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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Option | $ 0.49 | 07/30/2010 | 06/30/2015 | Common Stock | 300,000 | 0 | D | ||||||||
Stock Option | $ 1.1 | 07/19/2011 | 07/19/2016 | Common Stock | 600,000 | 0 | D | ||||||||
Stock Option (1) | $ 0.46 | 06/05/2012 | 06/05/2012 | Common Stock | 425,000 | 0 | D | ||||||||
Warrant (2) (3) | $ 0.55 | 11/02/2012 | P | 37,500 | 11/02/2012 | 11/30/2017 | Common Stock | 37,500 | $ 0 | 1,362,500 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Kasch Rick D 501 S. CHERRY ST. SUITE 320 DENVER, CO 80246 |
X | President and CFO |
/s/ Rick D. Kasch | 11/02/2012 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Options granted pursuant to Enservco's 2010 Stock Incentive Plan on June 5, 2012. Options to acquire 150,000 shares vest on the grant date; 150,000 on June 5, 2013; and the 125,000 balance on June 5, 2014. These options are subject to other vesting conditions and are not beneficially owned, but are reported here for disclosure and transparency. |
(2) | The warrants were issued pursuant to a Subscription Agreement in which the Unit price was $350 and Unit consisted of 1,000 shares of common stock and a warrant to purchase 500 shares of common stock at $0.55 per share. The Warrant expires on November 30, 2017 at 5 PM Mountain Time. |
(3) | Includes the unvested shares described in Note 1. |