THERMOENERGY CORP Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 2 rows, 2 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2009-11-19: Reporting owner HUGHES J WINDER; Form 4; Security Series B Convertible Preferred Stock; Transaction C Conversion of derivative security.
- 2009-11-19: Reporting owner Gelbaum David | Gelbaum Monica Chavez | Quercus Trust; Form 4; Security Series B Convertible Preferred Stock; Transaction P Open market or private purchase of non-derivative or derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2009-11-19 | HUGHES J WINDER Director, 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · See footnote. | C Conversion of derivative security | +256,082 256,082 owned after | $2.40 | 2009-12-03 | |
| 2009-11-19 | Gelbaum David | Gelbaum Monica Chavez | Quercus Trust Director | | 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | 1,458,621 owned after | $0.24 exercise price | 2009-11-30 |