0001010549-22-000136.txt : 20220513 0001010549-22-000136.hdr.sgml : 20220513 20220513143542 ACCESSION NUMBER: 0001010549-22-000136 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220512 FILED AS OF DATE: 20220513 DATE AS OF CHANGE: 20220513 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CARROLL JONATHAN P CENTRAL INDEX KEY: 0001284154 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-15905 FILM NUMBER: 22921961 MAIL ADDRESS: STREET 1: 4265 SAN FELIPE STREET 2: 8TH FLOOR CITY: HOUSTON STATE: TX ZIP: 77027 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: BLUE DOLPHIN ENERGY CO CENTRAL INDEX KEY: 0000793306 STANDARD INDUSTRIAL CLASSIFICATION: CRUDE PETROLEUM & NATURAL GAS [1311] IRS NUMBER: 731268729 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 801 TRAVIS SUITE 2100 CITY: HOUSTON STATE: TX ZIP: 77002-5729 BUSINESS PHONE: 7132-568-4725 MAIL ADDRESS: STREET 1: 801 TRAVIS SUITE 2100 CITY: HOUSTON STATE: TX ZIP: 77002-5729 FORMER COMPANY: FORMER CONFORMED NAME: MUSTANG RESOURCES CORP DATE OF NAME CHANGE: 19900122 FORMER COMPANY: FORMER CONFORMED NAME: ZIM ENERGY CORP DATE OF NAME CHANGE: 19870921 4 1 ownership.xml X0306 4 2022-05-12 0 0000793306 BLUE DOLPHIN ENERGY CO BDCO 0001284154 CARROLL JONATHAN P C/O BLUE DOLPHIN ENERGY COMPANY 801 TRAVIS STREET, SUITE 2100 HOUSTON TX 77002 1 1 1 0 CEO & President Common Stock 2022-05-12 4 A 0 1853080 0.42 A 3772840 D Represents payment to Mr. Carroll of the common stock component under Amended and Restated Guaranty Fee Agreements dated April 1, 2017 between Mr. Carroll and Lazarus Energy, LLC and Lazarus Refining & Marketing, LLC for the monthly periods April 2020 through March 2022. Lazarus Capital, LLC assigned its right to receive the shares of common stock to Mr. Carroll, as its sole member. The number of shares of common stock issued was determined based on the preceding 30-day average closing price of Blue Dolphin's common stock on the last day of each applicable monthly period. The average was $0.42, the low was $0.27, and the high was $0.64. Mr. Carroll also indirectly owns 8,426,456 shares of common stock through his ownership interest in Lazarus Energy Holdings, LLC. /s/ Jonathan P. Carroll 2022-05-13