SEC FORM 4

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

1. Name and Address of Reporting Person^*

LEIBMAN NEIL

(Last)

(First)

(Middle)

800 BERING DRIVE

SUITE 260

(Street)

HOUSTON

77057

(City)

(State)

(Zip)

2. Issuer Name and Ticker or Trading Symbol
SUMMER ENERGY HOLDINGS INC [ SUME ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director	X	10% Owner
X	Officer (give title below)		Other (specify below)
	CEO

3. Date of Earliest Transaction (Month/Day/Year)
04/09/2014

4. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Common Stock	04/09/2014		J		6,247	A	$0⁽¹⁾	46,402⁽²⁾	D
Common Stock	05/13/2014		J		4,932	A	$0⁽¹⁾	51,334⁽²⁾	D
Common Stock	05/23/2014		P		38,889	A	$0.45	90,223⁽²⁾	D
Common Stock	06/04/2014		J		35,561	A	$0⁽³⁾	125,784⁽²⁾	D
Common Stock	06/12/2014		J		5,096	A	$0⁽¹⁾	130,880⁽²⁾	D
Common Stock	07/11/2014		J		23,200	A	$0⁽³⁾	154,080⁽²⁾	D
Common Stock	07/11/2014		J		4,932	A	$0⁽¹⁾	159,012⁽²⁾	D
Common Stock	08/08/2014		J		5,096	A	$0⁽¹⁾	164,108⁽²⁾	D
Common Stock	08/08/2014		J		23,200	A	$0⁽³⁾	187,308⁽²⁾	D
Common Stock	09/05/2014		J		23,200	A	$0⁽³⁾	210,508⁽²⁾	D
Common Stock	09/05/2014		J		5,096	A	$0⁽¹⁾	215,604⁽²⁾	D
Common Stock	10/01/2014		J		23,200	A	$0⁽³⁾	238,804⁽²⁾	D
Common Stock	11/11/2014		J		21,071	A	$0⁽³⁾	259,875⁽²⁾	D
Common Stock	12/09/2014		J		20,200	A	$0⁽³⁾	280,075⁽²⁾	D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)

Explanation of Responses:

1. The reporting person received these shares of common stock as a payment-in-kind dividend on 500,000 shares of Series B Preferred Stock owned by the reporting person on the dividend record date. The dividends are payable in cash or common stock and the reporting person elected to receive such dividends in the form of common stock.

2. Does not include 46,479 shares held of record by Boxer Capital, Ltd., a Texas limited partnership. Mr. Leibman is general partner of Boxer Capital, Ltd. and has sole voting and dispositive power over such shares. Mr. Leibman disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that such reporting person is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended ("Exchange Act"), or for any other purpose. Also does not include 1,807,576 shares held of record by MAA Holdings Limited, a Texas limited partnership. Mr. Leibman is general partner of MAA Holdings Limited and has sole voting and dispositive power over such shares. Mr. Leibman disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that such reporting person is the beneficial owner of the securities for purposes of Section 16 of the Exchange Act, or for any other purpose. Includes 40,055 shares of common stock received by the reporting person as a dividend on Series A Preferred Stock previously held by the reporting person, which shares were not reported on Form 4 pursuant to an exemption provided in Rule 16a-9(a) of the Exchange Act.

3. The reporting person received these shares of common stock in connection with a personal guaranty given by the reporting person for the benefit of the Issuer in connection with an Advance-to-Loan Amount Note, whereby the Issuer borrowed funds from a lending institution. In consideration of such personal guaranty, the Issuer agreed to grant up to 30,000 shares of common stock per month, reduced accordingly as the principal amount of the Note is reduced.

Remarks:

By Alexander N. Pearson, pursuant to a power of attorney dated December 12, 2012, included as Exhibit 24.1 to Schedule 13G filed on December 12, 2012.

	/s/ NEIL M LEIBMAN	12/10/2014
	** 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 4 (b)(v).
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