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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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
ARDSLEY ADVISORY PARTNERS 262 HARBOR DRIVE, 4TH FLOOR STAMFORD, CT 06902 |
X | |||
Ardsley Partners Fund II, L.P. 262 HARBOR DRIVE STAMFORD, CT 06902 |
X | |||
Ardsley Partners Institutional Fund, L.P. 262 HARBOR DRIVE C/O ARDSLEY PARTNERS I STAMFORD, CT 06902 |
X | |||
Ardsley Partners Renewable Energy Fund, L.P. 262 HARBOR DRIVE STAMFORD, CT 06902 |
X | |||
ARDSLEY PARTNERS I 262 HARBOR DRIVE, 4TH FLOOR STAMFORD, CT 06902 |
X | |||
HEMPLEMAN PHILIP J 262 HARBOR DRIVE, 4TH FLOOR STAMFORD, CT 06902 |
X |
ARDSLEY ADVISORY PARTNERS, By: /s/ Steven Napoli, Partner | 11/18/2013 | |
**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) | Common Stock sold by certain accounts (the "Accounts") managed directly by Philip J. Hempleman ("Mr. Hempleman"). |
(2) | The shares reported in Column 5 of this Table I are held directly by Ardsley Partners Fund II, L.P. a Delaware limited partnership ("APII"), Ardsley Partners Institutional Fund, L.P., a Delaware limited partnership ("Ardsley Institutional"), Ardsley Partners Renewable Energy Fund, L.P., a Delaware limited Partnership ("Ardsley Energy") and the Accounts. Ardsley Advisory Partners, a New York general partnership ("Ardsley") serves as investment adviser to APII, Ardsley Institutional and Ardsley Energy and has investment discretion over the securities held by each. Ardsley Partners I, a New York general partnership ("Ardsley Partners") serves as the general partner of APII, Ardsley Institutional and Renewable Energy along with Mr. Hempleman, and has investment discretion over the securities held by each. |
(3) | In addition to being the general partner of APII, Ardsley Institutional and Renewable Energy, Mr. Hempleman is the Managing Partner of Ardsley and Ardsley Partners, and in such capacity has investment discretion with respect to the securities held or managed by each of them as well as the securities held by the Accounts. Each of the Reporting Persons disclaim beneficial ownership of the securities reported herein except to the extent of its or their own actual pecuniary interest therein. |