Sec Form 4 Filing - Goldfarb Ira @ Black Ridge Oil & Gas, Inc. - 2020-12-28

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
Goldfarb Ira
2. Issuer Name and Ticker or Trading Symbol
Black Ridge Oil & Gas, Inc. [ ANFC]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X __ Director X __ 10% Owner
X __ Officer (give title below) _____ Other (specify below)
Executive Chairman (1)
(Last) (First) (Middle)
1440 NORTH UNION BOWER,
3. Date of Earliest Transaction (MM/DD/YY)
12/28/2020
(Street)
IRVING, TX75061
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
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
Incentive Stock Options (right to buy) $ 4 12/28/2020 A 16,500 ( 3 ) 12/28/2030 Common Stock 16,500 $ 0 16,500 D ( 1 ) ( 4 )
Incentive Stock Options (right to buy) $ 4 12/28/2020 A 16,500 ( 3 ) 12/28/2030 Common Stock 16,500 $ 0 16,500 D ( 2 ) ( 5 )
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Goldfarb Ira
1440 NORTH UNION BOWER
IRVING, TX75061
X X Executive Chairman (1)
Goldfarb Claudia
1918 N. OLIVE STREET
APT. 3302
DALLAS, TX75201
X X Chief Executive Officer (2)
Signatures
/s/ Ira Goldfarb 12/30/2020
Signature of Reporting Person Date
/s/ Claudia Goldfarb 12/30/2020
Signature of Reporting Person Date
Explanation of Responses:
( 1 )Mr. Ira Goldfarb is a director and the Executive Chairman of the Issuer. Mr. Goldfarb, as the Managing Member of S-FDF, LLC, exercises voting and dispositive power over theshares held by S-FDF, LLC, a 10% owner of the Issuer.
( 2 )Mrs. Claudia Goldfarb is a director and the Chief Executive Officer of the Issuer. She is also the spouse of Mr. Goldfarb and, by virtue of her indirect ownership in S-FDF, LLC,a 10% owner in the Issuer.
( 3 )The Incentive Stock Options vest in three (3) installments, with 60% of options vesting three (3) years from the grant date, and continuing in even 20% portions on the next two(2) anniversaries thereof, until the options are fully vested.
( 4 )Issued to Mr. Goldfarb in his individual capacity.
( 5 )Issued to Mrs. Goldfarb in her individual capacity.

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* If the form is filed by more than one reporting person, see Instruction 4(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).

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