0001116045-11-000005.txt : 20111115 0001116045-11-000005.hdr.sgml : 20111115 20111115165319 ACCESSION NUMBER: 0001116045-11-000005 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20111114 FILED AS OF DATE: 20111115 DATE AS OF CHANGE: 20111115 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Smith Kevin CENTRAL INDEX KEY: 0001350050 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35241 FILM NUMBER: 111207790 MAIL ADDRESS: STREET 1: 2000 S DAIRY ASHFORD STREET 2: SUITE 310 CITY: HOUSTON STATE: TX ZIP: 77077 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: SARATOGA RESOURCES INC /TX CENTRAL INDEX KEY: 0001096339 STANDARD INDUSTRIAL CLASSIFICATION: OIL AND GAS FIELD EXPLORATION SERVICES [1382] IRS NUMBER: 760314489 STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 7500 SAN FELIPE STREET 2: SUITE 675 CITY: HOUSTON STATE: TX ZIP: 77063 BUSINESS PHONE: 7139148017 MAIL ADDRESS: STREET 1: 7500 SAN FELIPE STREET 2: SUITE 675 CITY: HOUSTON STATE: TX ZIP: 77063 4 1 primary_doc.xml PRIMARY DOCUMENT X0304 4 2011-11-14 0 0001096339 SARATOGA RESOURCES INC /TX SARA 0001350050 Smith Kevin 14003 CHERRY MOUND ROAD HOUSTON TX 77077 1 0 0 0 Common Stock 2011-11-14 4 S 0 2000 4.675 D 197473 D Common Stock 2011-11-14 4 S 0 4000 4.59 D 193473 D Common Stock 20000 I By spouse Stock Option (Right to Buy) 0.36 2009-03-12 2019-03-12 Common Stock 25000 25000 D Stock Option (Right to Buy) 3 2010-04-14 2020-04-14 Common Stock 25000 25000 D Stock Option (Right to Buy) 3.05 2011-03-08 2021-03-08 Common Stock 35000 35000 D Beneficial ownership is disclaimed by Mr. Smith. Options vest 50% on grant, March 8, 2011, and 50% on first anniversary of grant. Michael Sanders, Attorney in Fact 2011-11-15