Comverge, Inc. 4
4 · Comverge, Inc. · Filed Apr 19, 2007
Insider Transaction Report
Form 4
Comverge, Inc.COMV
Ungerer Scott B
Director
Transactions
- Conversion
Series C Convertible Preferred Stock
2007-04-18−96,326→ 0 total(indirect: See Footnote)→ Common Stock (48,163 underlying) - Conversion
Common Stock
2007-04-18+68,599→ 74,182 total(indirect: See Footnote) - Conversion
Series A Convertible Preferred Stock
2007-04-18−87,915→ 0 total(indirect: See Footnote)→ Common Stock (43,957 underlying) - Conversion
Common Stock
2007-04-18+1,798,365→ 1,944,740 total(indirect: See Footnote) - Conversion
Series B Convertible Preferred Stock
2007-04-18−1,195,701→ 0 total(indirect: See Footnote)→ Common Stock (597,850 underlying) - Conversion
Series A Convertible Preferred Stock
2007-04-18−2,304,705→ 0 total(indirect: See Footnote)→ Common Stock (1,152,352 underlying) - Conversion
Series B Convertible Preferred Stock
2007-04-18−45,610→ 0 total(indirect: See Footnote)→ Common Stock (22,805 underlying) - Conversion
Series C Convertible Preferred Stock
2007-04-18−3,674→ 0 total(indirect: See Footnote)→ Common Stock (1,837 underlying)
Footnotes (3)
- [F1]Each share of Series A Convertible Preferred Stock, Series B Convertible Preferred Stock and Series C Convertible Preferred Stock automatically converted into common stock reflecting all stock splits and other adjustments pursuant to the Issuer's Certificate of Incorporation, as amended, upon the closing of the Issuer's initial public offering of common stock.
- [F2]Shares are directly held by EnerTech Capital Partners II L.P. ("ECP II LP"). Mr. Ungerer, a director of the Issuer, together with ECP II Management LLC, the general partner of ECP II Management L.P., ECP II Management L.P. the general partner of ECP II L.P., and Robert E. Keith, Jr., Mark J. DeNino, and William G. Kingsley, the other members of the executive board of ECP II Management LLC may be deemed to share voting and dispositive power over the shares held by ECP II LP. Mr. Ungerer disclaims beneficial ownership of shares held by ECP II LP except to the extent of any pecuniary interest therein.
- [F3]Shares are directly held by ECP II Interfund L.P. ("ECP II Interfund"). Mr. Ungerer, a director of the Issuer, together with ECP II Management LLC, the general partner of ECP II Interfund, and Robert E. Keith, Jr., Mark J. DeNino, and William G. Kingsley, the other members of the executive board of ECP II Management LLC may be deemed to share voting and dispositive power over the shares held by ECP II Interfund. Mr. Ungerer disclaims beneficial ownership of shares held by ECP II Interfund except to the extent of any pecuniary interest therein.