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 | |
ASCEND LEGEND MASTER FUND, LTD. 4 ORINDA WAY, SUITE 200-C ORINDA, CA 94563 |
 |  |  | Member of 10% Owner Group |
ASCEND LEGEND FUND, LTD. 4 ORINDA WAY, SUITE 200-C ORINDA, CA 94563 |
 |  |  | Member of 10% Owner Group |
ASCEND PARTNERS FUND I, LTD. 4 ORINDA WAY, SUITE 200-C ORINDA, CA 94563 |
 |  |  | Member of 10% Owner Group |
ASCEND CAPITAL, LLC 4 ORINDA WAY, SUITE 200-C ORINDA, CA 94563 |
 |  |  | Member of 10% Owner Group |
Ascend Capital Limited Partnership 4 ORINDA WAY, SUITE 200-C ORINDA, CA 94563 |
 |  |  | Member of 10% Owner Group |
ASCEND LEGEND MASTER FUND, LTD. By: Name: Malcolm Fairbairn Title: Director | 08/19/2016 | |
**Signature of Reporting Person | Date | |
ASCEND LEGEND FUND, LTD. By: Name: Malcolm Fairbairn Title: Director | 08/19/2016 | |
**Signature of Reporting Person | Date | |
ASCEND PARTNERS FUND I, LTD. By: Name: Malcolm Fairbairn Title: Director | 08/19/2016 | |
**Signature of Reporting Person | Date | |
ASCEND CAPITAL, LLC By: Name: Malcolm Fairbairn Title: Managing Member | 08/19/2016 | |
**Signature of Reporting Person | Date | |
ASCEND CAPITAL LIMITED PARTNERSHIP By: Ascend Capital, LLC, its general partner By: Name: Malcolm Fairbairn Title: Managing Member | 08/19/2016 | |
**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) | Ascend Legend Master Fund, Ltd., Ascend Legend Fund, Ltd., Ascend Partners Fund I, Ltd., Ascend Capital Limited Partnership and Ascend Capital, LLC are members of a 10% owner group of Energous Corporation (the "Issuer"), the other members of which are Malcolm Fairbairn, Emily Fairbairn, Valley High Limited Partnership, Valley High Capital, LLC, Nina Fairbairn Irrevocable Trust September 30, 2011 and Grant Fairbairn Irrevocable Trust September 30, 2011. Please see the Form 3 with respect to the Issuer filed on August 19, 2016, by Malcolm Fairbairn for more information regarding the holdings of Malcolm Fairbairn, Emily Fairbairn, Valley High Limited Partnership, Valley High Capital LLC, Nina Fairbairn Irrevocable Trust September 30, 2011 and Grant Fairbairn Irrevocable Trust September 30, 2011. |
(2) | Ascend Legend Master Fund, Ltd. is the direct beneficial owner of the shares of common stock (the "Shares"). Ascend Legend Fund, Ltd. serves as a feeder fund to, and the sole shareholder of, Ascend Legend Master Fund, Ltd. Ascend Partners Fund I, Ltd. is the sole shareholder of Ascend Legend Fund, Ltd. Ascend Capital Limited Partnership is the investment adviser to Ascend Partners Fund I, Ltd., Ascend Legend Fund, Ltd. and Ascend Legend Master Fund, Ltd. Ascend Capital, LLC is the general partner of Ascend Capital Limited Partnership. Malcolm Fairbairn is the managing member of Ascend Capital, LLC. Ascend Legend Fund, Ltd., Ascend Capital Limited Partnership, Ascend Capital, LLC and Malcolm Fairbairn are indirect beneficial owners of the Shares. |
(3) | Malcolm Fairbairn has filed a separate Form 3 which also reflects these Shares, filed on August 19, 2016. |