HIGGINSON KRAIG 4

4 · RASER TECHNOLOGIES INC · Filed Feb 17, 2011

Form 4

Period: 2011-02-11

Director10% Owner

Transactions

Other
Warrant
2010-02-15+910,338→ 0 total(indirect: By LLC)
Exercise: $6.00From: 2009-07-22Exp: 2019-08-05→ Common Stock (910,338 underlying)
Other
Warrant
2011-02-11+3,561,396→ 0 total(indirect: By LLC)
Exercise: $0.25From: 2010-10-13Exp: 2020-10-13→ Common Stock (3,561,396 underlying)
Award
Warrant
2010-02-15+107,090→ 0 total(indirect: By LLC)
Exercise: $6.00From: 2010-02-02Exp: 2020-02-02→ Common Stock (107,090 underlying)
Other
Warrant
2010-02-15−1,000,897→ 5,887,172 total(indirect: By LLC)
Exercise: $6.00From: 2009-07-22Exp: 2019-08-05→ Common Stock (1,000,897 underlying)
Other
Warrant
2011-02-15+1,308,348→ 0 total(indirect: By LLC)
Exercise: $0.33From: 2011-02-11Exp: 2021-02-11→ Common Stock (1,308,348 underlying)

Holdings

Stock Options
Exercise: $1.16From: 2010-03-04Exp: 2019-12-04→ Common Stock (250,000 underlying)
250,000
Common Stock
(indirect: Higginson Family Investments)
5,615,600
Common Stock
(indirect: By LLC)
500,000
Common Stock
29,772
Common Stock
(indirect: By Trust)
490,650
Common Stock
(indirect: Street Name)
600,000
Common Stock
(indirect: By LLC)
1,519,079

Footnotes (4)

[F1]Stock Options vest at a rate of 1/20 per quarter over five years until 12/4/2019
[F2]In 2009, we inadvertantly issued to Radion Energy LLC 90,559 warrants in excess of the actual amount of warrants earned under the 2009 Line of Credit Agreement. The 90,559 warrants should have been issued to another participant in the 2009 Line of Credit Agreement. Accordingly, both parties surrendered the original warrants which were cancelled and re-issued on February 15, 2011.
[F3]On February 10, 2011, Evergreen Clean Energy, LLC assigned 3,561,396 warrants to acquire shares of our common stock to Radion Energy, LLC.
[F4]On February 15, 2011, Evergreen Clean Energy, LLC assigned 1,308,348 warrants to acquire shares of our common stock to Radion Energy, LLC.

Documents

1 file