FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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*
(Street)
|
2. Date of Event Requiring Statement
(Month/Day/Year) 04/21/2014 |
3. Issuer Name and Ticker or Trading Symbol
LUCAS ENERGY, INC. [ LEI ] |
|||||||||||||
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
|
5. If Amendment, Date of Original Filed
(Month/Day/Year) |
||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
|
Table I - Non-Derivative Securities Beneficially Owned | |||
---|---|---|---|
1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock, par value $0.001 per share | 1,666,666 | D(1)(3)(4)(5) | |
Common Stock, par value $0.001 per share | 1,378,168 | I(2)(3)(4)(5) | See Footnotes 2, 3, 4, and 5(2)(3)(4)(5) |
Common Stock, par value $0.001 per share | 1,300,000 | I(2)(3)(4)(5) | See Footnotes 2, 3, 4, and 5(2)(3)(4)(5) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
---|---|---|---|---|---|---|---|
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: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Warrants | 10/18/2014 | 04/21/2019 | Common Stock | 833,333 | $1 | D(1)(3)(4)(5) |
1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
| ||||||||||||||||||||||||
1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
| ||||||||||||||||||||||||
1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
| ||||||||||||||||||||||||
1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
| ||||||||||||||||||||||||
1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
|
Explanation of Responses: |
1. A. Glenn Helmers ("AGH"), who is also reporting her ownership on this Form 3, has an indirect pecuniary interest in the shares held directly by John B. Helmers ("JBH") because she is his wife. |
2. AGH is the direct beneficial owner of 100% of the ownership interests in each of the following: Condagua, LLC. ("Condagua," which directly owns 1,378,168 shares of the common stock ("Common Stock"), par value $0.001 per share of the Issuer (the "Condagua Holdings")) and Long Focus Capital, LLC ("LFC," which has a direct pecuniary interest in 1,300,000 shares of Common Stock (the "LFC Holdings")) and as such has an indirect pecuniary interest in the Common Stock held by each of LFC and Condagua. JBH has an indirect pecuniary interest in the Common Stock owned by Condagua and LFC by virtue of his marriage to AGH. Long Focus Capital Management, LLC ("LFCM," which has an indirect pecuniary interest in the 1,300,000 shares held by LFC by virtue of being the investment advisor to LCM (the "LFCM Holdings")). LFCM is owned by JBH. |
3. Condagua, which is also reporting its ownership on this Form 3, does not have a pecuniary interest in the securities owned by AGH, JBH, LFC, or LFCM and, as such, only has a direct pecuniary interest in the Condagua Holdings. |
4. LFC, which is also reporting its ownership on this Form 3, does not have a pecuniary interest in the securities owned by AGH, JBH, Condagua, or LFCM and, as such, only has a direct pecuniary interest in the LFC Holdings. |
5. LFCM, which is also reporting its ownership on this Form 3, does not have a pecuniary interest in the securities owned by AGH, JBH, or Condagua and, as such, only has a indirect pecuniary interest in the LFCM Holdings. |
John B. Helmers | 04/24/2014 | |
A. Glenn Helmers | 04/24/2014 | |
A. Glenn Helmers, as managing member of Condagua, LLC | 04/24/2014 | |
A. Glenn Helmers, as managing member of Long Focus Capital, LLC | 04/24/2014 | |
John B. Helmers as managing member of Long Focus Capital Management, LLC | 04/24/2014 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* 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). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
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 Number. |