1
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NAMES OF REPORTING PERSONS
Laird Q. Cagan
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2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
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(a) o
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(b) o
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3
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SEC USE ONLY
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4
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CITIZENSHIP OR PLACE OF ORGANIZATION
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United States Citizen
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5
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SOLE VOTING POWER
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847,736 shares of common stock owned individually and 2,000,000 shares of common stock held by the Laird Q Cagan 2011 Grantor Retained Annuity Trust
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6
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SHARED VOTING POWER
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NUMBER OF
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SHARES
BENEFICIALLY |
18,366,760 shares of common stock held by Cagan Capital, LLC
400,000 shares of common stock held by KQC Trust dated July 15, 2002
400,000 shares of common stock held by KRC Trust dated July 15, 2002
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EACH
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REPORTING
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7
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SOLE DISPOSITIVE POWER
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PERSON WITH:
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847,736 shares of common stock owned individually and 2,000,000 shares of common stock held by the Laird Q Cagan 2011 Grantor Retained Annuity Trust
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8
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SHARED DISPOSITIVE POWER
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18,366,760 shares of common stock held by Cagan Capital, LLC
400,000 shares of common stock held by KQC Trust dated July 15, 2002
400,000 shares of common stock held by KRC Trust dated July 15, 2002
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9
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
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22,014,496 shares of common stock
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10
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CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
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o
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11
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
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12.9%
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12
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TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
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IN
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Item 1.
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(a)
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Name of Issuer: AEMETIS, INC.
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(b)
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Address of Issuer’s Principal Executive Offices: 20400 Stevens Creek Blvd., Suite 700, Cupertino, California 95014
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Item 2.
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(a)
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Name of Person Filing: Laird Q. Cagan
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(b)
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Address of Principal Business Office or, if none, Residence: 20400 Stevens Creek Blvd., Suite 700, Cupertino, California 95014
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(c)
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Citizenship: United States
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(d)
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Title of Class of Securities: Common Stock
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(e)
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CUSIP Number: 00770K103
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Item 3.
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If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:
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(a)
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o
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Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o).
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(b)
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o
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Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c).
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(c)
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o
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Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c).
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(d)
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o
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Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8).
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(e)
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o
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An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E);
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(f)
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o
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An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);
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(g)
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o
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A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G);
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(h)
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o
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A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
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(i)
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o
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A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);
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(j)
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o
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Group, in accordance with §240.13d-1(b)(1)(ii)(J).
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Item 4.
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Ownership.
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(a)
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Amount beneficially owned: 22,014,496 shares of common stock
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(b)
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Percent of class: 12.9%
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(c)
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Number of shares as to which the person has:
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(i)
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Sole power to vote or to direct the vote
847,736 shares of common stock owned individually and 2,000,000 shares of common stock held by the Laird Q Cagan 2011 Grantor Retained Annuity Trust
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(ii)
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Shared power to vote or to direct the vote
18,366,760 shares of common stock held by Cagan Capital, LLC
400,000 shares of common stock held by KQC Trust dated July 15, 2002
400,000 shares of common stock held by KRC Trust dated July 15, 2002
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(iii)
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Sole power to dispose or to direct the disposition of
847,736 shares of common stock owned individually and 2,000,000 shares of common stock held by the Laird Q Cagan 2011 Grantor Retained Annuity Trust
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(iv)
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Shared power to dispose or to direct the disposition of
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18,366,760 shares of common stock held by Cagan Capital, LLC
400,000 shares of common stock held by KQC Trust dated July 15, 2002
400,000 shares of common stock held by KRC Trust dated July 15, 2002
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Item 5.
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Ownership of Five Percent or Less of a Class
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Item 6
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Ownership of More than Five Percent on Behalf of Another Person.
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Item 7.
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Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company or Control Person.
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Item 8.
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Identification and Classification of Members of the Group
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Item 9.
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Notice of Dissolution of Group
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Item 10
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Certification
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(b)
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The following certification shall be included if the statement is filed pursuant to §240.13d-1(c): By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.
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