SEC Form 4 · accession 0001214659-16-013884
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 29, 2016 · 4:30 pm 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,F2 | Sep 27, 2016 | J | 920,407 | $0.00 | D | 0 | I | By subsidiary |
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 Convertible Debentures Due 2018F3,F5,F2,F4 | $2.11 | Sep 27, 2016 | J | 10,100,000 | D | — | May 25, 2018 | Common Stock | 4,786,729 | 0 | I |
Explanation of responses
- F1The shares have been distributed to the underlying participant of an International Pension Plan administered by RBC cees Trustee Limited.
- F2The shares reported in this table are held by RBC ees Trustee Limited, which is an indirectly wholly owned subsidiary of RBC Holdings (Channel Islands) Limited.
- F3Represents the unconverted principal amount of $10,100,000.
- F4Subject to Section 5 of the 6% Senior Unsecured Convertible Debenture (Due 2018) Certificate, the security is convertible at any time in whole or in part.
- F5The securities identified were distributed to the underlying participant of an International Pension Plan administered by RBC cees Trustee Limited.