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As Of Filer Filing For·On·As Docs:Size Issuer Agent 5/12/09 Vertex Energy Inc. SC 13D 1:59K Vertex Energy Inc. Vasquez Alyssa/FA |
Document/Exhibit Description Pages Size 1: SC 13D General Statement of Beneficial Ownership HTML 40K
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| 1 |
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Names
of Reporting Persons.
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I.R.S.
Identification Nos. of above persons (entities only).
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Chris
Carlson
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| 2 |
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Check
the Appropriate Box if a Member of a Group
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(a)[
]
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(b)[
]
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| 3 |
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SEC
Use Only
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| 4 |
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Source
of Funds
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OO
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| 5 |
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Check
if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or
2(e)
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[
]
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| 6 |
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Citizenship
or Place of Organization
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USA
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| 7
| Sole Voting Power (see Item 3 and Item 5 below)
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293,244
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Number
of
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Shares
Bene-
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ficially
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| 8
| Shares Voting Power
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Owned
by Each
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0
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Reporting
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Person
With
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| 9
| Sole Dispositive Power
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(a)
Shares of common stock: 293,244
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(b)
Shares of common stock issuable in connection with the exercise of
warrants and options (described below under Item 3):
181,278
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10 | Shared Dispositive Power
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N/A
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| 11 |
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Aggregate
Amount Beneficially Owned by Each Reporting Person (see Item
3)
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(a)
Total shares (not including those described in Section 11(b)):
293,244
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(b)
Total shares of common stock issuable in connection with the exercise of
warrants and options: 181,278
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| 12 |
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Check
if the Aggregate Amount in Row (11) Excludes Certain
Shares
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N/A
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| 13 |
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Percent
of Class Represented by Amount in Row (11) (see Item 3 and Item
5)
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Common
stock (including warrants and options described in Section 11(b) above)
which the Reporting Person is able to vote based on all voting shares
outstanding: 3.60%, and based only on the common stock outstanding:
5.62%
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| 14 |
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Type
of Reporting Person
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IN
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(a)
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the
acquisition by persons of additional securities of the Company, or the
disposition of securities of the
Company;
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(b)
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a
reorganization involving the
Company;
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(c)
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a
sale or transfer of a material amount of assets of the Company or any of
its subsidiaries;
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(d)
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a
change in the present board of directors and management of the Company,
including plans or proposals to change the number or term of directors or
to fill any existing vacancies on the
board;
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(e)
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a
material change in the present capitalization or dividend policy of the
Company;
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(f)
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other
material changes in the Company’s business or corporate
structure;
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(g)
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changes
in the Company’s charter, bylaws or instruments corresponding thereto or
other actions which may impede the acquisition of control of the Company
by any person;
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(h)
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causing
a class of securities of the Company to be delisted from a national
securities exchange or cease to be authorized to be quoted in an
inter-dealer quotation system of a registered national securities
association;
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(i)
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a
class of equity securities of the Company becoming eligible for
termination of registration pursuant to Section 12(g)(4) of the Securities
Exchange Act of 1934; or
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(j)
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any
action similar to any of those enumerated in (h) through (i),
above.
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(a)
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Mr.
Carlson beneficially owns 293,244 shares of common stock and warrants and
options to purchase an aggregate of 181,278 shares of the Company’s common
stock (of which 105,000 options have not yet vested to Mr. Carlson)
representing 3.6% of the Company’s total voting shares, which includes
8,261,659 shares of common stock and 4,726,443 shares of Series A
preferred stock issued and outstanding, which can each vote one share of
common stock, and 5.62% of the Company’s outstanding common stock, based
on the 8,261,659 shares of the Company’s common stock outstanding as of
the date of this report.
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(b)
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Mr.
Carlson holds the rights to vote 293,244 shares of common stock
representing 3.6% of the Company’s total voting shares, which includes
8,261,659 shares of common stock and 4,726,443 shares of Series A
preferred stock issued and outstanding, which can each vote one share of
common stock, and 5.62% of the Company’s outstanding common stock, based
on the 8,261,659 shares of the Company’s common stock outstanding as of
the date of this report.
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(c)
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See
Item 3, above.
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(d)
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No
other person has the right to receive or the power to direct the receipt
of dividends from or the proceeds from the sale of the 293,244 shares of
common stock or the 181,278 warrants and options beneficially owned by Mr.
Carlson.
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(e)
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N/A
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Item
6. Contracts, Arrangements, Understanding or Relationships with Respect to
Securities of the Issuer
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None.
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None.
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By:
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/s/ Chris Carlson
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Chris
Carlson
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| This ‘SC 13D’ Filing | Date | Other Filings | ||
|---|---|---|---|---|
 | ||||
| 5/15/09 | 10-Q, 3, SC 13D | |||
| Filed on: | 5/12/09 | 3, SC 13D | ||
| 4/16/09 | 3, 8-K/A | |||
| 5/19/08 | ||||
| 5/16/08 | ||||
| List all Filings | ||||