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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 | ||||||||
Subordinated Units | (1) | 07/07/2010 | P | 4,401,250 | (2) | (2) | Common Units | 4,401,250 | (2) | 4,401,250 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
ENERGY CORP OF AMERICA 4643 SOUTH ULSTER STREET SUITE 1100 DENVER, CO 80237 |
X |
Energy Corporation of America By /s/ Donald C. Supcoe, Senior Vice President | 07/09/2010 | |
**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) | In exchange for the conveyance of the Royalty Interests to the Issuer, the Company received 3,087,371 Common Units and 4,401,250 Subordinated Units. Subsequently, the Company purchased 209,312 Common Units from private investors at a price of $20.00 per unit. |
(2) | The subordinated units will convert into common units on a one-for-one basis at the end of the subordination period described in the Company's Registration Statement on Form S-1 (333-165833). |
Remarks: On July 7, 2010, the Company acquired 3,087,371 Common Units as a result of the Offering and subsequently purchased 209,312 Common Units from private investors. |