UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

SCHEDULE 13D

Under the Securities Exchange Act of 1934

 

 

EMPIRE PETROLEUM CORPORATION

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(Name of Issuer)

 

Common Stock, par value $0.001 per share

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(Title of Class of Securities)

 

030910 20 2

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(CUSIP Number)

 

Michael Morrisett

Empire Petroleum Corporation

2651 E 21st Street, Suite 310

Tulsa, OK 74114

(539-444-8002)

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(Name, Address and Telephone Number of Person Authorized to

Receive Notices and Communication)

 

December 23, 2016

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(Date of Event which Requires Filing of this Statement)

 

 

If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of §§240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box.  

Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits.  See §240.13d-7 for other parties to whom copies are to be sent.

* The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.

The information required on the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provision of the Act (however, see the Notes.)

 

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CUSIP NO. 030910 20 2

13D

Page 2 of 4 pages

 

1	NAMES OF REPORTING PERSONS
	Tony Kamin
2	CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP			(a)	☒
				(b)	☐
3	SEC USE ONLY
4	SOURCE OF FUNDS (SEE INSTRUCTIONS)
	PF
5	CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)				☐
6	CITIZENSHIP OR PLACE OF ORGANIZATION
	United States of America
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH		7	SOLE VOTING POWER
			704,304
		8	SHARED VOTING POWER
			0
		9	SOLE DISPOSITIVE POWER
			704,304
		10	SHARED DISPOSITIVE POWER
			0
11	AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
	704,304
12	CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)				☐
13	PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
	7.66%
14	TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
	IN

 

CUSIP NO. 030910 20 2

13D

Page 3 of 4 pages

 

ITEM 1.  SECURITY AND ISSUER

The securities to which this Schedule 13D relate are shares of common stock, par value $.001 per share ("Common Stock"), of Empire Petroleum Corporation (the "Company").

 

ITEM 2.  IDENTITY AND BACKGROUND

The residence address of Mr. Kamin is 619 Bluff Street, Glencoe IL 60022.

Mr. Kamin has not, during the last five years, been convicted in a criminal proceeding (excluding traffic violations and similar misdemeanors).

Mr. Kamin has not, during the last five years, been a party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of such a proceeding, been subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, federal or state securities laws or finding any violation with respect to such laws.

Mr. Kamin is a citizen of the United States of America.

 

ITEM 3.  SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION

In 2015 and 2016, Mr. Kamin purchased 97,673 shares of the Company's Common Stock in the open market through an entity wholly owned by him using personal funds.

On February 15, 2015, Mr. Kamin purchased 120,000 shares of the Company's Common Stock and a warrant to purchase 60,000 shares of Common Stock at an exercise price of $0.25 per share, which was immediately exercisable and expires on February 28, 2017, for an aggregate purchase price of $15,000 in a private placement by the Company through an entity wholly owned by him using personal funds.

On December 23, 2016, Mr. Kamin purchased a convertible note convertible into 266,667 shares of the Company's Common Stock and warrant to purchase 160,000 shares of Common Stock at an exercise price of $0.15 per share for an aggregate purchase price of $40,000 in a private placement by the Company through an entity wholly owned by him using personal funds.

 

ITEM 4.  PURPOSE OF TRANSACTION

Mr. Kamin acquired and owns the shares of the Company's Common Stock, as described herein, for investment purposes.

Mr. Kamin does not have any plans or proposals that relate to or would result in any of the actions specified in clauses (a) through (j) of Item 4 to Schedule 13D.

 

ITEM 5.  INTEREST IN SECURITIES OF THE ISSUER

(a)

Mr. Kamin is the beneficial owner of 704,304 shares of Common Stock and 7.66% of the total issued and outstanding shares of Common Stock.

(b)

The responses of Mr. Kamin to Items 7-11 of the cover page of this Schedule 13D are incorporated herein by reference.

(c)	The responses to Item 3 of this Schedule 13D are incorporated herein by reference.

(d)

Not applicable.

(e)	Not applicable.

 

ITEM 6.  CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT TO SECURITIES OF THE ISSUER

Not applicable.

 

ITEM 7.  MATERIAL TO BE FILED AS EXHIBITS

Not applicable.

 

CUSIP NO. 030910 20 2

13D

Page 4 of 4 pages

 

Signature

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.