SEC Form 4 · accession 0001094891-16-000595
Tecnoglass Inc. · TGLS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Joaquin Fernandez
Officer — Chief Financial Officer · 10% Owner
Energy Holding Corp
10% Owner
Becerra Alberto Jose Velilla
10% Owner
Period of report
Sep 8, 2016
Accepted (ET)
Sep 9, 2016 · 12:00 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001534675
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Ordinary SharesF1,F2 | Sep 8, 2016 | P$0 | 315,632 | — | A | 22,382,773 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| WarrantF1,F2 | $8.00 | Sep 8, 2016 | S | 789,082 | D | Dec 20, 2013 | Dec 20, 2016 | Ordinary Shares | 789,082 | 0 | D |
Explanation of responses
- F1The reporting person disposed of 789,082 warrants in exchange for 315,632 ordinary shares in an issuer exchange offer.
- F2Represents securities held by Energy Holding Corporation. As a director of Energy Holding Corporation, Mr. Becerra shares voting and dispositive power over securities held by Energy Holding Corporation with Mr. Joaquin Fernandez. Messrs. Becerra and Fernandez disclaim beneficial ownership of such securities except to the extent of their pecuniary interests therein.