SEC Form 4 · accession 0001104659-17-070149
GREEN EARTH TECHNOLOGIES, INC · GETG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Douglas J Von Allmen
10% Owner
Period of report
Oct 27, 2017
Accepted (ET)
Nov 22, 2017 · 2:48 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001433966
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Oct 27, 2017 | J | 2,756,998 | $0.01 | A | 44,601,842 | I | D&L Management Corporation |
| Common StockF3 | Oct 27, 2017 | J | 52,665 | $0.01 | A | 1,018,719 | I | FWD, LLC |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The reporting person is a controlling shareholder of D&L Management Corporation, the general partner of D&L Partners is D&L Management Corporation, and in such capacity holds voting and dispositive power over the securities held by such entity.
- F2These shares were issued to D&L Partners, L.P. as payment in kind for interest amounts due under a (i) 6% secured convertible debenture issued by Issuer on October 2, 2012, in an original principal amount of $1,000,000, with a maturity date of March 31, 2018; (ii) 6% secured convertible debenture issued by Issuer on March 28, 2013, in an original principal amount of $625,000, with a maturity date of March 31, 2018; (iii) 6% secured convertible debenture issued by Issuer on March 11, 2015, in an original principal amount of $50,000, with a maturity date of March 31, 2018; and (iv) 6% secured convertible debenture issued by Issuer on May 14, 2015, in an original principal amount of $70,000, with a maturity date of March 31, 2018.
- F3These shares are owned directly by FWD, LLC ("FWD"). The reporting person owns 33.33% of FWD.
- F4These shares were issued to FWD, LLC as payment in kind for interest amounts due under a 6% secured convertible debenture issued by Issuer on March 10, 2015, in an original principal amount of $100,000, with a conversion price of $0.06 and a maturity date of March 31, 2018.