SEC Form 3
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*
Hurvis John Thomas

(Last) (First) (Middle)
4065 COMMERCIAL AVENUE

(Street)
NORTHBROOK IL 60062

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
10/10/2013
3. Issuer Name and Ticker or Trading Symbol
LIME ENERGY CO. [ LIME ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director X 10% Owner
Officer (give title below) Other (specify below)
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
Form filed by One Reporting Person
X Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
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)
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*
Hurvis John Thomas

(Last) (First) (Middle)
4065 COMMERCIAL AVENUE

(Street)
NORTHBROOK IL 60062

(City) (State) (Zip)

Relationship of Reporting Person(s) to Issuer
Director X 10% Owner
Officer (give title below) Other (specify below)
1. Name and Address of Reporting Person*
John Thomas Hurvis Revocable Trust

(Last) (First) (Middle)
4065 COMMERCIAL AVENUE

(Street)
NORTHBROOK IL 60062

(City) (State) (Zip)

Relationship of Reporting Person(s) to Issuer
Director X 10% Owner
Officer (give title below) Other (specify below)
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.
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