT THE DISPOSITION OF

 

832,259 Shares

 

(iv) SHARED POWER TO DISPOSE OR TO DIRECT THE DISPOSITION OF

 

0 Shares

 

 C: 
 
 

 


CUSIP No. 292758208      13G Page 4 of 4 Pages


 

ITEM 5 OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS

 

              Not applicable

 

 

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 A GROUP

 

Not applicable

 

ITEM 9 NOTICE OF DISSOLUTION OF GROUP

 

Not applicable

 

 

 

SIGNATURE

 

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

 

March 12, 2015                        

(Date)

 

/s/ Konrad Ackerman               

(Signature)

 

Konrad Ackerman, Director    

(Name/Title)

 



Dates Referenced Herein   and   Documents Incorporated by Reference

This ‘SC 13G’ Filing    Date    Other Filings
Filed on:3/16/15
3/12/15424B5
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Filing Submission 0001213900-15-001795   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)

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