SEC Form 4 · accession 0000919574-17-006757
Enservco Corp · ENSV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Cross River Partners LP
10% Owner
CROSS RIVER CAPITAL MANAGEMENT LLC
Director · 10% Owner
Richard Murphy
Director · 10% Owner
Cross River Management LLC
10% Owner
Period of report
Sep 12, 2017
Accepted (ET)
Sep 14, 2017 · 5:28 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000319458
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, $.005 par valueF1 | Sep 12, 2017 | P | 39,240 | $0.4163 | A | 10,500,758 | D | |
| Common Stock, $.005 par valueF2 | Sep 12, 2017 | P | 0 | $0.4163 | A | 10,500,758 | I | See Footnote |
| Common Stock, $.005 par valueF1 | Sep 14, 2017 | P | 179,332 | $0.437 | A | 10,680,090 | D | |
| Common Stock, $.005 par valueF2 | Sep 14, 2017 | P | 0 | $0.437 | A | 10,680,090 | I | See Footnote |
| Common Stock, $.005 par valueF3 | holding | — | — | — | 73,900 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| WarrantsF2 | $0.31 | holding | — | — | — | Jun 28, 2017 | Jun 28, 2022 | Common Stock, $.005 par value | 1,612,902 | 1,612,902 | D |
Explanation of responses
- F1The reported securities are directly owned by Cross River Partners LP.
- F2The reported securities are directly owned by Cross River Partners LP (the "Partnership"), a limited partnership whose general partner is Cross River Capital Management LLC (the "General Partner"), and may be deemed indirectly beneficially owned by the General Partner and by Cross River Management LLC, as the investment manager of the Partnership (the "Investment Manager"). The reported securities may also be deemed indirectly beneficially owned by Richard Murphy, as Managing Member of both the General Partner and the Investment Manager. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
- F3These securities are directly owned by Richard Murphy, who is a Reporting Person.