SEC Form 3 · accession 0001463101-17-000007
Enphase Energy, Inc. · ENPH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thurman J Rodgers
Director
Period of report
Jan 9, 2017
Accepted (ET)
Jan 11, 2017 · 4:03 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001463101
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | holding | — | — | — | 5,406,574 | I | Held in Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Option (right to buy)F2,F3 | $1.11 | holding | — | — | — | Jan 9, 2018 | Jan 8, 2024 | Common Stock | 171,029 | — | D |
Explanation of responses
- F1Reflects shares purchased on January 9, 2017 pursuant to the terms of a securities purchase agreement at a purchase price of $0.9248 per share. The shares are held in the Rodgers Massey Revocable Living Trust dated April 4, 2011.
- F2Issued pursuant to the 2011 Equity Incentive Plan.
- F3Such option will vest in four (4) equal annual installments from the grant date, such that the option is fully vested on the fourth anniversary of the date of grant, subject to the Director's continued service.