SEC Form 3 · accession 0001537435-17-000083
TECOGEN INC. · TGEN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Bonnie Jean Brown
Officer — Chief Accounting Officer
Period of report
May 23, 2017
Accepted (ET)
Jun 1, 2017 · 4:46 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001537435
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | holding | — | — | — | 1,762 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F1 | $3.15 | holding | — | — | — | — | Sep 2, 2025 | Common Stock | 9,200 | — | D |
Explanation of responses
- F1Following the completion of the Merger and pursuant to the Merger Agreement between American DG Energy and the Company dated November 1, 2016 and as amended March 23, 2017, American DG Energy's securities were converted to securities of the Company.
Remarks
This transaction is exempt from liability under Section 16(b) of the Securities Exchange Act of 1934.