SEC Form 3
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
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1. Name and Address of Reporting Person*
ROCKE DAVID MICHAEL

(Last) (First) (Middle)
1327 OCEAN AVE STE B

(Street)
SANTA MONICA CA 90401

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
11/22/2019
3. Issuer Name and Ticker or Trading Symbol
ENIGMA-BULWARK, LTD [ PTSS ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director X 10% Owner
Officer (give title below) Other (specify below)
5. If Amendment, Date of Original Filed (Month/Day/Year)
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 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(1) 507,500 I By Leafy Lane Ltd.
COMMON STOCK(2) 6,667,000 I By Leafy Lane Ltd.
COMMON STOCK(3) 2,864,620 I By Leafy Lane Ltd.
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
STOCK OPTIONS 11/15/2019 05/15/2024 COMMON STOCK 286,462 $0.005 I By Leafy Lane Ltd.
STOCK OPTIONS 02/15/2020 05/15/2024 COMMON STOCK 286,462 $0.005 I By Leafy Lane Ltd.
STOCK OPTIONS (4) 05/15/2024 COMMON STOCK 1,168,769 $0.005 I By Leafy Lane Ltd.
STOCK OPTIONS (5) 05/15/2024 COMMON STOCK 2,268,780 $0.005 I By Leafy Lane Ltd.
Explanation of Responses:
1. Acquired in connection with Intellectual Property Agreement dated October 11, 2018, and effective October 7, 2019
2. Acquired in connection with Common Stock Purchase Agreement dated August 28, 2019, and effective November 22, 2019
3. Acquired through exercise of vested stock options, pursuant to Stock Option Agreement dated May 15, 2019.
4. Stock Options vest upon receipt by Enigma-Bulwark Ltd. of $500,000 in an equity or bridge financing.
5. Stock Options vest upon receipt by Enigma-Bulwark Ltd. of $3,000,000 in an equity or bridge financing (or such lesser amount as the Optionee and Enigma may agree)
DAVID ROCKE 11/27/2019
** 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.