SEC Form 4 · accession 0001445866-17-001551
SUMMER ENERGY HOLDINGS INC · SUME
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Tom Davis Oleary
Director · 10% Owner
Period of report
Jun 24, 2016
Accepted (ET)
Nov 8, 2017 · 6:37 pm EST
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 | Jun 24, 2016 | C | 300,000 | — | A | 3,075,246 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series B Preferred StockF1,F3 | — | Jun 24, 2016 | C | 300,000 | D | Feb 19, 2014 | — | Common Stock | 300,000 | 0 | D |
Explanation of responses
- F1Reflects the conversion of 300,000 shares of Series B Preferred Stock into 300,000 shares of Common Stock of the Issuer. The shares converted into a number of shares of Common Stock equal to (i) the Deemed Original Issue Price ($1.00) by (ii) the Conversion Price ($1.00).
- F2Does not include 84,378 shares held of record by Northeast Opco, LLC, of which the Reporting Person is an officer, owner and control person.
- F3The Series B Preferred Stock had no expiration date.
Remarks
By Alexander N. Pearson, pursuant to a Power of Attorney dated December 12, 2012 previously filed with the Securities and Exchange Commission as Exhibit 24.1 to Schedule 13G on December 12, 2012 on behalf of Tom O'Leary, which Power of Attorney is incorporated by reference.