SEC Form 3
FORM 3 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF 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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1. Name and Address of Reporting Person*
(Street)
| 2. Date of Event Requiring Statement (Month/Day/Year) 12/07/2016 | 3. Issuer Name and Ticker or Trading Symbol TRANSATLANTIC PETROLEUM LTD. [ TAT ] | |||||||||||||
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| 5. If Amendment, Date of Original Filed (Month/Day/Year) 12/16/2016 | ||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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Explanation of Responses: |
Remarks: |
1. This amendment is solely being made to correct Footnote 20 on the Form 3 and Form 3/A dated December 7, 2016, as they shall be amended to include the date of December 7, 2016, the date of approval of the listing of the Common Shares issuable upon conversion of the Series A Preferred Shares by the NYSE MKT and Toronto Stock Exchange. 2. This statement is filed jointly on behalf of West Family Investments, Inc. (the Adviser), West Investment Holdings, LLC (WIH), Gary West and Mary West (collectively, the reporting persons). The Adviser is an investment adviser exempt from registration pursuant to 17 C.F.R. Section 275.202(a)(11)(G)-1. Pursuant to Rule 16a-1 and Instruction 5 of the Form 3, the Adviser does not beneficially own any securities listed on the Form 3 or Form 4. However, the Adviser maintains complete investment and voting power and authority with respect to all of the shares under management arrangements entered into by and between the Adviser and the direct owners of the shares (as indicated in the footnotes of the Form 3 and Form 4). WIH is a beneficial owner of greater than 10 percent of the Common Shares of the Issuer. The reporting persons disclaim beneficial ownership of all of the securities reported in Table I except to the extent of any pecuniary interest therein. |
No securities are beneficially owned. |
West Family Investments, Inc. | 10/02/2017 | |
Gary West | 10/02/2017 | |
Mary West | 10/02/2017 | |
West Investment Holdings, LLC | 10/02/2017 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (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). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
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 Number. |