SEC Form 3 · accession 0001104659-16-147716
AMERICAN DG ENERGY INC · ADGE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Sep 27, 2016
Accepted (ET)
Sep 30, 2016 · 9:19 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001378706
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | holding | — | — | — | 1,621,664 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 6% Senior Unsecured Debenture Due 2018F1,F3,F2 | $2.20 | holding | — | — | — | — | May 25, 2018 | Common Stock | — | — | D |
Explanation of responses
- F1The reported securities are jointly owned by Tryfon Natsis and his wife, Despoina Pantopoulou, as joint tenants with the right of survivorship.
- F2The Debenture is currently exercisable.
- F3The Debenture may be converted into shares of the Company's common stock at a conversion price of $2.20 per share, subject to adjustment in certain circumstances. In addition, the Company has the option to redeem the Debenture at 115% of the outstanding principal amount, along with any accrued but unpaid interest.