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
- Held by Pat Limited, a company incorporated in the Commonwealth of The Bahamas controlled by John N. Hatsopoulos.
- 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.
- 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.
- 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
- Held by The John N. Hatsopoulos 2011 Trust for the benefit of John N. Hatsopoulos, for which John N. Hatsopoulos is the trustee.
- 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.
- Shares of issuer common stock that John N. Hatsopoulos has the right to acquire by converting a currently convertible 6% senior unsecured convertible debentures.