THERMOENERGY CORP Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 30 rows, 30 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2012-07-12: Reporting owner Gelbaum David | Quercus Trust | Gelbaum Monica Chavez; Form 4; Security Common Stock Purchase Warrant; Transaction J Other acquisition or disposition (describe transaction).
- 2012-07-12: Reporting owner HUGHES J WINDER; Form 4; Security Common Stock Purchase Warrant; Transaction J Other acquisition or disposition (describe transaction).
- 2012-07-12: Reporting owner Bullock Cary; Form 4; Security Common Stock Purchase Warrant; Transaction J Other acquisition or disposition (describe transaction).
- 2009-12-03: Reporting owner HUGHES J WINDER; Form 3; Security Common Stock Purchase Warrant; Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2012-07-12 | Gelbaum David | Quercus Trust | Gelbaum Monica Chavez 10% Owner | 10% Owner | 10% Owner | 4 | Common Stock Purchase Warrant Derivative · Direct | J Other acquisition or disposition (describe transaction) | +650,000 650,000 owned after | $0.15 exercise price | 2012-07-12 | |
| 2012-07-12 | HUGHES J WINDER Director, 10% Owner | 4 | Common Stock Purchase Warrant Derivative · Direct | J Other acquisition or disposition (describe transaction) | +1,250,000 1,250,000 owned after | $0.15 exercise price | 2012-07-12 | |
| 2012-07-12 | Bullock Cary Director, Officer (Chairman, President and CEO) | 4 | Common Stock Purchase Warrant Derivative · Direct | J Other acquisition or disposition (describe transaction) | +625,000 625,000 owned after | $0.15 exercise price | 2012-07-12 | |
| 2009-12-03 holding as of filing | HUGHES J WINDER Director | 3 | Common Stock Purchase Warrant Derivative · Indirect · (m) | Holding | $0.75 exercise price | 2009-12-03 | ||
| 2009-12-03 holding as of filing | HUGHES J WINDER Director | 3 | Common Stock Purchase Warrant Derivative · Indirect · (m) | Holding | $0.54 exercise price | 2009-12-03 | ||
| 2009-11-19 | HUGHES J WINDER Director, 10% Owner | 4 | Common Stock Purchase Warrant Derivative · Indirect · See footnote. | P Open market or private purchase of non-derivative or derivative security | +500,000 500,000 owned after | $0.50 exercise price | 2009-12-03 | |
| 2009-11-19 | HUGHES J WINDER Director, 10% Owner | 4 | Common Stock Purchase Warrant Derivative · Indirect · See footnote. | P Open market or private purchase of non-derivative or derivative security | +458,333 458,333 owned after | $0.24 exercise price | 2009-12-03 | |
| 2009-11-19 | Gelbaum David | Gelbaum Monica Chavez | Quercus Trust Director | | 10% Owner | 4 | Warrants Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | 2,800,000 owned after | $0.50 exercise price | 2009-11-30 | |
| 2009-10-09 holding as of filing | Quercus Trust | Gelbaum David | Gelbaum Monica Chavez 10% Owner | | | 3/A | Warrant Derivative · Direct | Holding | $0.36 exercise price | 2009-10-09 | ||
| 2009-09-28 | HUGHES J WINDER Director, 10% Owner | 4 | Common Stock Purchase Warrant Derivative · Indirect · See footnote. | J Other acquisition or disposition (describe transaction) | −500,000 0 owned after | $0.75 exercise price | 2009-12-03 | |
| 2009-09-28 | HUGHES J WINDER Director, 10% Owner | 4 | Common Stock Purchase Warrant Derivative · Indirect · See footnote. | J Other acquisition or disposition (describe transaction) | +500,000 500,000 owned after | $0.50 exercise price | 2009-12-03 | |
| 2009-09-28 | HUGHES J WINDER Director, 10% Owner | 4 | Common Stock Purchase Warrant Derivative · Indirect · See footnote. | J Other acquisition or disposition (describe transaction) | −600,000 0 owned after | $0.54 exercise price | 2009-12-03 | |
| 2009-09-28 | HUGHES J WINDER Director, 10% Owner | 4 | Common Stock Purchase Warrant Derivative · Indirect · See footnote. | J Other acquisition or disposition (describe transaction) | +600,000 500,000 owned after | $0.50 exercise price | 2009-12-03 | |
| 2009-09-28 | Gelbaum Monica Chavez | Gelbaum David | Quercus Trust | | 10% Owner | 4 | Warrants Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | 1,120,000 owned after | $0.50 exercise price | 2009-10-09 | |
| 2009-08-21 | HUGHES J WINDER Director, 10% Owner | 4 | Common Stock Purchase Warrant Derivative · Indirect · See footnote. | P Open market or private purchase of non-derivative or derivative security | +2,400,000 2,400,000 owned after | $0.50 exercise price | 2009-12-03 | |
| 2009-07-08 holding as of filing | Empire Capital Management, L.L.C. 10% Owner | 3 | Common Stock Purchase Warrant Derivative · Indirect · See FN | Holding | $0.53 exercise price | 2009-07-08 | ||
| 2009-07-08 holding as of filing | Empire Capital Management, L.L.C. 10% Owner | 3 | Common Stock Purchase Warrant Derivative · Indirect · See FN | Holding | $0.55 exercise price | 2009-07-08 | ||
| 2009-07-08 holding as of filing | Empire Capital Management, L.L.C. 10% Owner | 3 | Common Stock Purchase Warrant Derivative · Indirect · See FN | Holding | $0.55 exercise price | 2009-07-08 | ||
| 2008-09-15 | Quercus Trust | Gelbaum David | Gelbaum Monica Chavez 10% Owner | Director | | 4/A | Warrant Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +4,000,000 4,000,000 owned after | $0.36 exercise price | 2009-10-09 | |
| 2008-09-15 | Gelbaum David | Quercus Trust | Gelbaum Monica Chavez Director | 10% Owner | | 4 | Warrant Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +3,000,000 3,000,000 owned after | $1.25 exercise price | 2008-09-17 | |
| 2008-07-22 holding as of filing | KIMBERLIN KEVIN 10% Owner | 4 | Common Stock Purchase Warrant Derivative · Indirect · See Footnotes | Holding | 50,000 owned after | $0.50 exercise price | 2008-07-22 | |
| 2008-07-10 | KIMBERLIN KEVIN 10% Owner | 4 | Common Stock Purchase Warrant Derivative · Indirect · See Footnotes | X Exercise of in-the-money or at-the-money derivative security | −2,417,539 0 owned after | $0.50 | 2008-07-22 | |
| 2008-05-27 | ROENIGK MARTIN A Director, 10% Owner | 4 | Common Stock Warrants (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +550,000 550,000 owned after | $0.10 | 2008-05-28 | |
| 2008-03-27 holding as of filing | KIMBERLIN KEVIN 10% Owner | 3 | Common Stock Purchase Warrant Derivative · Indirect · See Footnotes. | Holding | $0.50 exercise price | 2008-03-27 | ||
| 2008-03-27 holding as of filing | KIMBERLIN KEVIN 10% Owner | 3 | Common Stock Purchase Warrant Derivative · Indirect · See Footnotes. | Holding | $0.50 exercise price | 2008-03-27 | ||
| 2008-03-14 | ROENIGK MARTIN A Director, 10% Owner | 4 | Warrant Derivative · Direct | J Other acquisition or disposition (describe transaction) | +750,000 1,500,000 owned after | no price filed | 2008-03-20 | |
| 2007-12-31 holding as of filing | Gelbaum Monica Chavez | Gelbaum David | Quercus Trust | | 10% Owner | 3 | Warrant Derivative · Direct | Holding | $1.50 exercise price | 2007-12-31 | ||
| 2007-07-12 holding as of filing | Powell Jeffrey L Other (Executive Vice President) | 3 | Warrant to Purchase Common Stock Derivative · Direct | Holding | $0.50 exercise price | 2007-07-12 | ||
| 2007-03-30 holding as of filing | ROENIGK MARTIN A 10% Owner | 3 | Warrant Derivative · Direct | Holding | no price filed | 2007-03-30 | ||
| 2007-03-30 holding as of filing | ROENIGK MARTIN A 10% Owner | 3 | Warrant Derivative · Direct | Holding | no price filed | 2007-03-30 |