SEC Form 4/A · accession 0001104659-15-060529
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
Christopher W Capps
Director
Period of report
Dec 22, 2014
Accepted (ET)
Aug 18, 2015 · 8:37 am EDT
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 | 52,408 | 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.
Remarks
The purpose of this Amendment is to report the correct amount of shares of common stock beneficially owned by the reporting person following the transaction reported in the original filing, which was understated by 24,428 shares. Subsequent Forms 4 understated the reporting person's ownership by the same amount. None of the other information in the original filing was changed.