TPI Composites, Inc. Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 100 rows, 100 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2016-07-27: Reporting owner GE Ventures Ltd | GENERAL ELECTRIC CO; Form 4; Security Series B Convertible Preferred Stock; Transaction C Conversion of derivative security.
- 2016-07-27: Reporting owner GE Ventures Ltd | GENERAL ELECTRIC CO; Form 4; Security Series B-1 Convertible Preferred Stock; Transaction C Conversion of derivative security.
- 2016-07-27: Reporting owner GE Ventures Ltd | GENERAL ELECTRIC CO; Form 4; Security Senior Redeemable Preferred Stock; Transaction C Conversion of derivative security.
- 2016-07-27: Reporting owner GE Ventures Ltd | GENERAL ELECTRIC CO; Form 4; Security Super Senior Redeemable Preferred Stock; Transaction C Conversion of derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2016-07-27 | GE Ventures Ltd | GENERAL ELECTRIC CO 10% Owner | 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · Note | C Conversion of derivative security | −1,715 0 owned after | $0.00 | 2016-07-29 | |
| 2016-07-27 | GE Ventures Ltd | GENERAL ELECTRIC CO 10% Owner | 10% Owner | 4 | Series B-1 Convertible Preferred Stock Derivative · Indirect · Note | C Conversion of derivative security | −171 0 owned after | $0.00 | 2016-07-29 | |
| 2016-07-27 | GE Ventures Ltd | GENERAL ELECTRIC CO 10% Owner | 10% Owner | 4 | Senior Redeemable Preferred Stock Derivative · Indirect · Note | C Conversion of derivative security | −60 0 owned after | $0.00 | 2016-07-29 | |
| 2016-07-27 | GE Ventures Ltd | GENERAL ELECTRIC CO 10% Owner | 10% Owner | 4 | Super Senior Redeemable Preferred Stock Derivative · Indirect · Note | C Conversion of derivative security | −10 0 owned after | $0.00 | 2016-07-29 | |
| 2016-07-27 | ANGELENO GROUP, LLC | ANGELENO INVESTORS II L P | ANGELENO GROUP MANAGEMENT II, LLC 10% Owner | 10% Owner | 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −1,193 0 owned after | $0.00 | 2016-07-29 | |
| 2016-07-27 | ANGELENO GROUP, LLC | ANGELENO INVESTORS II L P | ANGELENO GROUP MANAGEMENT II, LLC 10% Owner | 10% Owner | 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −181 0 owned after | $0.00 | 2016-07-29 | |
| 2016-07-27 | ANGELENO GROUP, LLC | ANGELENO INVESTORS II L P | ANGELENO GROUP MANAGEMENT II, LLC 10% Owner | 10% Owner | 10% Owner | 4 | Series B-1 Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −194 0 owned after | $0.00 | 2016-07-29 | |
| 2016-07-27 | ANGELENO GROUP, LLC | ANGELENO INVESTORS II L P | ANGELENO GROUP MANAGEMENT II, LLC 10% Owner | 10% Owner | 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −1,227 0 owned after | $0.00 | 2016-07-29 | |
| 2016-07-27 | ANGELENO GROUP, LLC | ANGELENO INVESTORS II L P | ANGELENO GROUP MANAGEMENT II, LLC 10% Owner | 10% Owner | 10% Owner | 4 | Senior Redeemable Preferred Stock Derivative · Direct | C Conversion of derivative security | −170 0 owned after | $0.00 | 2016-07-29 | |
| 2016-07-27 | ANGELENO GROUP, LLC | ANGELENO INVESTORS II L P | ANGELENO GROUP MANAGEMENT II, LLC 10% Owner | 10% Owner | 10% Owner | 4 | Super Senior Redeemable Preferred Stock Derivative · Direct | C Conversion of derivative security | −85 0 owned after | $0.00 | 2016-07-29 | |
| 2016-07-27 | DEUTCH PHILIP J Director, 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −2,014 0 owned after | $0.00 | 2016-07-29 | |
| 2016-07-27 | DEUTCH PHILIP J Director, 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −171 0 owned after | $0.00 | 2016-07-29 | |
| 2016-07-27 | DEUTCH PHILIP J Director, 10% Owner | 4 | Series B-1 Convertible Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −206 0 owned after | $0.00 | 2016-07-29 | |
| 2016-07-27 | DEUTCH PHILIP J Director, 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −327 0 owned after | $0.00 | 2016-07-29 | |
| 2016-07-27 | DEUTCH PHILIP J Director, 10% Owner | 4 | Senior Redeemable Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −60 0 owned after | $0.00 | 2016-07-29 | |
| 2016-07-27 | LANDMARK EQUITY ADVISORS LLC /ADV | LANDMARK IAM GROWTH CAPITAL LP | LANDMARK GROWTH CAPITAL PARTNERS LP | Landmark Growth Capital Partners, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −327 0 owned after | $0.00 | 2016-07-29 | |
| 2016-07-27 | LANDMARK EQUITY ADVISORS LLC /ADV | LANDMARK IAM GROWTH CAPITAL LP | LANDMARK GROWTH CAPITAL PARTNERS LP | Landmark Growth Capital Partners, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −226 0 owned after | $0.00 | 2016-07-29 | |
| 2016-07-27 | LANDMARK EQUITY ADVISORS LLC /ADV | LANDMARK IAM GROWTH CAPITAL LP | LANDMARK GROWTH CAPITAL PARTNERS LP | Landmark Growth Capital Partners, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B-1 Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −242 0 owned after | $0.00 | 2016-07-29 | |
| 2016-07-27 | LANDMARK EQUITY ADVISORS LLC /ADV | LANDMARK IAM GROWTH CAPITAL LP | LANDMARK GROWTH CAPITAL PARTNERS LP | Landmark Growth Capital Partners, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −164 0 owned after | $0.00 | 2016-07-29 | |
| 2016-07-27 | LANDMARK EQUITY ADVISORS LLC /ADV | LANDMARK IAM GROWTH CAPITAL LP | LANDMARK GROWTH CAPITAL PARTNERS LP | Landmark Growth Capital Partners, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Senior Redeemable Preferred Stock Derivative · Direct | C Conversion of derivative security | −40 0 owned after | $0.00 | 2016-07-29 | |
| 2016-07-27 | NGP ETP, L.L.C. | NGP Energy Technology Partners, L.P. | Energy Technology Partners, L.L.C. Director, 10% Owner | Director | Director, 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −2,014 0 owned after | $0.00 | 2016-07-29 | |
| 2016-07-27 | NGP ETP, L.L.C. | NGP Energy Technology Partners, L.P. | Energy Technology Partners, L.L.C. Director, 10% Owner | Director | Director, 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −171 0 owned after | $0.00 | 2016-07-29 | |
| 2016-07-27 | NGP ETP, L.L.C. | NGP Energy Technology Partners, L.P. | Energy Technology Partners, L.L.C. Director, 10% Owner | Director | Director, 10% Owner | 4 | Series B-1 Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −206 0 owned after | $0.00 | 2016-07-29 | |
| 2016-07-27 | NGP ETP, L.L.C. | NGP Energy Technology Partners, L.P. | Energy Technology Partners, L.L.C. Director, 10% Owner | Director | Director, 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −327 0 owned after | $0.00 | 2016-07-29 | |
| 2016-07-27 | NGP ETP, L.L.C. | NGP Energy Technology Partners, L.P. | Energy Technology Partners, L.L.C. Director, 10% Owner | Director | Director, 10% Owner | 4 | Senior Redeemable Preferred Stock Derivative · Direct | C Conversion of derivative security | −60 0 owned after | $0.00 | 2016-07-29 | |
| 2016-07-27 | DeRosa Michael Lawrence Director, 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −27 0 owned after | $0.00 | 2016-07-29 | |
| 2016-07-27 | DeRosa Michael Lawrence Director, 10% Owner | 4 | Series B-1 Convertible Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −2,158 0 owned after | $0.00 | 2016-07-29 | |
| 2016-07-27 | DeRosa Michael Lawrence Director, 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −1,227 0 owned after | $0.00 | 2016-07-29 | |
| 2016-07-27 | DeRosa Michael Lawrence Director, 10% Owner | 4 | Senior Redeemable Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −410 0 owned after | $0.00 | 2016-07-29 | |
| 2016-07-27 | DeRosa Michael Lawrence Director, 10% Owner | 4 | Super Senior Redeemable Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −185 0 owned after | $0.00 | 2016-07-29 | |
| 2016-07-27 | GIOVACCHINI PAUL G Director, 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −327 0 owned after | $0.00 | 2016-07-29 | |
| 2016-07-27 | GIOVACCHINI PAUL G Director, 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −226 0 owned after | $0.00 | 2016-07-29 | |
| 2016-07-27 | GIOVACCHINI PAUL G Director, 10% Owner | 4 | Series B-1 Convertible Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −242 0 owned after | $0.00 | 2016-07-29 | |
| 2016-07-27 | GIOVACCHINI PAUL G Director, 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −164 0 owned after | $0.00 | 2016-07-29 | |
| 2016-07-27 | GIOVACCHINI PAUL G Director, 10% Owner | 4 | Senior Redeemable Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −40 0 owned after | $0.00 | 2016-07-29 | |
| 2016-07-27 | Weiss Daniel G Director, 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −1,193 0 owned after | $0.00 | 2016-07-29 | |
| 2016-07-27 | Weiss Daniel G Director, 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −181 0 owned after | $0.00 | 2016-07-29 | |
| 2016-07-27 | Weiss Daniel G Director, 10% Owner | 4 | Series B-1 Convertible Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −194 0 owned after | $0.00 | 2016-07-29 | |
| 2016-07-27 | Weiss Daniel G Director, 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −1,227 0 owned after | $0.00 | 2016-07-29 | |
| 2016-07-27 | Weiss Daniel G Director, 10% Owner | 4 | Senior Redeemable Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −170 0 owned after | $0.00 | 2016-07-29 | |
| 2016-07-27 | Weiss Daniel G Director, 10% Owner | 4 | Super Senior Redeemable Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −85 0 owned after | $0.00 | 2016-07-29 | |
| 2016-07-27 | Element II G.P., LLC | ELEMENT PARTNERS II LP | ELEMENT PARTNERS II INTRAFUND LP | Element Partners II G.P., L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −27 0 owned after | $0.00 | 2016-07-29 | |
| 2016-07-27 | Element II G.P., LLC | ELEMENT PARTNERS II LP | ELEMENT PARTNERS II INTRAFUND LP | Element Partners II G.P., L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B-1 Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −2,158 0 owned after | $0.00 | 2016-07-29 | |
| 2016-07-27 | Element II G.P., LLC | ELEMENT PARTNERS II LP | ELEMENT PARTNERS II INTRAFUND LP | Element Partners II G.P., L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series C Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −1,227 0 owned after | $0.00 | 2016-07-29 | |
| 2016-07-27 | Element II G.P., LLC | ELEMENT PARTNERS II LP | ELEMENT PARTNERS II INTRAFUND LP | Element Partners II G.P., L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Senior Redeemable Preferred Stock Derivative · Direct | C Conversion of derivative security | −410 0 owned after | $0.00 | 2016-07-29 | |
| 2016-07-27 | Element II G.P., LLC | ELEMENT PARTNERS II LP | ELEMENT PARTNERS II INTRAFUND LP | Element Partners II G.P., L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Super Senior Redeemable Preferred Stock Derivative · Direct | C Conversion of derivative security | −185 0 owned after | $0.00 | 2016-07-29 | |
| 2016-07-21 | GE Ventures Ltd | GENERAL ELECTRIC CO 10% Owner | 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · Note | X Exercise of in-the-money or at-the-money derivative security | +2 1,716 owned after | $0.00 | 2016-07-25 | |
| 2016-07-21 | GE Ventures Ltd | GENERAL ELECTRIC CO 10% Owner | 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · Note | S Open market or private sale of non-derivative or derivative security | −1 1,715 owned after | $0.00 | 2016-07-25 | |
| 2016-07-21 | DeRosa Michael Lawrence Director, 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · See Note | X Exercise of in-the-money or at-the-money derivative security | +70 70 owned after | $0.00 | 2016-07-25 | |
| 2016-07-21 | DeRosa Michael Lawrence Director, 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · See Note | S Open market or private sale of non-derivative or derivative security | −43 27 owned after | $0.00 | 2016-07-25 | |
| 2016-07-21 | Element II G.P., LLC | ELEMENT PARTNERS II INTRAFUND LP | ELEMENT PARTNERS II LP | Element Partners II G.P., L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | +70 70 owned after | $0.00 | 2016-07-25 | |
| 2016-07-21 | Element II G.P., LLC | ELEMENT PARTNERS II INTRAFUND LP | ELEMENT PARTNERS II LP | Element Partners II G.P., L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Direct | S Open market or private sale of non-derivative or derivative security | −43 27 owned after | $0.00 | 2016-07-25 | |
| 2016-07-21 | ANGELENO INVESTORS II L P 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | +17 191 owned after | $0.00 | 2016-07-25 | |
| 2016-07-21 | ANGELENO INVESTORS II L P 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Direct | S Open market or private sale of non-derivative or derivative security | −10 181 owned after | $0.00 | 2016-07-25 | |
| 2016-07-21 | Weiss Daniel G Director, 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · See Note | X Exercise of in-the-money or at-the-money derivative security | +17 191 owned after | $0.00 | 2016-07-25 | |
| 2016-07-21 | Weiss Daniel G Director, 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · See Note | S Open market or private sale of non-derivative or derivative security | −10 181 owned after | $0.00 | 2016-07-25 | |
| 2016-07-21 holding as of filing | DEUTCH PHILIP J Director, 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2016-07-21 | ||
| 2016-07-21 holding as of filing | DEUTCH PHILIP J Director, 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2016-07-21 | ||
| 2016-07-21 holding as of filing | DEUTCH PHILIP J Director, 10% Owner | 3 | Series B-1 Convertible Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2016-07-21 | ||
| 2016-07-21 holding as of filing | DEUTCH PHILIP J Director, 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2016-07-21 | ||
| 2016-07-21 holding as of filing | DEUTCH PHILIP J Director, 10% Owner | 3 | Senior Redeemable Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2016-07-21 | ||
| 2016-07-21 holding as of filing | Element II G.P., LLC | ELEMENT PARTNERS II INTRAFUND LP | ELEMENT PARTNERS II LP | Element Partners II G.P., L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B-1 Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2016-07-21 | ||
| 2016-07-21 holding as of filing | Element II G.P., LLC | ELEMENT PARTNERS II INTRAFUND LP | ELEMENT PARTNERS II LP | Element Partners II G.P., L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2016-07-21 | ||
| 2016-07-21 holding as of filing | Element II G.P., LLC | ELEMENT PARTNERS II INTRAFUND LP | ELEMENT PARTNERS II LP | Element Partners II G.P., L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Senior Redeemable Preferred Stock Derivative · Direct | Holding | no price filed | 2016-07-21 | ||
| 2016-07-21 holding as of filing | Element II G.P., LLC | ELEMENT PARTNERS II INTRAFUND LP | ELEMENT PARTNERS II LP | Element Partners II G.P., L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Super Senior Redeemable Preferred Stock Derivative · Direct | Holding | no price filed | 2016-07-21 | ||
| 2016-07-21 holding as of filing | GIOVACCHINI PAUL G Director, 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2016-07-21 | ||
| 2016-07-21 holding as of filing | GIOVACCHINI PAUL G Director, 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2016-07-21 | ||
| 2016-07-21 holding as of filing | GIOVACCHINI PAUL G Director, 10% Owner | 3 | Series B-1 Convertible Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2016-07-21 | ||
| 2016-07-21 holding as of filing | GIOVACCHINI PAUL G Director, 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2016-07-21 | ||
| 2016-07-21 holding as of filing | GIOVACCHINI PAUL G Director, 10% Owner | 3 | Senior Redeemable Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2016-07-21 | ||
| 2016-07-21 holding as of filing | LANDMARK IAM GROWTH CAPITAL LP | LANDMARK GROWTH CAPITAL PARTNERS LP | LANDMARK EQUITY ADVISORS LLC /ADV | Landmark Growth Capital Partners, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Indirect · See Notes | Holding | no price filed | 2016-07-21 | ||
| 2016-07-21 holding as of filing | LANDMARK IAM GROWTH CAPITAL LP | LANDMARK GROWTH CAPITAL PARTNERS LP | LANDMARK EQUITY ADVISORS LLC /ADV | Landmark Growth Capital Partners, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Indirect · See Notes | Holding | no price filed | 2016-07-21 | ||
| 2016-07-21 holding as of filing | LANDMARK IAM GROWTH CAPITAL LP | LANDMARK GROWTH CAPITAL PARTNERS LP | LANDMARK EQUITY ADVISORS LLC /ADV | Landmark Growth Capital Partners, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B-1 Convertible Preferred Stock Derivative · Indirect · See Notes | Holding | no price filed | 2016-07-21 | ||
| 2016-07-21 holding as of filing | LANDMARK IAM GROWTH CAPITAL LP | LANDMARK GROWTH CAPITAL PARTNERS LP | LANDMARK EQUITY ADVISORS LLC /ADV | Landmark Growth Capital Partners, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Indirect · See Notes | Holding | no price filed | 2016-07-21 | ||
| 2016-07-21 holding as of filing | LANDMARK IAM GROWTH CAPITAL LP | LANDMARK GROWTH CAPITAL PARTNERS LP | LANDMARK EQUITY ADVISORS LLC /ADV | Landmark Growth Capital Partners, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Senior Redeemable Preferred Stock Derivative · Indirect · See Notes | Holding | no price filed | 2016-07-21 | ||
| 2016-07-21 holding as of filing | GENERAL ELECTRIC CO | GE Ventures Ltd 10% Owner | 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Indirect · Note | Holding | no price filed | 2016-07-21 | ||
| 2016-07-21 holding as of filing | GENERAL ELECTRIC CO | GE Ventures Ltd 10% Owner | 10% Owner | 3 | Series B-1 Convertible Preferred Stock Derivative · Indirect · Note | Holding | no price filed | 2016-07-21 | ||
| 2016-07-21 holding as of filing | GENERAL ELECTRIC CO | GE Ventures Ltd 10% Owner | 10% Owner | 3 | Senior Redeemable Preferred Stock Derivative · Indirect · Note | Holding | no price filed | 2016-07-21 | ||
| 2016-07-21 holding as of filing | GENERAL ELECTRIC CO | GE Ventures Ltd 10% Owner | 10% Owner | 3 | Super Senior Redeemable Preferred Stock Derivative · Indirect · Note | Holding | no price filed | 2016-07-21 | ||
| 2016-07-21 holding as of filing | DeRosa Michael Lawrence Director, 10% Owner | 3 | Series B-1 Convertible Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2016-07-21 | ||
| 2016-07-21 holding as of filing | DeRosa Michael Lawrence Director, 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2016-07-21 | ||
| 2016-07-21 holding as of filing | DeRosa Michael Lawrence Director, 10% Owner | 3 | Senior Redeemable Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2016-07-21 | ||
| 2016-07-21 holding as of filing | DeRosa Michael Lawrence Director, 10% Owner | 3 | Super Senior Redeemable Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2016-07-21 | ||
| 2016-07-21 holding as of filing | Weiss Daniel G Director, 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2016-07-21 | ||
| 2016-07-21 holding as of filing | Weiss Daniel G Director, 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2016-07-21 | ||
| 2016-07-21 holding as of filing | Weiss Daniel G Director, 10% Owner | 3 | Series B-1 Convertible Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2016-07-21 | ||
| 2016-07-21 holding as of filing | Weiss Daniel G Director, 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2016-07-21 | ||
| 2016-07-21 holding as of filing | Weiss Daniel G Director, 10% Owner | 3 | Senior Redeemable Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2016-07-21 | ||
| 2016-07-21 holding as of filing | Weiss Daniel G Director, 10% Owner | 3 | Super Senior Redeemable Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2016-07-21 | ||
| 2016-07-21 holding as of filing | ANGELENO GROUP MANAGEMENT II, LLC | ANGELENO GROUP, LLC | ANGELENO INVESTORS II L P 10% Owner | 10% Owner | 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2016-07-21 | ||
| 2016-07-21 holding as of filing | ANGELENO GROUP MANAGEMENT II, LLC | ANGELENO GROUP, LLC | ANGELENO INVESTORS II L P 10% Owner | 10% Owner | 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2016-07-21 | ||
| 2016-07-21 holding as of filing | ANGELENO GROUP MANAGEMENT II, LLC | ANGELENO GROUP, LLC | ANGELENO INVESTORS II L P 10% Owner | 10% Owner | 10% Owner | 3 | Series B-1 Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2016-07-21 | ||
| 2016-07-21 holding as of filing | ANGELENO GROUP MANAGEMENT II, LLC | ANGELENO GROUP, LLC | ANGELENO INVESTORS II L P 10% Owner | 10% Owner | 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2016-07-21 | ||
| 2016-07-21 holding as of filing | ANGELENO GROUP MANAGEMENT II, LLC | ANGELENO GROUP, LLC | ANGELENO INVESTORS II L P 10% Owner | 10% Owner | 10% Owner | 3 | Senior Redeemable Preferred Stock Derivative · Direct | Holding | no price filed | 2016-07-21 | ||
| 2016-07-21 holding as of filing | ANGELENO GROUP MANAGEMENT II, LLC | ANGELENO GROUP, LLC | ANGELENO INVESTORS II L P 10% Owner | 10% Owner | 10% Owner | 3 | Super Senior Redeemable Preferred Stock Derivative · Direct | Holding | no price filed | 2016-07-21 | ||
| 2016-07-21 holding as of filing | Energy Technology Partners, L.L.C. | NGP ETP, L.L.C. | NGP Energy Technology Partners, L.P. 10% Owner | 10% Owner | 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2016-07-21 | ||
| 2016-07-21 holding as of filing | Energy Technology Partners, L.L.C. | NGP ETP, L.L.C. | NGP Energy Technology Partners, L.P. 10% Owner | 10% Owner | 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2016-07-21 | ||
| 2016-07-21 holding as of filing | Energy Technology Partners, L.L.C. | NGP ETP, L.L.C. | NGP Energy Technology Partners, L.P. 10% Owner | 10% Owner | 10% Owner | 3 | Series B-1 Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2016-07-21 | ||
| 2016-07-21 holding as of filing | Energy Technology Partners, L.L.C. | NGP ETP, L.L.C. | NGP Energy Technology Partners, L.P. 10% Owner | 10% Owner | 10% Owner | 3 | Series C Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2016-07-21 | ||
| 2016-07-21 holding as of filing | Energy Technology Partners, L.L.C. | NGP ETP, L.L.C. | NGP Energy Technology Partners, L.P. 10% Owner | 10% Owner | 10% Owner | 3 | Senior Redeemable Preferred Stock Derivative · Direct | Holding | no price filed | 2016-07-21 |