SEC Form 5 · accession 0001209191-15-022841
LIME ENERGY CO. · LIME
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John Thomas Hurvis
10% Owner
Period of report
Dec 31, 2014
Accepted (ET)
Mar 5, 2015 · 2:22 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 Stock | Dec 22, 2014 | C | 1,945,548 | $0.00 | A | 1,945,548 | I | By trust |
| Common Stock | holding | — | — | — | 11,368 | I | By trust |
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 | C | 383,983 | D | — | — | Common Stock | 1,093,968 | 0 | D |
| Series B Preferred StockF1 | $2.83 | Dec 22, 2014 | C | 225,892 | D | — | — | Common Stock | 798,205 | 0 | D |
| Convertible NotesF1 | $4.91 | Dec 22, 2014 | C | 250,000 | D | — | — | Common Stock | 53,375 | 0 | D |
Explanation of responses
- F1The Series A Preferred Stock and the Series B Preferred Stock had no expiration date. The Convertible Notes were due October 22, 2017.