SEC Form 3 · accession 0001104659-16-140740
Energous Corp · WATT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
ASCEND CAPITAL, LLC
Other
Period of report
Aug 9, 2016
Accepted (ET)
Aug 19, 2016 · 5:09 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001575793
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2,F3 | holding | — | — | — | 1,618,123 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Ascend Legend Master Fund, Ltd., Ascend Legend Fund, Ltd., Ascend Partners Fund I, Ltd., Ascend Capital Limited Partnership and Ascend Capital, LLC are members of a 10% owner group of Energous Corporation (the "Issuer"), the other members of which are Malcolm Fairbairn, Emily Fairbairn, Valley High Limited Partnership, Valley High Capital, LLC, Nina Fairbairn Irrevocable Trust September 30, 2011 and Grant Fairbairn Irrevocable Trust September 30, 2011. Please see the Form 3 with respect to the Issuer filed on August 19, 2016, by Malcolm Fairbairn for more information regarding the holdings of Malcolm Fairbairn, Emily Fairbairn, Valley High Limited Partnership, Valley High Capital LLC, Nina Fairbairn Irrevocable Trust September 30, 2011 and Grant Fairbairn Irrevocable Trust September 30, 2011.
- F2Ascend Legend Master Fund, Ltd. is the direct beneficial owner of the shares of common stock (the "Shares"). Ascend Legend Fund, Ltd. serves as a feeder fund to, and the sole shareholder of, Ascend Legend Master Fund, Ltd. Ascend Partners Fund I, Ltd. is the sole shareholder of Ascend Legend Fund, Ltd. Ascend Capital Limited Partnership is the investment adviser to Ascend Partners Fund I, Ltd., Ascend Legend Fund, Ltd. and Ascend Legend Master Fund, Ltd. Ascend Capital, LLC is the general partner of Ascend Capital Limited Partnership. Malcolm Fairbairn is the managing member of Ascend Capital, LLC. Ascend Legend Fund, Ltd., Ascend Capital Limited Partnership, Ascend Capital, LLC and Malcolm Fairbairn are indirect beneficial owners of the Shares.
- F3Malcolm Fairbairn has filed a separate Form 3 which also reflects these Shares, filed on August 19, 2016.