SEC Form 4 · accession 0001393905-16-000703
Blue Earth, Inc. · BBLU
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Laird Q Cagan
Director
Period of report
Jan 13, 2016
Accepted (ET)
Jan 25, 2016 · 2:34 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001422109
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jan 13, 2016 | C | 3,424,287 | $0.00 | A | 4,584,287 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrants | $0.01 | Jan 13, 2016 | C | 323,000 | D | Jul 3, 2013 | Feb 24, 2021 | Common Stock | 323,000 | 3,222,000 | D |
| Warrants | $0.01 | Jan 13, 2016 | C | 187,000 | D | Oct 19, 2012 | Dec 11, 2022 | Common Stock | 187,000 | 3,035,000 | D |
| Warrants | $0.01 | Jan 13, 2016 | C | 971,429 | D | Jan 1, 2014 | Dec 31, 2024 | Common Stock | 971,429 | 2,063,571 | D |
| Warrants | $0.01 | Jan 13, 2016 | C | 971,429 | D | Apr 17, 2013 | Apr 16, 2023 | Common Stock | 971,429 | 1,092,142 | D |
| Warrants | $0.01 | Jan 13, 2016 | C | 971,429 | D | Nov 6, 2012 | Nov 5, 2022 | Common Stock | 971,429 | 120,713 | D |
Explanation of responses
- F1Includes (a) 250,000 shares beneficially owned by Cagan Capital LLC, a company that Mr. Cagan beneficially owns, and (b) 350,000 shares beneficially owned by Mr. Cagan's minor children, held in KC Lifetime Trust. Mr. Cagan disclaims beneficial ownership of the securities held in the Trust.