144 1 plumb144-091013.htm FORM 144 FILED BY STEVEN M. PLUMB, ISSUED BY BERING EXPLORATION, INC. DATED SEPTEMBER 10, 2013 plumb144-091013.htm


 
 
UNITED STATES
OMB APPROVAL
 
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
OMB Number:3235-0101
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FORM 144
 
    SEC USE ONLY
 
NOTICE OF PROPOSED SALE OF SECURITIES
PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
DOCUMENT SEQUENCE NO.
ATTENTION:
 
 
Transmit for filing 3 copies of this form concurrently with either placing an order with a broker to execute sale or executing a sale directly with a market maker
CUSIP NUMBER
   
WORK LOCATION
 
1 (a) NAME OF ISSUER (Please type or print)
 
BERING EXPLORATION, INC.
(b) IRS IDENT. NO.
 
88-0507007
(c) S.E.C. FILE NO.
000-50541
   
1 (d) ADDRESS OF ISSUER                                 STREET                                CITY                          STATE                              ZIP CODE
(e) TELEPHONE NO.
710 N. POST OAK ROAD, SUITE 410, HOUSTON, TX 77024
AREA CODE
713
NUMBER
780-0806
 
2 (a) NAME OF PERSON FOR WHOSE ACCOUNT THE SECURITIES ARE TO BE SOLD
STEVEN M. PLUMB
(b) IRS IDENT. NO.
 
(c) RELATIONSHIP
TO ISSUER
BENEFICIAL OWNER
(d) ADDRESS STREET               CITY                  STATE         ZIP CODE
710 N. POST OAK ROAD, SUITE 410, HOUSTON, TX 77024

INSTRUCTION:  The person filing this notice should contact the issuer to obtain the I.R.S. Identification Number and the S.E.C. File Number.
 
3 (a)
(b)
SEC USE ONLY
(c)
(d)
(e)
(f)
(g)
Title of the
Class of
Securities
To Be Sold
 
Name and Address of Each Broker Through Whom the Securities are to be Offered or Each Market Maker who is Acquiring the Securities
 
Broker-Dealer
File Number
Number of Shares
or Other Units
To Be Sold
(See instr. 3(c))
Aggregate
Market
Value
(See instr. 3(d))
Number of Shares
or Other Units
Outstanding
(See instr. 3(e))
Approximate
Date of Sale
(See instr. 3(f))
(MO.  DAY  YR.)
Name of Each
Securities
Exchange
(See instr. 3(g))
COMMON STOCK
J.H. DARBIE & CO., INC.
99 WALL STREET 6TH FLOOR
NEW  YORK, NY 10005
 
JH DARBIE
683,429
47,840
22,780,967
09-11-13
OTCBB
 
 
 
 
           
 
 
 
 
           
INSTRUCTIONS:

1.
(a) Name of issuer
3.
(a) Title of the class of securities to be sold
 
(b) Issuer’s I.R.S. Identification Number
 
(b) Name and address of each broker through whom the securities are intended to be sold
 
(c) Issuer’s S.E.C. file number, if any
 
(c) Number of shares or other units to be sold (if debt securities, give the aggregate face amount)
 
(d) Issuer’s address, including zip code
 
(d) Aggregate market value of the securities to be sold as of a specified date within 10 days prior to the filing of this notice
 
(e) Issuer’s telephone number, including area code
 
(e) Number of shares or other units of the class outstanding, or if debt securities the face amount thereof outstanding, as shown by the most recent report or statement published by the issuer
2.
(a) Name of person for whose account the securities are to be sold
 
(f) Approximate date on which the securities are to be sold
 
(b) Such person’s I.R.S. identification number, if such person is an entity
 
(g) Name of each securities exchange, if any, on which the securities are intended to be sold
 
(c) Such person’s relationship to the issuer (e.g., officer, director, 10% stockholder, or member of immediate family of any of the foregoing)
   
 
(d) Such person’s address, including zip code
   
 
Potential persons who are to 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.
 
 

 
 
TABLE I - SECURITIES TO BE SOLD
Furnish the following information with respect to the acquisition of the securities to be sold
and with respect to the payment of all or any part of the purchase price or other consideration therefor:
Title of
the Class
Date you Acquired
Nature of Acquisition Transaction
Name of Person from Whom Acquired
(If gift, also give date donor acquired)
Amount of
Securities Acquired
Date of
Payment
Nature of Payment
COMMON STOCK
1/11/13
EXERCISE OF STOCK OPTION
BERING EXPLORATION, INC.
165,517
1/11/13
CASHLESS EXERCISE
 
 
COMMON STOCK 4/18/13
EXERCISE OF STOCK OPTION
BERING EXPLORATION, INC.
395,652 4/18/13
 
 
 
 
 
 
 
             
 
INSTRUCTIONS:   1. If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.   2.
If within two years after the acquisition of the securities the person for whose account they are to be sold had any short positions, put or other option to dispose of securities referred to in paragraph (d)(3) of Rule 144, furnish full information with respect thereto.
 
 
TABLE II - SECURITIES SOLD DURING THE PAST 3 MONTHS
Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.
 
Name and Address of Seller
 
Title of Securities Sold
 
Date of Sale
Amount of
Securities Sold
 
Gross Proceeds
VASHB GROUP, LLC, 710 N. POST OAK RD, STE 410, HOUSTON, TX 77024
  COMMON STOCK 6/17/13 3,500
587.99
 
VASHB GROUP, LLC, 710 N. POST OAK RD, STE 410, HOUSTON, TX 77024
 
   COMMON STOCK 6/27/13 2,525
411.99
 
VASHB GROUP, LLC, 710 N. POST OAK RD, STE 410, HOUSTON, TX 77024
   COMMON STOCK 7/3/13 3,500
507.44
 
VASHB GROUP, LLC, 710 N. POST OAK RD, STE 410, HOUSTON, TX 77024
   COMMON STOCK 7/5/13 3,850
604.73
 
VASHB GROUP, LLC, 710 N. POST OAK RD, STE 410, HOUSTON, TX 77024
   COMMON STOCK 7/8/13 3,500
550.84
 
VASHB GROUP, LLC, 710 N. POST OAK RD, STE 410, HOUSTON, TX 77024
   COMMON STOCK 7/9/13 3,500
567.99
 
VASHB GROUP, LLC, 710 N. POST OAK RD, STE 410, HOUSTON, TX 77024
   COMMON STOCK 7/11/13 3,500
497.99
 
VASHB GROUP, LLC, 710 N. POST OAK RD, STE 410, HOUSTON, TX 77024
   COMMON STOCK 7/12/13 3,850
526.99
 
VASHB GROUP, LLC, 710 N. POST OAK RD, STE 410, HOUSTON, TX 77024
 
   COMMON STOCK 7/15/13 3,700 488.99
VASHB GROUP, LLC, 710 N. POST OAK RD, STE 410, HOUSTON, TX 77024
 
   COMMON STOCK 7/16/13 3,600  479.59
VASHB GROUP, LLC, 710 N. POST OAK RD, STE 410, HOUSTON, TX 77024
 
   COMMON STOCK 7/17/13  3,000  427.99
VASHB GROUP, LLC, 710 N. POST OAK RD, STE 410, HOUSTON, TX 77024
 
   COMMON STOCK 7/18/13  3,600  475.99
VASHB GROUP, LLC, 710 N. POST OAK RD, STE 410, HOUSTON, TX 77024
 
   COMMON STOCK 7/19/13  3,600  443.59
VASHB GROUP, LLC, 710 N. POST OAK RD, STE 410, HOUSTON, TX 77024
   COMMON STOCK 7/22/13  3,900  397.99
 
 
 
 

 
REMARKS:
ATTENTION:  Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)

INSTRUCTIONS:
See the definition of “person” in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.
 
ATTENTION:
The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed.
     
9/10/13                                     /s/ Steven M. Plumb                                   
DATE OF NOTICE   (SIGNATURE)
 
The notice shall be signed by the person for whose account the securities are to be sold.  At least one copy of the notice shall be manually signed. 
Any copies not manually signed shall bear typed or printed signatures.