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ZIVO Form 4: Insider adds warrants exercisable at $12.34, 2,025 units

Filing Impact
(Moderate)
Filing Sentiment
(Positive)
Form Type
4

Rhea-AI Filing Summary

Zivo Bioscience (ZIVO): Insider transaction reported. Affiliates of Strome Group reported a purchase of Zivo Bioscience common stock and warrants on 10/13/2025. The filing shows a purchase of 20,259 shares of common stock at $12.34 per share, held indirectly by an entity.

The report also lists acquisition of 2,025 Common Stock Purchase Warrants with an exercise price of $12.34, exercisable on 10/13/2025 and expiring on 10/12/2030. Following these transactions, the filing shows 452,942 common shares and 43,071 derivative securities beneficially owned indirectly by the reporting entity. The securities were acquired pursuant to a Securities Purchase Agreement.

Positive

  • None.

Negative

  • None.
Insider STROME MARK E, STROME INVESTMENT MANAGEMENT LP, STROME GROUP, INC.
Role 10% Owner | Insider | Insider
Bought 22,284 shs ($250K)
Type Security Shares Price Value
Purchase Common Stock Purchase Warrant 2,025 $0.00 --
Purchase Common Stock 20,259 $12.34 $250K
Holdings After Transaction: Common Stock Purchase Warrant — 43,071 shares (Indirect, By entity); Common Stock — 452,942 shares (Indirect, By entity)
Footnotes (1)
  1. The reported securities are owned directly by Strome Mezzanine Fund II, LP ("SMF II"), which were acquired pursuant to a Securities Purchase Agreement that SMF II entered into with the issuer. Strome Investment Management, LP is the general partner of SMF II. Strome Group, Inc. is the general partner of Strome Investment Management, LP. Mark E. Strome is the President and CEO of Strome Group, Inc. Mr. Strome, Strome Investment Management, LP and Strome Group, Inc. (together, the "Reporting Persons") may be deemed to share voting and investment power for and to beneficially own the shares held by SMF II under Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act"). Pursuant to Rule 16a-1(a)(4) of 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.
Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4 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
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response: 0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
1. Name and Address of Reporting Person*
STROME MARK E
(Last) (First) (Middle)
1688 MERIDIAN AVENUE,
SUITE 727
(Street)
MIAMI BEACH FL 33139
(City) (State) (Zip)
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)
3. Date of Earliest Transaction (Month/Day/Year)
10/13/2025
4. If Amendment, Date of Original Filed (Month/Day/Year)
 6. Individual or Joint/Group Filing (Check Applicable Line)
Form filed by One Reporting Person
X Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 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 10/13/2025 P 20,259(1) A $12.34 452,942 I By entity(1)(2)(3)
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 (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 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 (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (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: 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 $12.34 10/13/2025 P 2,025 10/13/2025 10/12/2030 Common Stock 2,025 $0 43,071 I By entity(1)(2)(3)
1. Name and Address of Reporting Person*
STROME MARK E
(Last) (First) (Middle)
1688 MERIDIAN AVENUE,
SUITE 727
(Street)
MIAMI BEACH FL 33139
(City) (State) (Zip)
Relationship of Reporting Person(s) to Issuer
Director X 10% Owner
Officer (give title below) Other (specify below)
1. Name and Address of Reporting Person*
STROME INVESTMENT MANAGEMENT LP
(Last) (First) (Middle)
C/O STROME GROUP, INC.
13535 VENTURA BLVD., STE C-525
(Street)
SHERMAN OAKS CA 91423
(City) (State) (Zip)
Relationship of Reporting Person(s) to Issuer
Director 10% Owner
Officer (give title below) X Other (specify below)
Affiliate of 10% Owner
1. Name and Address of Reporting Person*
STROME GROUP, INC.
(Last) (First) (Middle)
13535 VENTURA BLVD.,
STE C-525
(Street)
SHERMAN OAKS CA 91423
(City) (State) (Zip)
Relationship of Reporting Person(s) to Issuer
Director 10% Owner
Officer (give title below) X Other (specify below)
Affiliate of 10% Owner
Explanation of Responses:
1. The reported securities are owned directly by Strome Mezzanine Fund II, LP ("SMF II"), which were acquired pursuant to a Securities Purchase Agreement that SMF II entered into with the issuer.
2. Strome Investment Management, LP is the general partner of SMF II. Strome Group, Inc. is the general partner of Strome Investment Management, LP. Mark E. Strome is the President and CEO of Strome Group, Inc. Mr. Strome, Strome Investment Management, LP and Strome Group, Inc. (together, the "Reporting Persons") may be deemed to share voting and investment power for and to beneficially own the shares held by SMF II under Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act").
3. Pursuant to Rule 16a-1(a)(4) of 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.
/s/ Mark E. Strome 10/20/2025
/s/ Mark E. Strome, as President of General Partner, on behalf of Strome Investment Management, LP 10/20/2025
/s/ Mark E. Strome, as President of General Partner, on behalf of Strome Group, Inc. 10/20/2025
** 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 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).
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.

Source: View Original Filing on SEC EDGAR

FAQ

What did ZIVO's Form 4 disclose?

A purchase of 20,259 Zivo Bioscience common shares at $12.34 per share and acquisition of 2,025 warrants, reported by Strome-affiliated entities.

What are the warrant terms reported in the filing?

Warrants are exercisable at $12.34, became exercisable on 10/13/2025, and expire on 10/12/2030, covering 2,025 underlying common shares.

How many securities are beneficially owned after the transactions?

The filing lists 452,942 common shares and 43,071 derivative securities beneficially owned, each held indirectly by the reporting entity.

Who are the reporting persons in the ZIVO Form 4?

Strome Mezzanine Fund II, LP; Strome Investment Management, LP; Strome Group, Inc.; and Mark E. Strome, related as described in the filing.

How were the reported securities acquired?

They were acquired pursuant to a Securities Purchase Agreement entered into by Strome Mezzanine Fund II, LP with the issuer.

Is the ownership direct or indirect?

The filing indicates indirect ownership by an entity for both the purchased shares and the derivative securities.

What transaction code is shown for the common stock purchase?

Transaction code P, indicating an open-market or private purchase, appears for the common stock entry.