SEC Form 4 · accession 0001179110-15-012003
Capstone Energy Plus, Inc. · CEPL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John V Jaggers
Director
Period of report
Aug 11, 2015
Accepted (ET)
Aug 12, 2015 · 3:23 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001009759
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Aug 11, 2015 | P | 200,000 | $0.4139 | A | 718,833 | D | |
| Common StockF2 | holding | — | — | — | 9,744 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $0.4085 to $0.4233 inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities And Exchange Commission, upon request, full information regarding the number of acquired at each separate price.
- F2Total Common Shares of 9,744 represents 16 of such common shares held by SRB Associates VII L.P. ("SRBVII"), and 9,728 of such common shares held by Sevin Rosen VII Affiliates Fund L.P. ("SRVII AFF"). Reporting person is a general partner of SRBVII, the general partner of SRVII AFF, and disclaims beneficial ownership of these shares except to his proportionate partnership interest in these shares.