As filed with the Securities and Exchange Commission on August 12, 2014 Registration No.333-192228

====================================================================================

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

FORM S-1/A

Amendment No. 7

 

REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933

 

THREE FORKS, INC.

(Exact name of registrant as specified in its charter)

 

COLORADO

(State or jurisdiction of incorporation or organization)

        1381       

(Primary Standard Industrial Classification Code Number)

45-4915308

(I.R.S. Employer

Identification No.)

 

555 Eldorado Blvd., Suite 100, Broomfield, Colorado 80021/ Phone (303)404-2160

(Address and telephone number of principal executive offices)

 

W. Edward Nichols, Chief Executive Officer and Director

555 Eldorado Blvd., Suite 100, Broomfield, Colorado 80021/ Phone (303)404-2160

(Name, address and telephone number of agent for service)

 

COPIES OF ALL COMMUNICATIONS TO:

Michael A. Littman, Attorney at Law

7609 Ralston Road, Arvada, CO, 80002 phone 303-422-8127 / fax 303-431-1567

 

Approximate date of commencement of proposed sale to the public: As soon as possible after this Registration Statement becomes effective.

 

If any of the securities being registered on this Form are to be offered on a delayed or continuous basis pursuant to Rule 415 under the Securities Act of 1933, check the following box. x

 

If this Form is filed to register additional securities for an offering pursuant to Rule 462(b) under the Securities Act, please check the following box and list the Securities Act registration statement number of the earlier effective registration statement for the same offering. o

 

If this Form is a post-effective amendment filed pursuant to Rule 462(c) under the Securities Act, check the following box and list the Securities Act registration statement number of the earlier effective registration statement for the same offering. o

 

If this Form is a post effective amendment filed pursuant to Rule 462(d) under the Securities Act, check the following box and list the Securities Act registration statement number of the earlier effective registration statement for the same offering. o

 

Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, or a smaller reporting company. See the definitions of “large accelerated filer,” “accelerated filer” and “smaller reporting company” in Rule 12b-2 of the Exchange Act.

 

Large accelerated filer [___]   Accelerated filer [___]

Non-accelerated filer

(Do not check if a smaller reporting company)

[___]   Smaller reporting company [_X_]

 

 
 

 

CALCULATION OF REGISTRATION FEE

Title of Each Class of
Securities To Be Registered
Amount To Be
Registered
Proposed Maximum
Offering Price Per Share
Proposed Maximum
Aggregate Offering Price(1)
Amount of
Registration Fee
         
Common Stock by Selling Shareholders 3,637,028 $1.50 $5,455,542 $702.67 (2)

 

(1)Estimated solely for the purpose of computing the registration fee pursuant to Rule 457(o) under the Securities Act.
(2)The Registration Fee of $702.67 was paid in November 2013.

 

The registrant hereby amends this registration statement on such date or dates as may be necessary to delay its effective date until the registrant shall file a further amendment which specifically states that this registration statement shall thereafter become effective in accordance with Section 8(a) of the Securities Act of 1933 or until the registration statement shall become effective on such date as the Commission, acting pursuant to said Section 8(a), may determine.

 
 

PART II. INFORMATION NOT REQUIRED IN PROSPECTUS

 

ITEM 13. OTHER EXPENSES OF ISSUANCE AND DISTRIBUTION

 

We have expended, or will expend fees in relation to this registration statement as detailed below:

 

Expenditure Item Amount
Attorney Fees $13,000
Audit Fees $7,500
Transfer Agent Fees $2,000
SEC Registration and Blue Sky Registration fees (estimated) $1,000
Printing Costs and Miscellaneous Expenses (estimated) $1,500
Total $25,000

 

ITEM 14. INDEMNIFICATION OF DIRECTORS AND OFFICERS

 

Our officers and directors are indemnified as provided by the Colorado Revised Statutes and the bylaws.

 

Under the Colorado Revised Statutes, director immunity from liability to a company or its shareholders for monetary liabilities applies automatically unless it is specifically limited by a company’s Articles of Incorporation. Our Articles of Incorporation do not specifically limit the directors’ immunity. Excepted from that immunity are: (a) a willful failure to deal fairly with us or our shareholders in connection with a matter in which the director has a material conflict of interest; (b) a violation of criminal law, unless the director had reasonable cause to believe that his or her conduct was lawful or no reasonable cause to believe that his or her conduct was unlawful; (c) a transaction from which the director derived an improper personal profit; and (d) willful misconduct.

 

Our bylaws provide that it will indemnify the directors to the fullest extent not prohibited by Colorado law; provided, however, that we may modify the extent of such indemnification by individual contracts with the directors and officers; and, provided, further, that we shall not be required to indemnify any director or officer in connection with any proceeding, or part thereof, initiated by such person unless such indemnification: (a) is expressly required to be made by law, (b) the proceeding was authorized by the board of directors, (c) is provided by us, in sole discretion, pursuant to the powers vested under Colorado law or (d) is required to be made pursuant to the bylaws.

 

Our bylaws provide that it will advance to any person who was or is a party or is threatened to be made a party to any threatened, pending or completed action, suit or proceeding, whether civil, criminal, administrative or investigative, by reason of the fact that he is or was a director or officer of us, or is or was serving at the request of us as a director or executive officer of another company, partnership, joint venture, trust or other enterprise, prior to the final disposition of the proceeding, promptly following request therefore, all expenses incurred by any director or officer in connection with such proceeding upon receipt of an undertaking by or on behalf of such person to repay said amounts if it should be determined ultimately that such person is not entitled to be indemnified under the bylaws or otherwise.

 

Our bylaws provide that no advance shall be made by us to an officer except by reason of the fact that such officer is or was our director in which event this paragraph shall not apply, in any action, suit or proceeding, whether civil, criminal, administrative or investigative, if a determination is reasonably and promptly made: (a) by the board of directors by a majority vote of a quorum consisting of directors who were not parties to the proceeding, or (b) if such quorum is not obtainable, or, even if obtainable, a quorum of disinterested directors so directs, by independent legal counsel in a written opinion, that the facts known to the decision-making party at the time such determination is made demonstrate clearly and convincingly that such person acted in bad faith or in a manner that such person did not believe to be in or not opposed to the best interests of us.

 

 

II-1
 

 

ITEM 15. RECENT SALES OF UNREGISTERED SECURITIES

 

We have sold securities since inception (March 28, 2012) without registering the securities under the Securities Act of 1933 as shown in the following tables:

 

Shares Issued for Private Offerings

 

Since our inception in March 2012 through September 2012, we have shares of our common stock at a price of $0.01 per share in exchange for cash to the individuals and the amounts set forth below.

 

Number of Shares   Consideration   Name
         
 5,000   $50   Melvin & Judith Einsidler
 20,000   $200   William C. Gascoigne
 5,000   $50   Robert Bradley
 5,500   $55   Donald Einsidler
 100,000   $1,000   Jacobs Enterprises, Ltd
 45,000   $450   Robert W. Simmons
 10,000   $100   Robert Reynolds
 11,000   $110   Richard Davis
 30,000   $300   Dennis Kaboth
 7,500   $75   Jeremy Isaacs
 2,500   $25   David & Lois Einsidler
 16,500   $165   Barry Isaacs
 5,500   $55   Risa Einsidler
 137,000   $1,370   Bruce Theuerkauf
 19,500   $195   Ralph T. Meloro, Trustee of the Lisa B. Meloro Irrevocable Trust
 40,000   $400   Dennis Noel
 60,000   $600   Donald S. Heauser
 30,000   $300   Eric Hample
 150,000   $1,500   Dennis and MaryJo Gabriel
 2,215   $22   Diane Leeds Einsidler
 10,000   $100   Vladimir & Glida Scerbo
 160,000   $1,600   Robert Scerbo
 2,500   $25   Marc & Caryn Schneider
 5,500   $55   Charles Ras
 50,000   $500   James Ford
 5,000   $50   John Phelps
 21,000   $210   Sean Fleming
 75,000   $750   Neilson Family Trust
 150,000   $1,500   Michael McNally
 2,500   $25   Joseph G. Hoenigmann
 2,500   $25   Christopher Pesce

 

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II-2
 

 

 100,000   $1,000   Clarene O Hample Revocable Trust, Brent Hample Trustee
 7,500   $75   Leah & Greg Isaacs
 67,000   $670   Joan M. Jacobson
 17,000   $170   Christian Farr
 20,000   $200   John Cooper
 25,000   $250   Steve Remmert
 25,000   $250   Gerald Smart Trust
 6,500   $65   Michael Einsidler
 16,667   $167   Alexander Biggs
 16,667   $167   Thomas B. Biggs
 7,000   $70   Leland Beckley
 7,000   $70   Byron Beckley
 7,000   $70   Trenton Toftoy
 10,000   $100   James Iverson
 100,000   $1,000   Robert & Cynthia Toftoy
 25,000   $250   Joel Ripmaster
 7,000   $70   Patricia Nauman
 3,500   $35   Ralph Toftoy
 5,000   $50   Monica Sherman
 40,000   $400   Richard Rinella
 5,000   $50   Bernard Rinella
 17,000   $170   Breff Leasing
 7,000   $70   Underhill Trucking -
 25,000   $250   Gerald Smart Trust
 200,000   $2,000   Henry Moxely
 10,000   $100   Nicole Saunders
 10,000   $100   Glenda Weiss
 3,200   $32   Terry Jacobson
 38,000   $380   Tom Ness
 5,000   $50   John Bryan
 25,000   $250   Robert & Donna Wittenauer
 25,000   $250   Donna Wittenauer FBO LK Latimer
 5,000   $50   Timothy Scott
 10,000   $100   Patrick J. Donovan
 25,000   $250   Mihcael Pryblo
 100,000   $1,000   Adelaide Biggs
 15,000   $150   George Biggs
 15,000   $150   Marcia Biggs
 15,000   $150   Adelaide Andrews
 4,000   $40   Amanda Germany
 40,000   $400   Paul Dragul
 6,250   $63   Daniel and Lesli Underhill
 2,500   $25   Stephen Cohen
 3,400   $34   Ron Anderson
 60,000   $600   Cracked Crab LLC
 7,500   $75   Jeff Rosenberg
 40,000   $400   Glenda Weiss
 50,000   $500   Christopher Jacobs
 2,500   $25   Joseph Willen
 35,000   $350   Paul Dragul
 40,000   $400   Steward Mosko

 

II-3
 

 

 25,000   $250   Gary Walford
 50,000   $500   Brian Remington
 10,000   $100   Daniel Rainey
 50,000   $500   E. Dean Davis
 25,000   $250   Lawson Farmer
 25,000   $250   Cain Griffin Group, LLc
 6,000   $60   Charles W. Jones
 4,000   $40   FNB Griffin custodian for Individual IRA Charles W. Jones
 2,500   $25   Edward Vitko
 2,500   $25   Mike Vitko
 11,667   $117   Robert & Cynthia Toftoy
 500   $5   Marla Alstadt
 250   $3   Gary Lee Young

 

From July 2012 through September 2012, we have shares of our common stock at a price of $1.00 per share in exchange for cash to the individuals and the amounts set forth below.

 

Number of Shares   Consideration   Name
         
 8,000   $8,000   Robert & Cynthia Toftoy
 15,000   $15,000   Bruce Theuerkauf Jr.
 50,000   $50,000   James Ford
 1,000   $1,000   Brian Hassett
 25,000   $25,000   Willie Love
 15,000   $15,000   Robert Reynolds
 100,000   $100,000   Edward Vitko
 10,000   $10,000   Caryn & Marc Schneider
 1,000   $1,000   Diane Leeds Einsidler
 4,876   $4,876   Bruce Molloy FBO Mariana Molloy
 6,000   $6,000   Bruce Molloy
 10,000   $10,000   Larry & Gayla Johnson
 12,000   $12,000   David Newman
 25,000   $25,000   Michael Faletti, Jr.
 5,000   $5,000   Robert Bradley
 2,250   $2,250   Thomas G. Nixon
 20,000   $20,000   Jonathan Sherman,
 25,000   $25,000   William and Suzanne Knopf
 100,000   $100,000   Alexander Withall Declaration fo Trust- W. Knopf Trustee
 10,000   $10,000   Bruce Molloy
 50,000   $50,000   Christopher Jacobs
 10,000   $10,000   Henry H. Moxley
 6,000   $6,000   James H. Campbell
 2,750   $2,750   Thomas and Linda Nixon
 25,000   $25,000   Michael Pryblo
 5,000   $5,000   James Iverson
 37,000   $37,000   Paul Dragul
 30,000   $30,000   David Kelley
 6,000   $6,000   Cottonwood NB LLC

 

II-4
 

 

 2,800   $2,800   Karen A. Baker
 5,000   $5,000   Rodney J. Buhr
 5,000   $5,000   Spyglass Capital Group LLC
 2,000   $2,000   Samuel H. Rabin
 14,000   $14,000   Ronald Cox
 5,000   $5,000   Willie and Carol Love, Jr
 20,000   $20,000   Steven A. Scalf
 10,000   $10,000   Keil & Elizabeth Johnson
 10,000   $10,000   Russel D. and Judith A. Noel
 20,000   $20,000   Robert and Cynthia Toftoy
 50,000   $50,000   Joan jacobson Trust
 50,000   $50,000   James R. Stewart
 5,000   $5,000   Irene A. Brown
 5,000   $5,000   James Iverson
 3,000   $3,000   Kenneth Knudson
 100,000   $100,000   Dennis and MaryJo Gabriel
 20,000   $20,000   Robert Scerbo
 50,000   $50,000   Edward Vitko
 30,000   $30,000   Falettiko Oil & Gas, LLc
 25,000   $25,000   Mike Vitko
 7,000   $7,000   Larry & Gayle Johnson
 5,000   $5,000   Willie and Carol Love
 6,000   $6,000   Vladimir Scerbo
 25,000   $25,000   Robert Reynolds
 10,000   $10,000   Bruce Theuerkauf Jr.
 35,000   $35,000   Cain Griffin Group, Inc
 30,000   $30,000   David. D. Duvick
 25,000   $25,000   Caroline Justice
 10,000   $10,000   Cottonwood NB LLC
 10,000   $10,000   Steven A. Scalf
 2,250   $2,250   Gary Lee Young
 30,000   $30,000   David Kelley
 10,000   $10,000   Sauney & Geraldine Pippin
 20,000   $20,000   Steve Scalf
 30,000   $30,000   Bernard Bols
 16,667   $16,667   Breff Leasing
 33,334   $33,334   Gary Underhill
 50,000   $50,000   Bill Baber
 13,000   $13,000   Debbie Hamen
 2,000   $2,000   Bruce Theuerkauf Jr
 81,000   $81,000   Dayspring Capital, LLC
 12,500   $12,500   Tom Ness
 7,500   $7,500   Robert Toftoy
 2,500   $2,500   Edward Vitko
 2,500   $2,500   Mike Vitko

 

II-5
 

 

From October 2012 through December 2013, we have shares of our common stock at a price of $2.25 per share in exchange for cash to the individuals and the amounts set forth below.

 

Number of Shares   Consideration   Name
         
 10,000   $22,500   Tamar and Bruce Mar
 44,444   $99,999   James R. Stewart
 40,000   $90,000   Rich Sharpenter
 50   $113   Kathie Hayes
 500   $1,125   Maria Terrazas
 2,222   $5,000   Tim L. Briggs
 1,000   $2,250   Edward W. Sharpenter
 1,600   $3,600   Rodney Buhr
 20,000   $45,000   Alexander Withall/ Knopf
 20,000   $45,000   Eric Hample
 9,955   $22,399   Rich Sharpenter
 50   $113   Ned Sharpenter
 50   $113   Becky sharpenter
 50   $113   Nick Sharpenter
 50   $113   Lindsey Sharpenter
 50   $113   Lillian Sharpenter
 50   $113   Marc Sharpenter
 50   $113   Leanne Sharpenter
 50   $113   Joanne Blincoe
 50   $113   Jim Blincoe
 50   $113   Todd Blincoe
 50   $113   Marie Blincoe
 50   $113   Sophie Blincoe
 50   $113   Emma Blincoe
 50   $113   Tom Blincoe
 50   $113   Judy Blincoe
 50   $113   Jay Blincoe
 50   $113   Emily Blincoe
 225   $506   Trevor J. Buhr
           
 135,000   $303,750   William Knopf

 

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II-6
 

 

From January 2013 through December 2013, we have shares of our common stock at a price of $3.00 per share in exchange for cash to the individuals and the amounts set forth below.

 

Number of Shares   Consideration   Name
         
 20,000   $60,000   Dr William R. King
 10,000   $30,000   Ronney Ledford Jr. LLc
 10,000   $30,000   Francis Construction
 10,000   $30,000   Lorie J. and Josephine Mangham, Jr.
 10,000   $30,000   Tim Dender
 1,034   $3,102   Rich Sharpenter
 1,000   $3,000   Karen Anderson Baker
 10,000   $30,000   William & Joyce Babb
 6,665   $19,995   Ronnie Cain
 7,000   $21,000   William Stewart
 16   $48   Rich Sharpenter
 16,667   $50,001   Seth Sleezer IV
 8,333   $24,999   Ronney Ledford Jr.
 66,667   $200,001   Lester Ranew
 46,667   $140,001   FNB Griffin Custodian for Individual IRA Timothy R. Dender
 10,000   $30,000   FNB Griffin Custodian for individual IRA Linda Jordan
 2,000   $6,000   Kenneth and Shirley Thompson
 13,334   $40,002   Barry L. Jacobson
 26,667   $80,001   James and Teresa Stewart
 8,334   $25,002   Jared and Christina Adam
 3,333   $9,999   Ronnie Can
 1,671   $5,013   Patricia K. Huber
 10,000   $30,000   Amanda Remington
 13,334   $40,002   Arthur C. Krepps III
 10,000   $30,000   C. Roan Berry
 1,500   $4,500   Creative Solutions Invesments, LLC
 1,000   $3,000   Darrell L & Mary A Gulseth JTWROS
 15,000   $45,000   Herbert T. Sears
 20,000   $60,000   James and Teresa Stewart
 500   $1,500   Kelly Anderson
 500   $1,500   Kirk Anderson
 500   $1,500   Kyle Anderson
 3,500   $10,500   Mitchell Gulseth
 20,000   $60,000   Raymond Dender
 10,000   $30,000   Richard Coleman Clements
 8,333   $24,999   Ronny Ledford Jr.
 10,000   $30,000   SCI Investments, LLC
 2,000   $6,000   Star Net Investments, LLC
 100,000   $300,000   Robert E. Long
 10,000   $30,000   Timothy Dender

 

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II-7
 

 

 500   $1,500   Kelly Anderson
 500   $1,500   Kirk Anderson
 500   $1,500   Kyle Anderson
 500   $1,500   Marla Alstadt
 10,000   $30,000   Amanda Remington
 8,333   $24,999   Ronny Ledford Jr.
 10,000   $30,000   Richard Coleman Clements
 1,500   $4,500   Creative Solutions Invesments, LLC
 2,000   $6,000   Star Set Investments, LLC
 20,000   $60,000   Raymond Dender
 20,000   $60,000   James and Teresa Stewart

 

 3,333   $10,000   Ray & Betty Chally
 10,000   $30,000   M&M Funding, LLC
 12,000   $36,000   FNB Griffin Custodian for William C. Weldon IRA
 10,000   $30,000   FNB Griffin Custodian for Wendy Williams IRA
 10,000   $30,000   FNB Griffin Custodian for Lewis G. Sanders IRA
 10,000   $30,000   FNB Griffin Custodian for William House Jr. IRA
 10,000   $30,000   M Sleezer
 10,000   $30,000   D Duffy
 16,333   $48,999   C Hopkins
 3,333   $9,999   FNB Griffin Custodian for D Wren
 3,334   $10,000   F Simonton

 

SECURED CONVERTIBLE PROMISSORY NOTE OFFERING

 

In September 2013, we commenced a private offering of $2,000,000 Secured Convertible Promissory Notes in order to complete the purchase of the remaining 37.5% WI in the Five JABS property discussed earlier in the document. These notes are due in September 2014 and are convertible into shares of our common stock in whole or in part at a conversion price of $3.60 per share 6 months after issuance of the secured convertible promissory note. The offering was not fully subscribed and a total of $1,535,000 was raised.

 

Noteholder  Amount of the Note 
Tincup Oil and Gas , LLC (1)  $250,000 
C. Roan Berry/Environtech Corp.  $100,000 
Timothy Dender  $400,000 
Dennis W. & Mary J. Gabriel  $60,000 
Charles Jones  $100,000 
Estate of William King  $100,000 
Estate of William King  $500,000 
Caroline J. Fisher, Ph. D  $25,000 

 

(1) Mr. Ranew, a former director of the Company, is a member of Tincup Oil and Gas, LLC.

 

Exemption from Registration Claimed

 

Sales and issuances by us of the unregistered securities listed above were made by us in reliance upon Rule 506 of Regulation D to the individuals listed above. All of the individuals and/or entities listed above that purchased the unregistered securities were all known to us and our management, through pre-existing business relationships, as long standing business associates, friends, and employees. All purchasers were provided access to all material information, which they requested, and all information necessary to verify such information and were afforded access to our management in connection with their purchases. All purchasers of the unregistered securities acquired such securities for investment and not with a view toward distribution, acknowledging such intent to us. All certificates or agreements representing such securities that were issued contained restrictive legends, prohibiting further transfer of the certificates or agreements representing such securities, without such securities either being first registered or otherwise exempt from registration in any further resale or disposition. Each purchaser made written representation under Rule 506 of Regulation D, including net worth and sophistication. We required written representation that each purchaser who was not an accredited investor, either alone or with his purchaser

 

II-8
 

 

representative, had such knowledge and experience in financial and business matters that he/she was capable of evaluating the merits and risks of the prospective investment, and the issuer reasonably believed (based on written representations) immediately prior to making any sale that the purchaser came within this description.

 

Shares Issued for Compensation or Services

 

Since our inception, March 28, 2012 through December 31, 2013, we have issued shares of our common stock in exchange for services to the individuals and the amounts set forth below.

 

Number of Shares   Consideration   Name
         
 2,000,000    Services   W Edward Nichols (1)
 2,000,000    Services   Donald Walford (2)
 75,000    Services   Lisa Baird
 500,000    Services   William Young (1)
 750,000    Services   Marc Pindus
 150,000    Services   Michael Littman
 15,000    Services   Debbie Hamen
 15,000    Services   Joe Ford
 15,000    Services   Herb Sears
 200,000    Services   Hawkeye Oil and Gas Ventures LLC
 50,000    Services   William Baber
 10,000    Services   Joe Ford
 175,000    Services   Prabhas Panigrahi
 25,000    Services   Paul Dragul (1)
 270,000    Services   Maxim Group Inc.

 

MATERIAL RELATIONSHIPS

(1) Director/Officer

(2) Former Director/Officer

 

Exemption from Registration Claimed

 

All of the sales by us of the unregistered securities listed immediately above were made by us in reliance upon Section 4(2) of the Act. All of the individuals and/or entities listed above that purchased the unregistered securities were all known to us and our management, through pre-existing business relationships, as long standing business associates, friends, and employees. All purchasers were provided access to all material information, which they requested, and all information necessary to verify such information and were afforded access to our management in connection with their purchases. All purchasers of the unregistered securities acquired such securities for investment and not with a view toward distribution, acknowledging such intent to us. All certificates or agreements representing such securities that were issued contained restrictive legends, prohibiting further transfer of the certificates or agreements representing such securities, without such securities either being first registered or otherwise exempt from registration in any further resale or disposition.

 

II-9
 

 

ITEM 16. EXHIBITS AND FINANCIAL STATEMENT SCHEDULES

 

Exhibit No. Description  
     
3(i).1 Articles of Incorporation of Three Forks, Inc. – 3/28/12 (1)
     
3(i).2 Articles of Organization of Three Forks No. 1, LLC – 11/8/2012 (1)
     
3(i).3 Articles of Incorporation of Three Forks Operating Company, Inc. – 1/2/13 (1)
     
3(i).4 Articles of Amendment – Name Change to TFI Operating Company, Inc. – 2/8/13 (1)
     
3(i).5 Articles of Organization of Three Forks LLC No. 2 – 12/4/13 (2)
     
3(ii).1 Bylaws of Three Forks, Inc. (1)
     
3(ii).2 Bylaws of TFI Operating Company (fka Three Forks Operating Company, Inc.) (1)
     
5.1 Opinion re: Legality (7)
     
10.1 Employment Agreement, Donald Walford (1)
     
10.2 Amendment to Employment Agreement, Donald Walford (1)
     
10.3 Consulting Agreement with W. Edward Nichols (1)
     
10.4 Amendment to Consulting Agreement with W. Edward Nichols (1)
     
10.5 Employment Agreement, Charles Pollard (1)
     
10.6 Operating Agreement of Three Forks No. 1, LLC (1)
     
10.7 Amendment to Operating Agreement of Three Forks No. 1, LLC (1)
     
10.8 Certificate of Designation of Class A Convertible Preferred Stock (1)
     
10.9 Stock Option Plan (1)
     
10.10 Farmout Agreement (1)
     
10.11 Purchase & Sale Agreement, Three Forks, Inc. & TFI No. 1, LLC 12/31/12 (1)
     
10.12 Purchase, Sale & Participation Agreement, Five Jab, Inc. & Three Forks, Inc. 2/27/13 (5)
     
10.13 Blue Quail, Ltd. Participation Agreement 4/8/13 (1)
     
10.14 1st Amendment to Purchase, Sale & Participation Agreement, Five Jab, Inc. & Three Forks, Inc. 4/30/13 (1)

 

II-10
 

 

10.15 2nd Amendment to Purchase, Sale & Participation Agreement, Five Jab, Inc. & Three Forks, Inc. (1)
     
10.16 3rd Amendment to Purchase, Sale & Participation Agreement, Five Jab, Inc. & Three Forks, Inc. (1)
     
10.17 4th Amendment to Purchase, Sale & Participation Agreement, Five Jab, Inc. & Three Forks, Inc. (1)
     
10.18 Form of Convertible Promissory Note & Mortgage, Security and Pledge Agreement (4)
     
10.19 Operating Agreement of Three Forks No. 2, LLC (2)
     
10.20 Credit Agreement, dated May 9, 2014 (6)
     
10.21 Executive Employment Agreement with Terrence R. Manning (6)
     
23.1 Consent of Attorney (7)
     
23.2 Consent of Independent Registered Public Accounting Firm (7)
     
23.3 Consent of Ralph E. Davis & Associates (7)
     
99.1 Reserve Study, dated June 23, 2014 (7)
     
101.INS XBRL Instance Document (7)
     
101.SCH XBRL Taxonomy Extension Schema Document (7)
     
101.CAL XBRL Taxonomy Extension Calculation Linkbase Document (7)
     
101.DEF XBRL Taxonomy Extension Definition Linkbase Document (7)
     
101.LAB XBRL Taxonomy Extension Label Linkbase Document (7)
     
101.PRE XBRL Taxonomy Extension Presentation Linkbase Document (7)

 

(1) Incorporated by reference from the exhibits included in the Company’s Form 10-12G/A filed with the Securities and Exchange Commission (www.sec.gov), filed October 29, 2013.

 

(2) Incorporated by reference from the exhibits included in the Company’s Form 10-12G/A No. 2 filed with the Securities and Exchange Commission (www.sec.gov), filed January 31, 2014.

 

(3) Pursuant to Rule 406T of Regulation S-T, this interactive data file is deemed not filed or part of a registration statement or prospectus for purposes of Sections 11 or 12 of the Securities Act of 1933, is deemed not filed for purposes of Section 18 of the Securities Exchange Act of 1934, and otherwise is not subject to liability under these sections.

 

(4) Incorporated by reference from the exhibits included in the Company’s Form 10-12G/A No. 3 filed with the Securities and Exchange Commission (www.sec.gov), filed February 19, 2014.

 

(5) Incorporated by reference from the exhibits included in the Company’s Form 10-12G/A No. 4 filed with the Securities and Exchange Commission (www.sec.gov), filed April 8, 2014.

 

(6) Incorporated by reference from the exhibits included in the Company’s Form S-1/A No. 5 filed with the Securities and Exchange Commission (www.sec.gov), filed July 3, 2014.

 

(7) Incorporated by reference from the exhibits included in the Company’s Form S-1/A No. 6 filed with the Securities and Exchange Commission (www.sec.gov), filed on August 6, 2014.

 

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SIGNATURES

 

In accordance with the requirements of the Securities Act of 1933, the registrant certifies that it has reasonable grounds to believe that it meets all of the requirements for filing on Form S-1 and authorized this Registration Statement to be signed on our behalf by the undersigned, thereunto duly authorized, in the City of Broomfield, State of Colorado, on August 12, 2014.

 

THREE FORKS, INC.

 

/s/ W. Edward Nichols   August 12, 2014
W. Edward Nichols    
(Chief Executive Officer and Principal Accounting
Officer and Principal Executive Officer)
   

 

 

In accordance with the requirements of the Securities Act of 1933, this Registration Statement has been signed by the following persons in the capacities and on the dates stated.

 

/s/ W. Edward Nichols   August 12, 2014
Edward Nichols, Chairman of the Board of  Directors    
     
/s/ Charles W. Pollard   August 12, 2014
Charles W. Pollard, Director    
     
/s/ William F. Young   August 12, 2014
William F. Young, Director    
     

 

II-12