4//SEC Filing
GREEN EARTH TECHNOLOGIES, INC 4
Accession 0001354488-14-004623
CIK 0001433966operating
Filed
Sep 14, 8:00 PM ET
Accepted
Sep 15, 12:13 PM ET
Size
24.9 KB
Accession
0001354488-14-004623
Insider Transaction Report
Form 4
Raquet Walter F
Director
Transactions
- Purchase
Common Stock
2014-09-10+12,750,324→ 12,750,324 total(indirect: By LLC)
Holdings
- 0(indirect: By LLC)
6% Secured Convertible Debenture
Exercise: $0.13Exp: 2014-12-31→ Common Stock - 2,205,882(indirect: By LLC)
Series A Common Stock Purchase Warrant
Exercise: $0.16Exp: 2016-12-31→ Common Stock (2,205,882 underlying) - 0
6% Secured Convertible Debenture
Exercise: $0.13Exp: 2014-12-31→ Common Stock - 0(indirect: By LLC)
6% Secured Convertible Debenture
Exercise: $0.06Exp: 2016-03-31→ Common Stock - 4,339,520
Common Stock
- 1,470,588
Series A Common Stock Purchase Warrant
Exercise: $0.16Exp: 2016-12-31→ Common Stock (1,470,588 underlying) - 0(indirect: By LLC)
6% Secured Convertible Debenture
Exercise: $0.06Exp: 2014-12-31→ Common Stock - 2,000,000(indirect: By LLC)
Series A Common Stock Purchase Warrant
Exercise: $0.21Exp: 2018-11-01→ Common Stock (2,000,000 underlying) - 125,000(indirect: By LLC)
Series A Common Stock Purchase Warrant
Exercise: $0.21Exp: 2019-03-27→ Common Stock (125,000 underlying) - 1,838,235(indirect: By LLC)
Series A Common Stock Purchase Warrant
Exercise: $0.21Exp: 2016-12-31→ Common Stock (1,838,235 underlying) - 0(indirect: By LLC)
6% Secured Convertible Debenture
Exercise: $0.06Exp: 2016-03-31→ Common Stock - 0(indirect: By LLC)
6% Secured Convertible Debenture
Exercise: $0.06Exp: 2016-03-31→ Common Stock - 322,500(indirect: By LLC)
Series A Common Stock Purchase Warrant
Exercise: $0.21Exp: 2019-06-30→ Common Stock (322,500 underlying) - 150,000
Options to purchase common stock
Exercise: $0.17From: 2013-06-04Exp: 2022-06-04→ Common Stock (150,000 underlying)
Footnotes (10)
- [F1]These shares were acquired by the Reporting Person pursuant to a transaction in which FWD, LLC acquired all the shares and certain debt of the Issuer held by a third-party on 9/10/14. The Reporting Person is one of three members of FWD, LLC. Investment decisions of FWD, LLC require the unanimous approval of all of its members.
- [F10]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.
- [F2]Immediately.
- [F3]As of 9/1/14 the outstanding principal on the 6% Secured Convertible Debenture was convertible into 4,411,765 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]As of 9/1/14 the outstanding principal on the 6% Secured Convertible Debenture was convertible into 2,941,176 shares of the Issuer's common stock.
- [F6]As of 9/1/14 the outstanding principal on the 6% Secured Convertible Debenture was convertible into 3,676,471 shares of the Issuer's common stock.
- [F7]As of 9/1/14 the outstanding principal on the 6% Secured Convertible Debenture was convertible into 13,333,333 shares of the Issuer's common stock.
- [F8]As of 9/1/14 the outstanding principal on the 6% Secured Convertible Debenture was convertible into 833,333 shares of the Issuer's common stock.
- [F9]As of 9/1/14 the outstanding principal on the 6% Secured Convertible Debenture was convertible into 2,150,000 shares of the Issuer's common stock.
Documents
Issuer
GREEN EARTH TECHNOLOGIES, INC
CIK 0001433966
Entity typeoperating
IncorporatedDE
Related Parties
1- filerCIK 0001433966
Filing Metadata
- Form type
- 4
- Filed
- Sep 14, 8:00 PM ET
- Accepted
- Sep 15, 12:13 PM ET
- Size
- 24.9 KB