SEC Form 4 · accession 0001065860-15-000001
LIME ENERGY CO. · LIME
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Christopher W Capps
Director
Period of report
Dec 22, 2014
Accepted (ET)
Jan 6, 2015 · 12:48 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001065860
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Dec 22, 2014 | M | 27,980 | — | A | 27,980 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series A Preferred StockF1 | $3.51 | Dec 22, 2014 | M | 9,821 | A | — | — | Common Stock | 27,980 | 0 | D |
Explanation of responses
- F1Pursuant to the terms of the Company's certificate of designation, the reporting person converted 9,821 shares of the Company's Series A Preferred Stock into 27,980 shares of the Company's Common Stock.