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) 01/01/2008 |
3. Issuer Name and Ticker or Trading Symbol
Comverge, Inc. [ COMV ] |
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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 | 10,000 | D |
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 | ||||
Stock Option (Right to Buy) | (1) | 01/03/2012 | Common Stock | 2,188 | $0.58 | D | |
Stock Option (Right to Buy) | (2) | 12/07/2012 | Common Stock | 3,438 | $0.82 | D | |
Stock Option (Right to Buy) | (3) | 06/20/2013 | Common Stock | 1,250 | $4 | D | |
Stock Option (Right to Buy) | (4) | 04/12/2014 | Common Stock | 7,353 | $18 | D | |
Stock Option (Right to Buy) | (5) | 08/08/2011 | Common Stock | 1,738 | $32.96 | D | |
Stock Option (Right to Buy) | (6) | 12/11/2014 | Common Stock | 10,000 | $29.06 | D |
Explanation of Responses: |
1. 1,250 options vested on January 4, 2006, and the remaining options vest over three years at a rate of one-twelfth at the end of each three-month period, which period commenced January 4, 2006. The original grant totaled 5,000 options, of which 2,812 were previously exercised and 625 are currently vested and exercisable. |
2. Options vest over four years at a rate of one-sixteenth at the end of each three-month period, which period commenced December 8, 2005. The original grant totaled 5,000 options, of which 1,562 were previously exercised and 938 are currently vested and exercisable. |
3. Options vest over two years at a rate of one-eighth at the end of each three-month period, which period commenced June 20, 2006. The original grant totaled 2,000 options, of which 750 were previously exercised and 750 are currently vested and exercisable. |
4. Options vest over four years at a rate of one-sixteenth at the end of each three-month period, which period commenced April 12, 2007. The original grant totaled 7,353 shares, none of which have been previously exercised, and 919 of these options are currently vested and exercisable. |
5. Options vest over one year at a rate of one-fourth at the end of each three-month period, which period commenced August 8, 2007. The original grant totaled 1,738 shares, none of which have been previously exercised, and 434 of these options are currently vested and exercisable. |
6. Options vest over four years at a rate of one-sixteenth at the end of each three-month period, which period commenced December 11, 2007. |
/s/ Matthew H. Smith | 01/11/2008 | |
** 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. |