Houston American SEC Filings

Houston American Energy Corp (HUSA) – SEC Form 3 filing: Bower Family Holdings, LLC has filed an initial statement of beneficial ownership, disclosing direct ownership of 2,180,180 common shares. The filer is classified as a 10% owner, giving it significant influence under Section 16(a) rules. The report covers an event dated 11/11/2024 and is signed by Managing Member Kevin Bower on 07/03/2025. No derivative securities or additional ownership structures are reported.

This routine regulatory filing increases transparency regarding insider holdings but does not, by itself, indicate any change in Houston American’s operations, strategy, or financial performance. Investors may view the large stake as a potential vote of confidence, yet the document provides no purchase price, transaction details, or intent, limiting immediate valuation impact.

On 30 June 2025, GCM Grosvenor Inc. (ticker GCMG) director Samuel C. Scott III filed a Form 4 reporting the receipt of 6,380 fully-vested Restricted Stock Units (RSUs) under the company’s Amended & Restated 2020 Incentive Award Plan. The RSUs were taken in lieu of quarterly cash board compensation, aligning the director’s remuneration with shareholder interests. Each RSU converts 1-for-1 into Class A common stock and will be delivered upon the earliest of the director’s separation from service, a change-in-control event, or death/disability. The reference price listed is $11.56, valuing the grant at roughly $74 thousand. After this transaction, Mr. Scott beneficially owns 97,704 derivative securities (RSUs). The filing is coded “A,” indicating an acquisition with no open-market purchase. While the grant marginally increases insider ownership, its size is immaterial to the company’s overall capitalization and does not alter the investment thesis.

Houston American Energy Corp. (HUSA) – Form 4 insider filing

CEO, President and Director Peter F. Longo reported a board-approved award of 40,000 shares of common stock dated 30 June 2025. The transaction is coded as an acquisition ("A") at a stated price of $0.00 per share. A footnote clarifies that the shares have not yet been issued and will only be distributed once shareholders approve a future equity-incentive plan; Mr. Longo therefore disclaims current beneficial ownership of the grant. Should issuance occur, his direct holdings would rise to 51,917.48 shares.

No derivative securities were reported, and the form was filed solely by the reporting person on 1 July 2025. The filing signals prospective equity compensation rather than an open-market transaction, so there is no immediate impact on share count, cash flow or ownership percentages.

• Reporting person: Peter F. Longo
• Role: CEO, President, Director
• Shares granted: 40,000 common shares (contingent)
• Price: $0.00 per share
• Condition: Subject to shareholder approval of a future equity-incentive plan

Codexis, Inc. (CDXS) received a Form 4 filing from Opaleye Management Inc., a 10% beneficial owner, detailing an open-market purchase completed on 27 June 2025.

• Transaction: 100,000 shares of Codexis common stock were purchased (Code P) at an average price of $2.39 per share.
• Post-transaction holdings: Opaleye now reports 12,350,000 shares held indirectly through Opaleye, L.P. and an additional 250,000 shares in a separately managed account, bringing total reported beneficial ownership to 12.6 million shares.
• Ownership form: All shares are reported as indirect (Form I); the investment manager disclaims beneficial ownership beyond its pecuniary interest.
• Reporting party status: Opaleye is classified as a 10% owner; no board or executive role is indicated.

The filing signals incremental insider accumulation by a large shareholder. While the 100 k-share purchase is modest relative to the 12.35 million-share position, fresh buying can be interpreted by investors as a vote of confidence in Codexis at current price levels. No derivative transactions, sales or options were disclosed in this filing.

Houston American Energy (NYSE:HUSA) filed an 8-K announcing completion of a registered direct offering on 25-Jun-2025.

The company sold 81,629 common shares at $14.80 each, raising $1.2 million gross and roughly $1.0 million net after an 8% placement fee to Univest Securities plus expenses.

Proceeds are designated for general corporate purposes—capital expenditures, working capital and potential but currently uncommitted acquisitions. The issuance was made under shelf registration No. 333-282778. Key agreements (Securities Purchase Agreement and Placement Agency Agreement) and a legal opinion are filed as Exhibits 10.1, 10.2 and 5.1.

Houston American Energy Corp. (NYSE American: HUSA) has filed a Rule 424(b)(3) prospectus supplement to sell 81,629 newly issued common shares at $14.80 per share through a registered direct offering. The placement is being handled on a best-efforts, no-minimum basis by Univest Securities, which will earn an 8% cash fee and reimbursement of up to $10,000 in expenses.

Proceeds & valuation. Gross proceeds will total approximately $1.21 million; after fees and expenses, net proceeds are estimated at roughly $1.0 million. Management plans to deploy the funds for working capital and general corporate purposes, with no earmarked acquisitions.

Pricing & dilution. The $14.80 issue price represents a 20% discount to the $18.54 closing price on 23-Jun-2025. Post-transaction, basic shares outstanding will rise 4.5% from 1,826,756 to 1,908,385 (excluding 93,522 options). Pro-forma tangible book value per share increases to $5.29, but investors in this round face immediate dilution of $9.51 per share relative to purchase price.

Regulatory framework. The sale utilizes capacity under the company’s November 2024 $8 million Form S-3 shelf and complies with General Instruction I.B.6 (one-third cap for issuers with <$75 million public float). Prior offerings over the past 12 months total $7.99 million, leaving limited headroom after this tranche.

Capital structure & risks. The deal follows a 174,100-share issuance at $10.60 and 49,662 pre-funded warrants on 17-Jun-2025, signalling an ongoing dependence on equity for liquidity. Because the current placement has no minimum and is small relative to operating needs, there is a heightened risk of further dilutive financings. Volatile share price movements (52-week intra-day range $3.96–$25.56) and the company’s non-operator model in the Permian and Gulf Coast remain key considerations.

Overall, the transaction modestly bolsters cash while incrementally diluting existing shareholders and reinforces management’s preference for equity over debt financing.

Houston American Energy has completed a registered direct offering on June 20, 2025, raising $2.37 million in gross proceeds. The offering consisted of:

• 174,100 shares of common stock
• Pre-funded warrants to purchase up to 49,662 shares at $0.001 per share

The pre-funded warrants were issued to accommodate purchasers who would otherwise exceed ownership thresholds of 4.99% (or 9.99% at holder's election) of outstanding common stock. Univest Securities served as the sole placement agent. The offering was conducted under the company's effective shelf registration statement from November 4, 2024, with a prospectus supplement dated June 18, 2025.

Houston American Energy Corp. (NYSE American: HUSA) has filed a Rule 424(b)(3) prospectus supplement dated June 17 2025 to effect a registered-direct capital raise. The Company is offering (i) 174,100 shares of common stock at $10.60 per share and (ii) 49,662 pre-funded warrants priced at the share offering price minus $0.001. The warrants are exercisable immediately and remain outstanding until fully exercised; the filing also registers the 49,662 underlying shares.

Univest Securities, LLC is acting as exclusive placement agent on a reasonable-best-efforts basis and will receive a cash fee equal to 8 % of gross proceeds plus expense reimbursement up to $10,000. There is no minimum amount required to close, so actual proceeds may be less than the maximum implied by the share counts.

The transaction is being executed under the Company’s $8 million shelf registration statement declared effective on November 4 2024 and is subject to the Form S-3 ‘baby-shelf’ limit, which caps aggregate primary offerings to one-third of the $27.0 million public float. During the prior 12 months HUSA has sold $4.42 million of securities against that limit.

The last reported market price on June 17 2025 was $20.00, indicating a significant discount to investors in this offering. As a smaller reporting company, HUSA is eligible for reduced disclosure requirements. Investors should review the Risk Factors section for details on commodity price volatility, reserve uncertainty, financing needs and Colombian operational exposures.