SEC Form 4/A · accession 0001104659-15-060528
LIME ENERGY CO. · LIME
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
C Adam Procell
Officer — CEO and President
Period of report
Jan 5, 2015
Accepted (ET)
Aug 18, 2015 · 8:35 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001065860
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Option to Purchase Common StockF1,F2 | $2.89 | Jan 5, 2015 | A | 66,000 | A | — | Jan 5, 2025 | Common Stock | 66,000 | 66,000 | D |
Explanation of responses
- F1This option grant was inadvertently reported in Table I as shares beneficially owned in the original Form 4 filed by the reporting person on January 8, 2015. This amendment is being filed to report the option grant in Table II as derivative securities beneficially owned.
- F2The reporting person was granted an option to purchase up to an aggregate of 66,000 shares of Common Stock. The option to purchase 22,000 shares of Common Stock will vest on each of January 5, 2016, January 5, 2017 and January 5, 2018. Such options will immediately vest upon change of control of the Company or the involuntary termination of the reporting person for reasons other than cause, death or permanent disability. Such options were granted pursuant to the 2008 long-term incentive plan of the Company.
Remarks
The Amendment includes as an exhibit the applicable power of attorney. Exhibit List Exhibit 24 - Power of Attorney.