GREEN EARTH TECHNOLOGIES, INC 4

4 · GREEN EARTH TECHNOLOGIES, INC · Filed Sep 9, 2013

Form 4

Period: 2013-09-06

Director

Transactions

Purchase
Common Stock Purchase Warrant
2013-09-06+2,666,667→ 2,666,667 total
Exercise: $0.21Exp: 2016-09-05→ Common Stock (2,666,667 underlying)
Purchase
Common Stock
2013-09-06$0.10/sh+8,000,000$800,000→ 10,537,862 total

Holdings

Series A Common Stock Purchase Warrant
Exercise: $0.21Exp: 2016-12-31→ Common Stock (1,470,588 underlying)
1,470,588
Series A Common Stock Purchase Warrant
(indirect: By LLC)
Exercise: $0.21Exp: 2016-12-31→ Common Stock (2,208,882 underlying)
2,208,882
Series A Common Stock Purchase Warrant
(indirect: By LLC)
Exercise: $0.21Exp: 2018-03-31→ Common Stock (1,838,235 underlying)
1,838,235
6% Secured Convertible Debenture
(indirect: By LLC)
Exercise: $0.17Exp: 2014-12-31→ Common Stock
0
6% Secured Convertible Debenture
(indirect: By LLC)
Exercise: $0.17Exp: 2016-03-31→ Common Stock
0
6% Secured Convertible Debenture
Exercise: $0.17Exp: 2014-12-31→ Common Stock
0
Options to purchase common stock
Exercise: $0.17From: 2013-06-04Exp: 2022-06-04→ Common Stock (150,000 underlying)
150,000

Footnotes (7)

[F1]Immediately.
[F2]These securities were issued to the reporting person in connection with reporting person's purchase of 2,666,667 units each of three shares of common stock and one three-year common stock purchase warrant.
[F3]On 3/28/13 the 6% Secured Convertible Debenture was convertible into 3,676,471 shares of the Issuer's common stock.
[F4]The Reporting Person controls the power to vote and dispose of the securities and disclaims beneficial ownership extent of his pecuniary interest in the securities.
[F5]On 10/04/12, the 6% Secured Convertible Debenture was convertible into 2,941,176 shares of the Issuer's common stock.
[F6]On 10/04/12, the 6% Secured Convertible Debenture was convertible into 4,411,765 shares of the Issuer's common stock.
[F7]Options vest as follows: 1/3 on the first anniversary of the 6/4/2012 grant date; 1/3 on the second anniversary of the grant date; and the balance on the third anniversary of the grant date.

Documents

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