Sec Form 4 Filing - STROME MARK E @ Zivo Bioscience, Inc. - 2021-06-02

Insider filing report for Changes in Beneficial Ownership
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FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
STROME MARK E
2. Issuer Name and Ticker or Trading Symbol
Zivo Bioscience, Inc. [ ZIVO]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director X __ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
(Last) (First) (Middle)
1688 MERIDIAN AVENUE, SUITE 727
3. Date of Earliest Transaction (MM/DD/YY)
06/02/2021
(Street)
MIAMI BEACH, FL33139
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
_____ Form filed by One Reporting Person
__ X __ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
7. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 06/02/2021 C( 1 ) 326,286 A $ 8 326,286 I By entity ( 2 ) ( 3 )
Common Stock 06/02/2021 P 40,000 A $ 4.99 203,601 I By trust
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 4. Transaction Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4, and 5)
6. Date Exercisable and Expiration Date
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 4)
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4)
11. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Common Stock Purchase Warrant $ 5.5 06/02/2021 P 40,000 06/02/2021 06/02/2026 Common Stock 40,000 $ 0.01 40,000 I By trust ( 3 )
Convertible Debt $ 8 06/02/2021 C 2,191,187 ( 4 ) ( 4 ) Common Stock 326,286 $ 0 0 I By entity ( 2 ) ( 3 )
Common Stock Purchase Warrant $ 8 07/24/2022 J( 5 ) 3,125 07/24/2017 07/24/2022 Common Stock 3,125 $ 0 0 I By entity ( 2 ) ( 3 )
Common Stock Purchase Warrant $ 8 09/25/2022 J( 5 ) 3,125 09/25/2017 09/25/2022 Common Stock 3,125 $ 0 0 I By entity ( 2 ) ( 3 )
Common Stock Purchase Warrant $ 8 11/20/2022 J( 5 ) 208,333 11/20/2017 11/20/2022 Common Stock 208,333 $ 0 0 I By entity ( 2 ) ( 3 )
Common Stock Purchase Warrant $ 8 11/20/2022 J( 5 ) 8,333 11/20/2017 11/20/2022 Common Stock 8,333 $ 0 0 I By entity ( 2 ) ( 3 )
Common Stock Purchase Warrant $ 8 11/20/2022 J( 5 ) 3,125 11/20/2017 11/20/2022 Common Stock 3,125 $ 0 0 I By entity ( 2 ) ( 3 )
Common Stock Purchase Warrant $ 8 11/20/2022 J( 5 ) 104,166 11/20/2017 11/20/2022 Common Stock 104,166 $ 0 0 I By entity ( 2 ) ( 3 )
Common Stock Purchase Warrant $ 8 11/20/2022 J( 5 ) 4,166 11/20/2017 11/20/2022 Common Stock 4,166 $ 0 0 I By entity ( 2 ) ( 3 )
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
STROME MARK E
1688 MERIDIAN AVENUE
SUITE 727
MIAMI BEACH, FL33139
X
STROME MEZZANINE FUND, LP
1688 MERIDIAN AVENUE
SUITE 727
MIAMI BEACH, FL33139
X
Strome Alpha Fund L P
1688 MERIDIAN AVENUE
SUITE 727
MIAMI BEACH, FL33139
X
STROME INVESTMENT MANAGEMENT LP
1688 MERIDIAN AVENUE
SUITE 727
MIAMI BEACH, FL33139
X
STROME GROUP, INC.
1688 MERIDIAN AVENUE
SUITE 727
MIAMI BEACH, FL33139
X
Signatures
Mark E. Strome 10/30/2023
Signature of Reporting Person Date
Mark E. Strome, as President of General Partner, on behalf of Strome Mezzanine Fund, LP 10/30/2023
Signature of Reporting Person Date
Mark E. Strome, as President of General Partner, on behalf of Strome Alpha Fund, L.P. 10/30/2023
Signature of Reporting Person Date
Mark E. Strome, as President of General Partner, on behalf of Strome Investment Management, LP 10/30/2023
Signature of Reporting Person Date
Mark E. Strome, as President, on behalf of Strome Alpha Fund, L.P. 10/30/2023
Signature of Reporting Person Date
Explanation of Responses:
( 1 )The reported transaction resulted from the conversion of convertible debt into shares of common stock at $8.00.
( 2 )This filing is made on behalf of Strome Mezzanine Fund, L.P ("Strome Mezzanine"), Strome Alpha Fund LP ("Strome Alpha"), Strome Investment Management, LP, Strome Group, Inc., and Mark Strome (together, the "Reporting Persons"). Strome Investment Management, LP is the general partner of Strome Mezzanine. Strome Group, Inc. is the general partner of Strome Investment Management, LP. Mark Strome is the President and CEO of Strome Group, Inc. Strome Investment Management, LP, Strome Group, Inc., and Mark Strome may be deemed to share voting and investment power for the shares held by Strome Mezzanine and Strome Alpha.
( 3 )Pursuant to Rule 16a-1(a)(4) of the Securities Exchange Act of 1934 (the "Exchange Act"), this filing shall not be deemed an admission that the Reporting Persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any equity securities reported herein.
( 4 )The convertible debt was convertible at any time prior to, and did not expire until, the repayment or conversion of the convertible debt in full.
( 5 )Expiration of long derivative position (warrant) without value received.

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