- Statement of Changes in Beneficial Ownership (4)
November 10 2009 - 1:21PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public
Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
ANDREEFF DANE
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2. Issuer Name
and
Ticker or Trading Symbol
GEOKINETICS INC
[
GOK
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
__
X
__ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
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(Last)
(First)
(Middle)
140 E. ST. LUCIA LANE
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3. Date of Earliest Transaction
(MM/DD/YYYY)
11/6/2009
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(Street)
SANTA ROSA BEACH, FL 32459
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
___ Form filed by One Reporting Person
_
X
_ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock
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11/6/2009
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S
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32496
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D
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$13.03
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1432764
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I
(1)
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See Footnote
(1)
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Common Stock
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11/6/2009
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S
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23354
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D
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$13.03
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1409410
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I
(2)
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See Footnote
(2)
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Explanation of Responses:
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(
1)
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This transaction was made by a fund that is not, itself, a 10% owner of the issuer's securities. Andreeff Equity Advisors,
L.L.C., the fund's Investment Adviser, and Dane Andreeff, the Managing Member of both the fund's General Partner and the
fund's Investment Adviser, are reporting this transaction because they each may be deemed indirect beneficial owners of 10%
or more of the issuer's securities, in the aggregate, including immediately exercisable warrants. The reporting persons
disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interest
therein.
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(
2)
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This transaction was made by a fund that is not, itself, a 10% owner of the issuer's securities. The fund's Director, Dane
Andreeff, and the fund's Investment Adviser, Andreeff Equity Advisors, L.L.C., are reporting this transaction because they
each may be deemed an indirect beneficial owner of 10% or more of the issuer's securities, in the aggregate. The reporting
persons disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interest
therein.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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ANDREEFF DANE
140 E. ST. LUCIA LANE
SANTA ROSA BEACH, FL 32459
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X
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ANDREEFF EQUITY ADVISORS, LLC
140 E. ST. LUCIA LANE
SANTA ROSA BEACH, FL 32459
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X
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Signatures
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/s/ Dane Andreeff
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11/10/2009
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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 control number.
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