SEC Form 4 · accession 0001463101-18-000087
Enphase Energy, Inc. · ENPH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thurman J Rodgers
Director
Period of report
Aug 20, 2018
Accepted (ET)
Aug 20, 2018 · 5:11 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001463101
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 4% Convertible Senior Notes due 2023F3,F1,F2 | — | Aug 20, 2018 | A | 5,000,000 | A | — | — | Common Stock | 900,090 | 5,000,000 | I |
Explanation of responses
- F1The conversion rate for the 4% Convertible Senior Notes due 2023 (the "Convertible Notes") is equal to 180.0180 shares of common stock per $1,000 principal amount of the Convertible Notes (equivalent to an initial conversion price of approximately $5.56 per share of common stock), subject to adjustment in accordance with the applicable indenture.
- F2The Convertible Notes mature on August 1, 2023, unless earlier converted or repurchased. The Reporting Person may convert all or any portion of the Convertible Notes at any time prior to the close of business on the business day immediately preceding the maturity date.
- F3The Convertible Notes are owned by the Rodgers Massey Revocable Trust dtd 4/4/11, for which the Reporting Person and his souse serve as trustee.