SEC Form 4 · accession 0001445866-18-000454
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
Apr 19, 2018
Accepted (ET)
Apr 23, 2018 · 7:36 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 | Apr 20, 2018 | P | 1,535 | $1.95 | A | 96,453 | I | Footnote |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock (Right to Buy) | $2.25 | Apr 19, 2018 | A | 8,750 | A | Jul 1, 2018 | Apr 19, 2028 | Common Stock | 8,750 | 8,750 | D |
Explanation of responses
- F1The shares were purchased at a price of $1.95 per share.
- F2The reported securities were purchased by NORTHEAST OPCO, LLC, a Texas limited liability company of which the Reporting Person is an officer and control person as well as a 20% owner. The Reporting Person disclaims beneficial ownership of the shares of common stock held by NORTHEAST OPCO, LLC, except to the extent of his pecuniary interest therein. The purchases were made pursuant to a 10b5-1 trading plan adopted by NORTHEAST OPCO, LLC, on June 5, 2017.
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.