UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Stock Option (Right to Buy) | 05/12/2016(2) | 05/12/2026 | Common Stock | 12,723 | $ 3.93 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
HATSOPOULOS JOHN 45 FIRST AVENUE WALTHAM, MA 02451 |
X |
/s/ John N. Hatsopoulos | 05/06/2022 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Includes: (1) 44,012 shares held by Pat, Ltd. of which Mr. Hatsopoulos is a shareholder together with his wife Patricia Hatsopoulos, (2) 28,225 shares held by Mrs. Hatsopoulos, and (3) 3,325 shares held in an individual retirement account for Mrs. Hatsopoulos. Excludes, and Mr. Hatsopoulos disclaims beneficial ownership of, shares held by the following irrevocable trusts: (1) the John N. Hatsopoulos Trust 2007, of which Mr. Yiannis Monovoukas is the trustee, the John Hatsopoulos 1989 Family Trust, of which Mrs. Ann Marie Pacheco is the trustee, and (3) the Nia M. Hatsopoulos 2011 Irrevocable Trust of which Mrs. Ann Marie Pacheco is the trustee. |
(2) | Converted from options to acquire shares of American DG Energy Inc.; vested in connection with merger of American DG Energy Inc. with a subsidiary of Tecogen Inc. |