UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
AI Energy Holding LLC C/O ACCESS INDUSTRIES, INC. 730 FIFTH AVENUE, 20TH FL NEW YORK, NY 10019 |
 |  |  | Affiliate of 10% Owner |
AI Value Holdings, LLC C/O ACCESS INDUSTRIES, INC. 730 FIFTH AVENUE, 20TH FL NEW YORK, NY 10019 |
 |  |  | Affiliate of 10% Owner |
ALTEP 2014 L.P. 730 FIFTH AVENUE, 20TH FL NEW YORK, NY 10019 |
 |  |  | Affiliate of 10% Owner |
ACCESS INDUSTRIES INC 730 FIFTH AVENUE, 20TH FL NEW YORK, NY 10019 |
 |  |  | Affiliate of 10% Owner |
Alejandro Moreno for AI Energy Holding LLC | 01/23/2014 | |
**Signature of Reporting Person | Date | |
Alejandro Moreno for AI Value Holdings, LLC | 01/23/2014 | |
**Signature of Reporting Person | Date | |
Alejandro Moreno for Altep 2014 L.P. | 01/23/2014 | |
**Signature of Reporting Person | Date | |
Alejandro Moreno for Access Industries, Inc. | 01/23/2014 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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) | The securities reported are held directly by AI Energy Holding LLC ("AIEH"). AI Value Holdings, LLC may be deemed to beneficially own the shares of common stock held directly by AIEH because AI Value Holdings, LLC is the sole member of AIEH. The reporting persons (other than AIEH) disclaim beneficial ownership of these securities, except to the extent of its or his pecuniary interest therein, if any, and this Form shall not be construed as an admission that any such reporting person is the beneficial owner of any such securities for purposes of Section 16 or any other purpose. |
(2) | The securities reported are held directly by Altep 2014 L.P. ("Altep 2014"). Access Industries, Inc. may be deemed to beneficially own the shares of common stock held directly by Altep 2014 because it is the general partner of Altep 2014. The reporting persons (other than Altep 2014) disclaim beneficial ownership of these securities, except to the extent of its or his pecuniary interest therein, if any, and this Form shall not be construed as an admission that any such reporting person is the beneficial owner of any such securities for purposes of Section 16 or any other purpose. |