THERMOENERGY CORP 4
4 · THERMOENERGY CORP · Filed May 29, 2013
Insider Transaction Report
Form 4
HUGHES J WINDER
Director10% Owner
Transactions
- Purchase
Common Stock
2012-10-17$0.10/sh+16,145$1,647→ 4,729,245 total(indirect: Focus Fund L.P.) - Purchase
Common Stock
2012-12-10$0.07/sh+1,000$75→ 4,830,470 total(indirect: Focus Fund L.P.) - Purchase
Common Stock
2012-12-26$0.09/sh+10,000$929→ 4,851,087 total(indirect: Focus Fund L.P.) - Small Acquisition
Common Stock
2012-10-01$0.11/sh+27,000$2,865→ 4,634,500 total(indirect: Focus Fund L.P.) - Purchase
Common Stock
2012-10-09$0.09/sh+30,000$2,598→ 4,713,100 total(indirect: Focus Fund L.P.) - Purchase
Common Stock
2012-12-06$0.08/sh+25,003$2,000→ 4,819,470 total(indirect: Focus Fund L.P.) - Purchase
Common Stock
2012-10-17$0.10/sh+5,000$500→ 4,734,245 total(indirect: Focus Fund L.P.) - Purchase
Common Stock
2012-12-26$0.10/sh+23,413$2,341→ 4,874,500 total(indirect: Focus Fund L.P.) - Purchase
Common Stock
2013-02-19$0.06/sh+10,000$649→ 4,984,500 total(indirect: Focus Fund L.P.) - Other
Common Stock
2013-04-05+329,923→ 5,314,423 total(indirect: Focus Fund L.P.) - Small Acquisition
Common Stock
2012-10-05$0.10/sh+1,100$108→ 4,675,600 total(indirect: Focus Fund L.P.) - Small Acquisition
Common Stock
2012-10-05$0.10/sh+7,500$714→ 4,683,100 total(indirect: Focus Fund L.P.) - Purchase
Common Stock
2012-12-07$0.09/sh+10,000$930→ 4,829,470 total(indirect: Focus Fund L.P.) - Small Acquisition
Common Stock
2012-10-01$0.11/sh+40,000$4,396→ 4,674,500 total(indirect: Focus Fund L.P.) - Purchase
Common Stock
2012-10-17$0.10/sh+30,255$3,107→ 4,764,500 total(indirect: Focus Fund L.P.) - Purchase
Common Stock
2012-12-03$0.07/sh+29,967$2,248→ 4,794,467 total(indirect: Focus Fund L.P.) - Purchase
Common Stock
2012-12-13$0.07/sh+10,617$796→ 4,841,087 total(indirect: Focus Fund L.P.) - Purchase
Common Stock
2013-01-07$0.07/sh+100,000$7,000→ 4,974,500 total(indirect: Focus Fund L.P.) - Other
Common Stock
2013-04-05+394,737→ 5,709,160 total(indirect: By Trust)
Footnotes (4)
- [F1]The Reporting Person is the general partner of Focus Fund L.P. and, as such, is deemed to be the beneficial owner of the securities owned by such entity. He disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein.
- [F2]Shares were issued, for no consideration, in satisfaction of a contractual anti-dilution price protection relating to the Reporting Person's purchase of shares of Common Stock in a private placement in July 2012.
- [F3]Includes shares owned by Focus Fund L.P., of which the Reporting Person is the general partner, and by the Hughes Children's Trust, of which the Reporting Person is a trustee. The Reporting Person disclaims beneficial ownership of the securities owned by Focus Fund L.P., except to the extent of his pecuniary interest therein; he disclaims beneficial ownership of the securities owned by the Hughes Children's Trust.
- [F4]The Reporting Person is a trustee of the Hughes Children's Trust and, as such, is deemed to be the beneficial owner of the securities owned by such entity. He disclaims beneficial ownership of such securities.