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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 | ||||||||
1.5% Senior Unsecured Convertible Note Due 2017 ("Note") | $ 7.0682 | 01/15/2014 | J(1) | $ 24,047,816.63 (1) | (1) | (1) | Common Stock | $ 24,047,816.63 (1) | $ 0 | $ 0 (1) | D | ||||
1.5% Senior Unsecured Convertible Note Due 2017 ("New Note") | $ 7.0682 | 01/15/2014 | P | $ 18,005,751.86 (2) | (2) | (2) | Common Stock | $ 18,005,751.86 (2) | $ 0 | $ 18,005,751.86 (2) | D | ||||
Tranche II Senior Convertible Note ("Tranche Note") | $ 2.87 | 01/15/2014 | P | $ 6,042,064.77 (3) | (3) | (3) | Common Stock | $ 6,042,064.77 (3) | $ 0 | $ 6,042,064.77 (3) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
TOTAL ENERGIES NOUVELLES ACTIVITES USA 24 COURS MICHELET 92800 PUTEAUX, I0 |
X |
/s/ Jean-Marc Otero, Managing Director | 01/23/2014 | |
**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) | Note was cancelled pursuant to that certain Request for Cancellation delivered by the Reporting Person and accepted by the Issuer. The Issuer's obligations under the Note were cancelled upon the issuances of a new 1.5% Senior Unsecured Convertible Note Due 2017 and new Tranche II Senior Convertible Note. |
(2) | The principal amount of the New Note is $18,005,751.86. The New Note is convertible only in those circumstances described in the New Note. The Final Maturity Date as defined in the New Note is March 1, 2017. |
(3) | The principal amount of the Tranche Note is $6,042,064.77. The Tranche Note is convertible only in those circumstances described in the Tranche Note. The Final Maturity Date as defined in the Tranche Note is January 15, 2019. |