SEC Form 3/A · accession 0001140361-16-071884

Ocean Thermal Energy Corp · CPWR

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

This is an amendment (Form 3/A). It replaces an earlier filing for the same period.

Reporting owner

Jeremy Feakins

Officer — CEO · Director · 10% Owner

Period of report

Jul 5, 2016

Accepted (ET)

Jul 7, 2016 · 11:43 am EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001531272

Table I — non-derivative securities

Security	Date	Code	Shares	A/D	Owned after	D/I	Nature of ownership
Common Stock	holding	—	—	—	6,844,334	D
Common Stock	holding	—	—	—	4,143,164	I	by JPF Venture Fund 1, LP
Common Stock	holding	—	—	—	800,000	I	by Queen Street Development Partners

Table II — derivative securities

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Warrants	$3.00	holding	—	—	—	Apr 16, 2012	Mar 31, 2017	Common Stock	200,000	—	D
Warrants^F1	$0.43	holding	—	—	—	Apr 1, 2014	Jan 31, 2017	Common Stock	12,912,500	—	I
Warrants^F1	$0.43	holding	—	—	—	Dec 1, 2013	—	Common Stock	300,000	—	I
Warrants	$0.68	holding	—	—	—	Aug 15, 2013	Aug 31, 2023	Common Stock	10,000	—	I
Warrants	$0.25	holding	—	—	—	Jul 28, 2015	Mar 15, 2017	Common Stock	8,000,000	—	I

Explanation of responses

F1Warrant expires on the day that is one year after the date of the issuer's public offering of shares on a public exchange.

Remarks

This report has been amended in its entirety from the report filed July 6, 2016, to delete 1,000,000 shares of common stock erroneously reported to be held by Phoenix Investment.