COMVERGE, INC. Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 62 rows, 62 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2007-04-18: Reporting owner Chiste Robert M; Form 4; Security Series A Preferred Stock; Transaction C Conversion of derivative security.
- 2007-04-18: Reporting owner Magnotti Frank A; Form 4; Security Series A Preferred Stock; Transaction C Conversion of derivative security.
- 2007-04-18: Reporting owner MOORE JOHN A | ACORN FACTOR, INC.; Form 4; Security Series A Preferred Stock; Transaction C Conversion of derivative security.
- 2007-04-18: Reporting owner MOORE JOHN A | ACORN FACTOR, INC.; Form 4; Security Series A-2 Preferred Stock; Transaction C Conversion of derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2007-04-18 | Chiste Robert M Director, Officer (Chairman, CEO and President) | 4 | Series A Preferred Stock Derivative · Direct | C Conversion of derivative security | −36,957 0 owned after | $0.00 | 2007-04-19 | |
| 2007-04-18 | Magnotti Frank A Officer (Pre & COO-Altrntve Energy Res) | 4 | Series A Preferred Stock Derivative · Direct | C Conversion of derivative security | −25,447 0 owned after | $0.00 | 2007-04-19 | |
| 2007-04-18 | MOORE JOHN A | ACORN FACTOR, INC. Director, 10% Owner | 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −1,078,657 0 owned after | $0.00 | 2007-04-19 | |
| 2007-04-18 | MOORE JOHN A | ACORN FACTOR, INC. Director, 10% Owner | 10% Owner | 4 | Series A-2 Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −36,076 0 owned after | $0.00 | 2007-04-19 | |
| 2007-04-18 | MOORE JOHN A | ACORN FACTOR, INC. Director, 10% Owner | 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −42,000 0 owned after | $0.00 | 2007-04-19 | |
| 2007-04-18 | Ungerer Scott B Director, 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −2,304,705 0 owned after | no price filed | 2007-04-19 | |
| 2007-04-18 | Ungerer Scott B Director, 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −1,195,701 0 owned after | no price filed | 2007-04-19 | |
| 2007-04-18 | Ungerer Scott B Director, 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −96,326 0 owned after | no price filed | 2007-04-19 | |
| 2007-04-18 | Ungerer Scott B Director, 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −87,915 0 owned after | no price filed | 2007-04-19 | |
| 2007-04-18 | Ungerer Scott B Director, 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −45,610 0 owned after | no price filed | 2007-04-19 | |
| 2007-04-18 | Ungerer Scott B Director, 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −3,674 0 owned after | no price filed | 2007-04-19 | |
| 2007-04-18 | NTH POWER TECHNOLOGIES FUND II LP | WOODWARD TIMOTHY | NTH POWER TECHNOLOGIES FUND II A LP Other (4.9 Percent Owner) | Director | Other | 4 | Series A Preferred Stock Derivative · Indirect · By partnership | C Conversion of derivative security | −1,076,354 0 owned after | no price filed | 2007-04-19 | |
| 2007-04-18 | NTH POWER TECHNOLOGIES FUND II LP | WOODWARD TIMOTHY | NTH POWER TECHNOLOGIES FUND II A LP Other (4.9 Percent Owner) | Director | Other | 4 | Series A Preferred Stock Derivative · Indirect · By partnership | C Conversion of derivative security | −1,076,354 0 owned after | no price filed | 2007-04-19 | |
| 2007-04-18 | NTH POWER TECHNOLOGIES FUND II LP | WOODWARD TIMOTHY | NTH POWER TECHNOLOGIES FUND II A LP Other (4.9 Percent Owner) | Director | Other | 4 | Series B Preferred Stock Derivative · Indirect · By partnership | C Conversion of derivative security | −517,213 0 owned after | no price filed | 2007-04-19 | |
| 2007-04-18 | NTH POWER TECHNOLOGIES FUND II LP | WOODWARD TIMOTHY | NTH POWER TECHNOLOGIES FUND II A LP Other (4.9 Percent Owner) | Director | Other | 4 | Series B Preferred Stock Derivative · Indirect · By partnership | C Conversion of derivative security | −517,213 0 owned after | no price filed | 2007-04-19 | |
| 2007-04-18 | NTH POWER TECHNOLOGIES FUND II LP | WOODWARD TIMOTHY | NTH POWER TECHNOLOGIES FUND II A LP Other (4.9 Percent Owner) | Director | Other | 4 | Series C Preferred Stock Derivative · Indirect · By partnership | C Conversion of derivative security | −50,000 0 owned after | no price filed | 2007-04-19 | |
| 2007-04-18 | NTH POWER TECHNOLOGIES FUND II LP | WOODWARD TIMOTHY | NTH POWER TECHNOLOGIES FUND II A LP Other (4.9 Percent Owner) | Director | Other | 4 | Series C Preferred Stock Derivative · Indirect · By partnership | C Conversion of derivative security | −50,000 0 owned after | no price filed | 2007-04-19 | |
| 2007-04-18 | Wren Thomas W Jr Officer (Exec. V.P. and General Counsel) | 4 | Series A Preferred Stock Derivative · Direct | C Conversion of derivative security | −11,996 0 owned after | $0.00 | 2007-04-19 | |
| 2007-04-18 | EnerTech Capital Partners II, L.P. 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −2,304,705 0 owned after | $0.00 | 2007-04-19 | |
| 2007-04-18 | EnerTech Capital Partners II, L.P. 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −1,195,701 0 owned after | $0.00 | 2007-04-19 | |
| 2007-04-18 | EnerTech Capital Partners II, L.P. 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −96,326 0 owned after | $0.00 | 2007-04-19 | |
| 2007-04-18 | EnerTech Capital Partners II, L.P. 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −87,915 0 owned after | $0.00 | 2007-04-19 | |
| 2007-04-18 | EnerTech Capital Partners II, L.P. 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −45,610 0 owned after | $0.00 | 2007-04-19 | |
| 2007-04-18 | EnerTech Capital Partners II, L.P. 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −3,674 0 owned after | no price filed | 2007-04-19 | |
| 2007-04-18 | RP Co-Investment Fund I, L.P. | RockPort Capital Partners, L.P. | ELLIS ALEXANDER III 10% Owner | 10% Owner | Director | 4 | Series B Preferred Stock Derivative · Indirect · By partnership | C Conversion of derivative security | −1,861,966 0 owned after | $0.00 | 2007-04-19 | |
| 2007-04-18 | RP Co-Investment Fund I, L.P. | RockPort Capital Partners, L.P. | ELLIS ALEXANDER III 10% Owner | 10% Owner | Director | 4 | Series B Preferred Stock Derivative · Indirect · By partnership | C Conversion of derivative security | −620,655 0 owned after | $0.00 | 2007-04-19 | |
| 2007-04-18 | RP Co-Investment Fund I, L.P. | RockPort Capital Partners, L.P. | ELLIS ALEXANDER III 10% Owner | 10% Owner | Director | 4 | Series C Preferred Stock Derivative · Indirect · By partnership | C Conversion of derivative security | −75,000 0 owned after | $0.00 | 2007-04-19 | |
| 2007-04-18 | RP Co-Investment Fund I, L.P. | RockPort Capital Partners, L.P. | ELLIS ALEXANDER III 10% Owner | 10% Owner | Director | 4 | Series C Preferred Stock Derivative · Indirect · By partnership | C Conversion of derivative security | −25,000 0 owned after | $0.00 | 2007-04-19 | |
| 2007-04-13 holding as of filing | Ungerer Scott B Director, 10% Owner | 3/A | Series A Convertible Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2007-04-13 | ||
| 2007-04-13 holding as of filing | Ungerer Scott B Director, 10% Owner | 3/A | Series B Convertible Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2007-04-13 | ||
| 2007-04-13 holding as of filing | Ungerer Scott B Director, 10% Owner | 3/A | Series C Convertible Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2007-04-13 | ||
| 2007-04-13 holding as of filing | Ungerer Scott B Director, 10% Owner | 3/A | Series A Convertible Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2007-04-13 | ||
| 2007-04-13 holding as of filing | Ungerer Scott B Director, 10% Owner | 3/A | Series B Convertible Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2007-04-13 | ||
| 2007-04-13 holding as of filing | Ungerer Scott B Director, 10% Owner | 3/A | Series C Convertible Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2007-04-13 | ||
| 2007-04-12 holding as of filing | KEITH ROBERT E JR | ECP II Interfund, L.P. | EnerTech Capital Partners II, L.P. | ECP II Management, L.P. | ECP II Management, LLC | DENINO MARK J | Kingsley William G Other (Memberof Exec Board for EPC II) | Other (1.2 Percent Owner) | Other (9.7 Percent Owner) | Other (Parent Entity of ECP II) | Other (Parent Entity of ECP II) | Other (Memberof Exec Board for EPC II) | Other (Memberof Exec Board for EPC II) | 3 | Series A Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2007-04-12 | ||
| 2007-04-12 holding as of filing | KEITH ROBERT E JR | ECP II Interfund, L.P. | EnerTech Capital Partners II, L.P. | ECP II Management, L.P. | ECP II Management, LLC | DENINO MARK J | Kingsley William G Other (Memberof Exec Board for EPC II) | Other (1.2 Percent Owner) | Other (9.7 Percent Owner) | Other (Parent Entity of ECP II) | Other (Parent Entity of ECP II) | Other (Memberof Exec Board for EPC II) | Other (Memberof Exec Board for EPC II) | 3 | Series B Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2007-04-12 | ||
| 2007-04-12 holding as of filing | KEITH ROBERT E JR | ECP II Interfund, L.P. | EnerTech Capital Partners II, L.P. | ECP II Management, L.P. | ECP II Management, LLC | DENINO MARK J | Kingsley William G Other (Memberof Exec Board for EPC II) | Other (1.2 Percent Owner) | Other (9.7 Percent Owner) | Other (Parent Entity of ECP II) | Other (Parent Entity of ECP II) | Other (Memberof Exec Board for EPC II) | Other (Memberof Exec Board for EPC II) | 3 | Series C Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2007-04-12 | ||
| 2007-04-12 holding as of filing | KEITH ROBERT E JR | ECP II Interfund, L.P. | EnerTech Capital Partners II, L.P. | ECP II Management, L.P. | ECP II Management, LLC | DENINO MARK J | Kingsley William G Other (Memberof Exec Board for EPC II) | Other (1.2 Percent Owner) | Other (9.7 Percent Owner) | Other (Parent Entity of ECP II) | Other (Parent Entity of ECP II) | Other (Memberof Exec Board for EPC II) | Other (Memberof Exec Board for EPC II) | 3 | Series A Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2007-04-12 | ||
| 2007-04-12 holding as of filing | KEITH ROBERT E JR | ECP II Interfund, L.P. | EnerTech Capital Partners II, L.P. | ECP II Management, L.P. | ECP II Management, LLC | DENINO MARK J | Kingsley William G Other (Memberof Exec Board for EPC II) | Other (1.2 Percent Owner) | Other (9.7 Percent Owner) | Other (Parent Entity of ECP II) | Other (Parent Entity of ECP II) | Other (Memberof Exec Board for EPC II) | Other (Memberof Exec Board for EPC II) | 3 | Series B Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2007-04-12 | ||
| 2007-04-12 holding as of filing | KEITH ROBERT E JR | ECP II Interfund, L.P. | EnerTech Capital Partners II, L.P. | ECP II Management, L.P. | ECP II Management, LLC | DENINO MARK J | Kingsley William G Other (Memberof Exec Board for EPC II) | Other (1.2 Percent Owner) | Other (9.7 Percent Owner) | Other (Parent Entity of ECP II) | Other (Parent Entity of ECP II) | Other (Memberof Exec Board for EPC II) | Other (Memberof Exec Board for EPC II) | 3 | Series C Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2007-04-12 | ||
| 2007-04-12 holding as of filing | NTH POWER TECHNOLOGIES FUND II A LP | NTH POWER TECHNOLOGIES FUND II LP | WOODWARD TIMOTHY Other | Other (6.7 Percent Owner) | Director, 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2007-04-12 | ||
| 2007-04-12 holding as of filing | NTH POWER TECHNOLOGIES FUND II A LP | NTH POWER TECHNOLOGIES FUND II LP | WOODWARD TIMOTHY Other | Other (6.7 Percent Owner) | Director, 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2007-04-12 | ||
| 2007-04-12 holding as of filing | NTH POWER TECHNOLOGIES FUND II A LP | NTH POWER TECHNOLOGIES FUND II LP | WOODWARD TIMOTHY Other | Other (6.7 Percent Owner) | Director, 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2007-04-12 | ||
| 2007-04-12 holding as of filing | NTH POWER TECHNOLOGIES FUND II A LP | NTH POWER TECHNOLOGIES FUND II LP | WOODWARD TIMOTHY Other | Other (6.7 Percent Owner) | Director, 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2007-04-12 | ||
| 2007-04-12 holding as of filing | NTH POWER TECHNOLOGIES FUND II A LP | NTH POWER TECHNOLOGIES FUND II LP | WOODWARD TIMOTHY Other | Other (6.7 Percent Owner) | Director, 10% Owner | 3 | Series C Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2007-04-12 | ||
| 2007-04-12 holding as of filing | NTH POWER TECHNOLOGIES FUND II A LP | NTH POWER TECHNOLOGIES FUND II LP | WOODWARD TIMOTHY Other | Other (6.7 Percent Owner) | Director, 10% Owner | 3 | Series C Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2007-04-12 | ||
| 2007-04-12 holding as of filing | Ungerer Scott B Director, 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2007-04-12 | ||
| 2007-04-12 holding as of filing | Ungerer Scott B Director, 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2007-04-12 | ||
| 2007-04-12 holding as of filing | Ungerer Scott B Director, 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2007-04-12 | ||
| 2007-04-12 holding as of filing | Ungerer Scott B Director, 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2007-04-12 | ||
| 2007-04-12 holding as of filing | Ungerer Scott B Director, 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2007-04-12 | ||
| 2007-04-12 holding as of filing | Ungerer Scott B Director, 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2007-04-12 | ||
| 2007-04-12 holding as of filing | MOORE JOHN A | ACORN FACTOR, INC. Director, 10% Owner | 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2007-04-12 | ||
| 2007-04-12 holding as of filing | MOORE JOHN A | ACORN FACTOR, INC. Director, 10% Owner | 10% Owner | 3 | Series A-2 Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2007-04-12 | ||
| 2007-04-12 holding as of filing | MOORE JOHN A | ACORN FACTOR, INC. Director, 10% Owner | 10% Owner | 3 | Series C Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2007-04-12 | ||
| 2007-04-12 holding as of filing | RockPort Capital Partners, L.P. | ELLIS ALEXANDER III | RP Co-Investment Fund I, L.P. 10% Owner | Director, 10% Owner | 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2007-04-12 | ||
| 2007-04-12 holding as of filing | RockPort Capital Partners, L.P. | ELLIS ALEXANDER III | RP Co-Investment Fund I, L.P. 10% Owner | Director, 10% Owner | 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2007-04-12 | ||
| 2007-04-12 holding as of filing | RockPort Capital Partners, L.P. | ELLIS ALEXANDER III | RP Co-Investment Fund I, L.P. 10% Owner | Director, 10% Owner | 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2007-04-12 | ||
| 2007-04-12 holding as of filing | RockPort Capital Partners, L.P. | ELLIS ALEXANDER III | RP Co-Investment Fund I, L.P. 10% Owner | Director, 10% Owner | 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2007-04-12 | ||
| 2007-04-12 holding as of filing | Wren Thomas W Jr Officer (Exec. V.P. and General Counsel) | 3 | Series A Preferred Stock Derivative · Direct | Holding | no price filed | 2007-04-12 | ||
| 2007-04-12 holding as of filing | Chiste Robert M Director, Officer (Chairman, CEO and President) | 3 | Series A Preferred Stock Derivative · Direct | Holding | no price filed | 2007-04-12 | ||
| 2007-04-12 holding as of filing | Magnotti Frank A Officer (Pre & COO-Altrntve Energy Res), 10% Owner | 3 | Series A Preferred Stock Derivative · Direct | Holding | no price filed | 2007-04-12 |