4//SEC Filing
Prend David J 4
Accession 0001209191-11-049776
CIK 0000889423other
Filed
Oct 2, 8:00 PM ET
Accepted
Oct 3, 5:32 PM ET
Size
6.9 KB
Accession
0001209191-11-049776
Insider Transaction Report
Form 4
Prend David J
Director10% Owner
Transactions
- Award
Warrant to purchase Common Stock
2011-09-30+65,454→ 13,226,531 total(indirect: See Footnote)Exercise: $1.66From: 2011-09-30Exp: 2018-09-30→ Common Stock (65,454 underlying)
Footnotes (4)
- [F1]The Warrants to purchase Common Stock feature a cashless exercise provision and are subject to anti-dilution adjustments as set forth in the Form of Tranche 2 Warrant and Additional Warrant (incorporated in this Form 4 by reference to Exhibit 10.5 of the Current Report on Form 8-K file by SatCon on November 14, 2007), as amended by that certain Agreement to Amend Warrants dated July 3, 2009 (incorporated in this Form 4 by reference to Exhibit 10.1 of the Current Report on Form 8-K filed by SatCon on July 8, 2009).
- [F2]The Warrants to purchase Common Stock are held by RockPort Capital Partners II, L.P. RockPort Capital II, LLC is the general partner of RockPort Capital Partners II, L.P. David J. Prend is a member of RockPort Capital II, LLC. By virtue of this relationship, Mr. Prend may be deemed to beneficially own the shares held by RockPort Capital Partners II, L.P. Mr. Prend disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.
- [F3]The Warrants to purchase Common Stock were received pursuant to the terms of a Stock and Warrant Purchase Agreement dated November 8, 2007 (incorporated in this Form 4 by reference to Exhibit 10.3 of the Current Report on Form 8-K filed by SatCon on November 14, 2007) upon the exercise of certain of SatCon's existing warrants as more fully described in the Form 8-K filed by SatCon on November 14, 2007.
- [F4]Includes 13,226,531 shares of Common Stock issuable upon the exercise of warrants, which warrants are directly owned by RockPort Capital Partners II, L.P.
Documents
Issuer
SATCON TECHNOLOGY CORP
CIK 0000889423
Entity typeother
Related Parties
1- filerCIK 0001418018
Filing Metadata
- Form type
- 4
- Filed
- Oct 2, 8:00 PM ET
- Accepted
- Oct 3, 5:32 PM ET
- Size
- 6.9 KB