UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
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. |
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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Beatty Sheri L 59 WESTPOINT COURT SW CALGARY, A0 T3H 4M7 |
 |  |  | Member of 10% owner group |
Seismic Management, LLP 59 WESTPOINT COURT SW CALGARY, A0 T3H 4M7 |
 |  |  | Member of 10% owner group |
Seismic Management Holdings, Inc. 59 WESTPOINT COURT SW CALGARY, A0 T3H 4M7 |
 |  |  | Member of 10% owner group |
/s/ Sheri L. Beatty | 07/10/2013 | |
**Signature of Reporting Person | Date | |
/s/ Brian A. Beatty, Seismic Management, LLP | 07/10/2013 | |
**Signature of Reporting Person | Date | |
/s/ Brian A. Beatty, Seismic Management Holdings, Inc. | 07/10/2013 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | Represents 1,196,846 shares of Common Stock held directly by Seismic Management Holdings, Inc. ("Seismic Holdings") received in exchange for 210,000 shares of common stock of the entity formerly known as SAExploration Holdings, Inc. ("Former SAE") upon the consummation of a merger transaction involving the Issuer, formerly known as Trio Merger Corp., pursuant to which Former SAE merged with and into a wholly-owned subsidiary of the Issuer. |
(2) | Seismic Holdings is a corporation formed under the laws of the Province of Alberta, Canada, and is wholly owned by Seismic Management, LLP ("Seismic LLP"), which is an Alaska limited liability partnership controlled by Sheri L. Beatty ("Mrs. Beatty") and her husband, Brian A. Beatty ("Mr. Beatty"). |
(3) | Mrs. Beatty, Mr. Betty, Seismic Holdings and Seismic LLP are each a member of a "group" with Jeff Hastings ("Mr. Hastings"), CLCH, LLC ("CLCH") and Brent Whiteley ("Mr. Whiteley") for purposes of Section 13(d) of the Exchange Act. |
(4) | CLCH, both directly and indirectly, and Mr. Hastings, indirectly, own these shares (the "CLCH Shares"). Mrs. Beatty, Mr. Betty, Seismic Holdings and Seismic LLP have a beneficial ownership interest in the CLCH Shares through their group membership. |
(5) | Mr. Whiteley directly owns these shares (the "Whiteley Shares"). Mrs. Beatty, Mr. Betty, Seismic Holdings and Seismic LLP have a beneficial ownership interest in the Whiteley Shares through their group membership. |