|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
|
| |||||||||||||||||||||||||||||
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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 control number. | SEC 1474 (9-02) |
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 Underlying Securities (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 of Derivative Security: 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 | ||||||||
Warrant | $ 2.83 | 12/30/2013 | P | 282,686 | 12/30/2013 | 12/30/2018 | Common Stock | 282,686 | $ 0 | 282,686 | I | By trust (1) | |||
Series B Preferred Stock (2) | $ 2.83 | 12/30/2013 | P | 200,000 | 12/30/2013 | (2) | Common Stock | 706,713 | $ 10 | 200,000 | I | By trust (1) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Hurvis John Thomas 4065 COMMERCIAL AVENUE NORTHBROOK, IL 60062 |
X | |||
John Thomas Hurvis Revocable Trust 4065 COMMERCIAL AVENUE NORTHBROOK, IL 60062 |
X |
/s/ John Thomas Hurvis | 12/31/2013 | |
**Signature of Reporting Person | Date | |
/s/ John Thomas Hurvis, as trustee | 12/31/2013 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | All of the shares of Common Stock, Warrants and Preferred Stock are owned directly by The John Thomas Hurvis Revocable Trust dated March 8, 2002 (the "Trust") and indirectly by Mr. Hurvis who serves as the sole trustee of the Trust. |
(2) | The Series B Preferred Stock accrues dividends at a rate of 12.5% per annum of the original issue price of $2,000,000, payable semi-annually in arrears on each June 30 and December 31 in additional shares of Series B Preferred Stock or, in the sole discretion of the Board of Directors of Lime Energy Co., in cash. The Series B Preferred Stock has no expiration date. |