SEC Form 4 · accession 0001140361-16-079573
US GEOTHERMAL INC · HTM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Dennis J. Gilles
Director
Period of report
Sep 12, 2016
Accepted (ET)
Sep 12, 2016 · 5:44 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001172136
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common SharesF1 | Sep 12, 2016 | M | 19,992 | $0.60 | A | 1,259,673 | D | |
| Common Shares | holding | — | — | — | 45,000 | I | Adult child | |
| Common Shares | holding | — | — | — | 45,000 | I | Adult child |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F2 | $0.60 | Sep 12, 2016 | M | 19,992 | D | — | Sep 12, 2016 | Common Shares | 19,992 | 0 | D |
Explanation of responses
- F1Includes 185,000 stock units which will not vest until April 11, 2017.
- F2The options were granted on 9/12/2011 and vested in 25% installments; the options were fully vested on 3/12/2013.