COMVERGE, INC. Forms 3, 4 and 5: Corporate Securities (Bonds and Notes)
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 9 rows, 9 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2012-03-26: Reporting owner MNAYMNEH SAMI | TAMER ANTHONY; Form 3; Security Subordinated Secured Convertible Note; Transaction Holding.
- 2012-03-26: Reporting owner MNAYMNEH SAMI | TAMER ANTHONY; Form 3; Security Senior Convertible Promissory Note; Transaction Holding.
- 2012-03-26: Reporting owner HIG BAYSIDE DEBT & LBO FUND II LP | HIG GP II INC | Peak Holding Corp. | H.I.G. Bayside Advisors II, L.L.C.; Form 3; Security Subordinated Secured Convertible Note; Transaction Holding.
- 2007-07-25: Reporting owner EnerTech Capital Partners, L.P. | EnerTech Management Company, L.P. | EnerTech Management CO Manager, LLC | EnerTech Capital Holding Company, L.P. | KEITH ROBERT E JR | EnerTech Capital Holding CO Manager, LLC | Kingsley William G | DENINO MARK J | EnerTech Management, L.P.; Form 3; Security Subordinated Convertible Debenture; Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2012-03-26 holding as of filing | MNAYMNEH SAMI | TAMER ANTHONY 10% Owner | 10% Owner | 3 | Subordinated Secured Convertible Note Derivative · Indirect · See footnote | Holding | $1.40 exercise price | 2012-03-26 | ||
| 2012-03-26 holding as of filing | MNAYMNEH SAMI | TAMER ANTHONY 10% Owner | 10% Owner | 3 | Senior Convertible Promissory Note Derivative · Indirect · See footnote | Holding | $5.46 exercise price | 2012-03-26 | ||
| 2012-03-26 holding as of filing | HIG BAYSIDE DEBT & LBO FUND II LP | HIG GP II INC | Peak Holding Corp. | H.I.G. Bayside Advisors II, L.L.C. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Subordinated Secured Convertible Note Derivative · Indirect · See footnote | Holding | $1.40 exercise price | 2012-03-26 | ||
| 2007-07-25 holding as of filing | EnerTech Capital Partners, L.P. | EnerTech Management Company, L.P. | EnerTech Management CO Manager, LLC | EnerTech Capital Holding Company, L.P. | KEITH ROBERT E JR | EnerTech Capital Holding CO Manager, LLC | Kingsley William G | DENINO MARK J | EnerTech Management, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Subordinated Convertible Debenture Derivative · Direct | Holding | no price filed | 2007-07-25 | ||
| 2007-07-25 holding as of filing | EnerTech Capital Partners, L.P. | EnerTech Management Company, L.P. | EnerTech Management CO Manager, LLC | EnerTech Capital Holding Company, L.P. | KEITH ROBERT E JR | EnerTech Capital Holding CO Manager, LLC | Kingsley William G | DENINO MARK J | EnerTech Management, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Subordinated Convertible Debenture Derivative · Direct | Holding | no price filed | 2007-07-25 | ||
| 2007-07-23 | Musser Dean W. Officer (Pre&COOofEnerwiseGlob.Tec. Inc) | 4 | Convertible Promissory Note Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +0 0 owned after | $33.44 exercise price | 2007-07-25 | |
| 2007-07-23 | Kingsley William G | ECP II Management, LLC | ECP II Management, L.P. | ECP II Interfund, L.P. | KEITH ROBERT E JR | EnerTech Capital Partners II, L.P. | DENINO MARK J 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Subordinated Convertible Debenture Derivative · Direct | J Other acquisition or disposition (describe transaction) | +1 1 owned after | $33.44 exercise price | 2007-07-25 | |
| 2007-07-23 | Kingsley William G | ECP II Management, LLC | ECP II Management, L.P. | ECP II Interfund, L.P. | KEITH ROBERT E JR | EnerTech Capital Partners II, L.P. | DENINO MARK J 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Subordinated Convertible Debenture Derivative · Direct | J Other acquisition or disposition (describe transaction) | +1 1 owned after | $33.44 exercise price | 2007-07-25 | |
| 2007-07-23 | Ungerer Scott B Director, 10% Owner | 4 | Subordinated Convertible Debenture Derivative · Indirect · See Footnote | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4 4 owned after | no price filed | 2007-07-25 |