SEC Form 4 · accession 0001378706-15-000048

AMERICAN DG ENERGY INC · ADGE

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Co-Chief Executive Officer · Director

Period of report

Sep 2, 2015

Accepted (ET)

Sep 4, 2015 · 3:44 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 Stock^F1	Sep 2, 2015	G	6,993,984	$0.00	D	506,016	I	Mr. John N. Hatsopoulos and Mrs. Patricia L. Hatsopoulos are co-trustees
Common Stock^F2,F3	holding	—	—		—	701,400	D
Common Stock^F4	holding	—	—		—	50,000	I	Owned by Pat Limited.
Common Stock	holding	—	—		—	36,149	I	Held by Mr. Hatsopoulos's Spouse

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
6% Senior Unsecured Convertible Debenture^F5,F6	$2.11	holding	—	—	—	May 23, 2011	—	Common Stock	—	—	D

F1Held 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 Mr. John N. Hatsopoulos and Mrs. Patricia L. Hatsopoulos are co-trustees.
F2The Reporting Person previously erroneously reported that 1,201,400 shares of common stock of American DG Energy Inc. were jointly owned by the Reporting Person. The Reporting Person is filing this Form 4, in part, to reflect that this holding is actually 701,400 shares and not 1,201,400 shares.
F3Held by John N. Hatsopoulos and his wife, Patricia L. Hatsopoulos, as joint tenants with rights of survivorship, each of whom share voting and investment power
F4Held by Pat Limited, a company incorporated in the Commonwealth of The Bahamas controlled by John N. Hatsopoulos.
F5Derivative security is a 6% Senior Unsecured Convertible Debentures Due 2018 in the principal amount of $2,400,000 with a conversion price of $2.11.
F6Matures May 25, 2018.