FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 10/10/2013 |
3. Issuer Name and Ticker or Trading Symbol
LIME ENERGY CO. [ LIME ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 11,368 | I | By trust(1) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Warrant | 10/22/2012 | 10/22/2017 | Common Stock | 266,525 | $4.69 | I | By trust(1) |
Warrant | 09/23/2013 | 09/23/2018 | Common Stock | 52,910 | $3.78 | I | By trust(1) |
Series A Preferred Stock(2) | 09/23/2013 | (2) | Common Stock | 872,418 | $3.78 | I | By trust(1) |
1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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Explanation of Responses: |
1. All of the shares of Common Stock, Warrants and Series A Preferred Stock are owned directly by The John Thomas Hurvis Revocable Trust dated March 8, 2002 (the "Trust") and indirectly by Mr. Hurvis who serves as the sole trustee of the Trust. |
2. The Series A Preferred Stock accrues dividends at a rate of 12.5% per annum of the original issue price of $3,297,740, payable semi-annually in arrears on each June 30 and December 31 in additional shares of Series A Preferred Stock or, in the sole discretion of the Board of Directors of Lime Energy Co., in cash. The Series A Preferred Stock has no expiration date. |
/s/ John Thomas Hurvis | 10/18/2013 | |
/s/ John Thomas Hurvis, as trustee | 10/18/2013 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |