SEC Form 4 · accession 0001445866-16-001931
SUMMER ENERGY HOLDINGS INC · SUME
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Neil Leibman
Officer — Chief Executive Officer · Director · 10% Owner
Period of report
Dec 2, 2015
Accepted (ET)
Apr 14, 2016 · 1:35 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001396633
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Dec 2, 2015 | W | 110,000 | $0.00 | A | 736,318 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The reporting person inherited these shares of SUME by will and through the laws of descent and distribution from the reporting person's father on December 2, 2015.
- F2Does not include 46,479 shares held of record by Boxer Capital, Ltd., a Texas LP. Mr. Leibman is general partner of such entity and has sole voting and dispositive power over such shares. Also does not include 1,807,576 shares held of record by MAA Holdings Limited, a Texas LP. Mr. Leibman is general partner of such entity and has sole voting and dispositive power over such shares. Also does not include 21,060 shares held of record by Northeast Opco, LLC, a Texas LLC. Mr. Leibman is a control person and 20% owner of such entity and shares voting and dispositive power over such shares. Mr. Leibman disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that such reporting person is the beneficial owner of the securities for purposes of Section 16 of the Exchange Act, or for any other purpose.
Remarks
By Alexander N. Pearson, pursuant to a power of attorney dated December 12, 2012, included as Exhibit 24.1 to Schedule 13G filed on December 12, 2012.