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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 | ||||||||
Series A Convertible Preferred Stock | (1) | 04/04/2012 | C | 10,324 | (5) | (6) | Common Stock | 12,657 | (1) | 0 | D | ||||
Series B Convertible Preferred Stock | (2) | 04/04/2012 | C | 3,324 | (5) | (6) | Common Stock | 6,309 | (2) | 0 | D | ||||
Series D Convertible Preferred Stock | (3) | 04/04/2012 | C | 46,864 | (5) | (6) | Common Stock | 46,864 | (3) | 0 | D | ||||
Series E Convertible Preferred Stock | (4) | 04/04/2012 | C | 1,619 | (5) | (6) | Common Stock | 1,619 | (4) | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
FORNAGE MARTIN C/O ENPHASE ENERGY, INC. 201 1ST STREET, SUITE 100 PETALUMA, CA 94952 |
Chief Technology Officer |
/s/ Taylor Browning, Attorney-in-fact | 04/04/2012 | |
**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) | The shares reflect the automatic conversion of 10,324 shares of the Issuer's Series A Preferred Stock for 12,657 shares of the Issuer's Common Stock immediately prior to the closing of the Issuer's initial public offering. |
(2) | The shares reflect the automatic conversion of 3,324 shares of the Issuer's Series B Preferred Stock for 6,309 shares of the Issuer's Common Stock immediately prior to the closing of the Issuer's initial public offering. |
(3) | The shares reflect the automatic conversion of 46,864 shares of the Issuer's Series D Preferred Stock for 46,864 shares of the Issuer's Common Stock immediately prior to the closing of the Issuer's initial public offering. |
(4) | The shares reflect the automatic conversion of 1,619 shares of the Issuer's Series E Preferred Stock for 1,619 shares of the Issuer's Common Stock immediately prior to the closing of the Issuer's initial public offering. |
(5) | Immediately convertible into shares of the Issuer's common stock. |
(6) | These shares have no expiration date. |