Filing Details

Accession Number:
0001378706-14-000026
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-08-22 09:11:25
Reporting Period:
2014-05-23
Filing Date:
2014-08-22
Accepted Time:
2014-08-22 09:11:25
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1378706 American Dg Energy Inc ADGE Electric, Gas & Sanitary Services (4900) 043569304
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1274775 John Hatsopoulos C/O American Dg Energy Inc.
45 First Avenue
Waltham MA 02451
Chief Executive Officer Yes Yes Yes No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2014-08-21 10,000 $1.23 20,000 No 4 P Indirect Owned by Pat Limited.
Common Stock Acquisiton 2014-08-18 10,000 $1.27 30,000 No 4 P Indirect Owned by Pat Limited.
Common Stock Acquisiton 2014-05-23 32,184 $2.24 1,476,820 No 4 J Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect Owned by Pat Limited.
No 4 P Indirect Owned by Pat Limited.
No 4 J Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 4,713,570 Indirect Held in Trust with John N. Hatsopoulos and his wife, Patricia L. Hatsopoulos as co-trustees.
Common Stock 2,280,414 Indirect Held in trust for the benefit of John N. Hatsopoulos and with John N. Hatsopoulos as trustee.
Common Stock 506,016 Indirect Held in trust for the benefit of John N. Hatsopoulos and with John N. Hatsopoulos as the trustee.
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Common Stock Common Stock $2.11 2011-05-23 2018-05-25 1,137,441 0 Indirect
Expiration Date Amount Remaning Holdings Nature of Ownership
2018-05-25 1,137,441 0 Indirect
Footnotes
  1. Held by Pat Limited, a company incorporated in the Commonwealth of The Bahamas controlled by John N. Hatsopoulos.
  2. The shares constitute accrued interest paid by the issuer on a 6% Senior Unsecured Convertible Debentures Due 2018 in the principal amount of $2,400,000 with a conversion price of $2.11. The interest paid is for the period November 2013 to May 2014.
  3. Held by The John N. Hatsopoulos Family Trust 2011 for the benefit of: (1) Patricia L. Hatsopoulos, (2) Alexander J. Hatsopoulos, and (3) Nia Marie Hatsopoulos, for which John N. Hatsopoulos and his wife, Patricia L. Hatsopoulos, are the co-trustees.
  4. Held by the John N. Hatsopoulos Qualified Annuity Trust of 2011 for the benefit of John N. Hatsopoulos, for which John N. Hatsopoulos is the trustee
  5. Held by The John N. Hatsopoulos 2011 Trust for the benefit of John N. Hatsopoulos, for which John N. Hatsopoulos is the trustee.
  6. Derivative security is a 6% Senior Unsecured Convertible Debentures Due 2018 in the principal amount of $2,400,000 with a conversion price of $2.11. The interest is paid in shares semi-annually.
  7. Shares of issuer common stock that John N. Hatsopoulos has the right to acquire by converting a currently convertible 6% senior unsecured convertible debentures.