Friday, June 20, 2014 4:37:21 PM
Amended Statement of Changes in Beneficial Ownership (4/a)
Alert
FORM 4
[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
1. Name and Address of Reporting Person *
BARER SOL J 2. Issuer Name and Ticker or Trading Symbol
RestorGenex Corp [ RESX ] 5. Relationship of Reporting Person(s) to Issuer (Check all applicable)
__ X __ Director __ X __ 10% Owner
__ X __ Officer (give title below) _____ Other (specify below)
Chairman of the Board
(Last) (First) (Middle)
1800 CENTURY PARK EAST, 6TH FLOOR 3. Date of Earliest Transaction (MM/DD/YYYY)
6/6/2014
(Street)
LOS ANGELES, CA 90067
(City) (State) (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)
6/10/2014
6. Individual or Joint/Group Filing (Check Applicable Line)
_ X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3) 2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8) 4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 6/6/2014 C 270616 A $2 (1) 728950 (5) D
Common Stock 6/6/2014 C 78473 A $2 (2) 807423 (5) D
Common Stock 6/6/2014 C 76755 A $2 (3) 884178 (5) D
Common Stock 6/6/2014 C 126894 A $2 (4) 1011072 (5) D
Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Trans. Date 3A. Deemed Execution Date, if any 4. Trans. Code
(Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date 7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4) 8. Price of Derivative Security
(Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Explanation of Responses:
( 1) Conversion of Secured Convertible Promissory Note dated August 9, 2013 in compliance with terms of such note whereby principal and interest ($541,233) were to be converted into common stock at 50% of the purchase price and warrants at 150% upon a financing by the Issuer. The Issuer's May financing sold the stock at $4.00 per share with 30% warrant coverage.
( 2) Conversion of Secured Convertible Promissory Note dated December 19, 2013 in compliance with terms of such note whereby principal and interest ($156,945) were to be converted into common stock at 50% of the purchase price upon a financing by the Issuer. The Issuer's May financing sold the stock at $4.00 per share.
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