SEC Form 5 · accession 0001144204-15-010752
AMERICAN DG ENERGY INC · ADGE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John Hatsopoulos
Officer — Co-Chief Executive Officer · Director · 10% Owner
Period of report
Dec 31, 2014
Accepted (ET)
Feb 18, 2015 · 8:31 pm EST
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 Stock | Oct 29, 2014 | G | 550,419 | $0.00 | D | 1,201,400 | D | |
| Common StockF1 | holding | — | — | — | 36,149 | I | Held by Mr. Hatsopoulos's spouse | |
| Common StockF2 | holding | — | — | — | 7,500,000 | I | Held by The John N. Hatsopoulos Family Trust 2011 |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The Reporting Person previously reported that 36,149 shares of common stock of American DG Energy Inc. were directly beneficially owned by the Reporting Person. The Reporting Person is filing this Form 5, in part, to reflect that these shares are indirectly beneficially owned by the Reporting Person and directly beneficially owned by his wife, Patricia L. Hatsopoulos.
- F2Held by The John N. Hatsopoulos Family Trust 2011 for the benefit of: (1) Patricia L. Hatsopoulos, (2) Alexander J. Hatsopoulos and (3) Nia Marie Hatsopoulos, for which John N. Hatsopoulos and his wife, Patricia L. Hatsopoulos, are the co-trustees. The Reporting Person inadvertently reported his ownership of these shares, on a Form 4 filed with the Securities and Exchange Commission on August 22, 2014, as part of three different trusts: (1) The John N. Hatsopoulos Family Trust 2011, (2) The John N. Hatsopoulos Trust 2011 and (3) The John N. Hatsopoulos Qualified Annuity Trust of 2011. The Reporting Person is filing this report, in part, to reflect that these shares are all owned by The John N. Hatsopoulos Family Trust 2011.
Remarks
Exhibit List Exhibit 24 - Power of Attorney