0001213900-16-010800.txt : 20160212 0001213900-16-010800.hdr.sgml : 20160212 20160212104141 ACCESSION NUMBER: 0001213900-16-010800 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20160212 DATE AS OF CHANGE: 20160212 GROUP MEMBERS: GEMINI STRATEGIES LLC, INC. GROUP MEMBERS: STEVEN WINTERS SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: Envision Solar International, Inc. CENTRAL INDEX KEY: 0001398805 STANDARD INDUSTRIAL CLASSIFICATION: SEMICONDUCTORS & RELATED DEVICES [3674] IRS NUMBER: 208457250 STATE OF INCORPORATION: NV FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-85749 FILM NUMBER: 161415909 BUSINESS ADDRESS: STREET 1: 7675 DAGGET STREET STREET 2: SUITE 150 CITY: SAN DIEGO STATE: CA ZIP: 92111 BUSINESS PHONE: 858-799-4583 MAIL ADDRESS: STREET 1: 7675 DAGGET STREET STREET 2: SUITE 150 CITY: SAN DIEGO STATE: CA ZIP: 92111 FORMER COMPANY: FORMER CONFORMED NAME: Casita Enterprises, Inc. DATE OF NAME CHANGE: 20070508 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: GEMINI MASTER FUND LTD CENTRAL INDEX KEY: 0001403092 IRS NUMBER: 000000000 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: GEMINI STRATEGIES LLC STREET 2: 619 SO. VULCAN AVE. SUITE #203 CITY: ENCINITAS STATE: CA ZIP: 92024 BUSINESS PHONE: 858 480 2828 MAIL ADDRESS: STREET 1: GEMINI STRATEGIES LLC STREET 2: 619 SO. VULCAN AVE. SUITE #203 CITY: ENCINITAS STATE: CA ZIP: 92024 SC 13G/A 1 sc13g0216a2gemini_envision.htm AMENDMENT NO. 2 TO SCHEDULE 13G

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D.C. 20549

 

SCHEDULE 13G

(Rule 13d-102)

 

Information to be Included in Statements Filed Pursuant to Rules 13d-1(b), (c)

and (d) and Amendments Thereto Filed Pursuant to Rule 13d-2

 

(AMENDMENT NO. 2)*
 

Envision Solar International, Inc.

(Name of Issuer)

 

Common Stock, $0.001 par value

(Title of Class of Securities)

 

294 13Q 102

(CUSIP Number)

 

December 31, 2015

(Date of Event which Requires Filing of this Statement)

 

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

 

Rule 13d-1 (b)

Rule 13d-1 (c)

Rule 13d-1 (d)

 

* The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.

 

The information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

 

(Continued on following pages)

  

Page 1 of 6 Pages

 

 

 

 
 

 

CUSIP No. 294 13Q 102 13G Page 2 of 6 Pages

 

1

NAME OF REPORTING PERSON

I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)

 

Gemini Master Fund, Ltd.

2

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a)  ☐

(b)  ☒

 

3

SEC USE ONLY

 

 

4

CITIZENSHIP OR PLACE OF ORGANIZATION

 

Cayman Islands

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON WITH

5

SOLE VOTING POWER

 

0

6

SHARED VOTING POWER

 

10,375,613

7

SOLE DISPOSITIVE POWER

 

0

8

SHARED DISPOSITIVE POWER

 

10,375,613

9

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

10,375,613

10

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*  ☐

 

11

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9

 

9.4%

12

TYPE OF REPORTING PERSON*

 

CO

 

* SEE INSTRUCTIONS BEFORE FILLING OUT!

 

 
 

 

CUSIP No. 294 13Q 102 13G Page 3 of 6 Pages

 

1

NAME OF REPORTING PERSON

I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)

 

Gemini Strategies LLC, Inc.

2

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a)  ☐

(b)  ☒

 

3

SEC USE ONLY

 

 

4

CITIZENSHIP OR PLACE OF ORGANIZATION

 

Nevada

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON WITH

5

SOLE VOTING POWER

 

0

6

SHARED VOTING POWER

 

10,375,613

7

SOLE DISPOSITIVE POWER

 

0

8

SHARED DISPOSITIVE POWER

 

10,375,613

9

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

10,375,613

10

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*  ☐

 

11

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9

 

9.4%

12

TYPE OF REPORTING PERSON*

 

CO

 

* SEE INSTRUCTIONS BEFORE FILLING OUT!

 

 
 

 

CUSIP No. 294 13Q 102 13G Page 4 of 6 Pages

 

1

NAME OF REPORTING PERSON

I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)

 

Steven Winters

2

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a)  ☐

(b)  ☒

 

3

SEC USE ONLY

 

 

4

CITIZENSHIP OR PLACE OF ORGANIZATION

 

United States

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON WITH

5

SOLE VOTING POWER

 

0

6

SHARED VOTING POWER

 

10,375,613

7

SOLE DISPOSITIVE POWER

 

0

8

SHARED DISPOSITIVE POWER

 

10,375,613

9

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

10,375,613

10

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*  ☐

 

11

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9

 

9.4%

12

TYPE OF REPORTING PERSON*

 

IN

 

* SEE INSTRUCTIONS BEFORE FILLING OUT!

 

 
 

 

CUSIP No. 294 13Q 102 13G Page 5 of 6 Pages

 

This statement is filed pursuant to Rule 13d-2(b) with respect to the common stock (“Common Stock”) of Envision Solar International, Inc. beneficially owned by the Reporting Persons specified herein as of December 31, 2015 and amends and supplements the Schedule 13G dated as of and filed on April 4, 2014 and amended as of February 16, 2015 (“Schedule 13G”). Except as set forth herein, the Schedule 13G is unmodified.

 

Item 4. Ownership:

  

Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.

 

  (a) Amount Beneficially Owned: 10,375,613 shares of Common Stock as of December 31, 2015

 

  (b) Percent of Class: 9.4%

 

The Reporting Persons’ beneficial ownership of 10,375,613 shares of Common Stock constitutes 9.4% of all the outstanding shares of Common Stock, based upon 105,138,257 shares of Common Stock outstanding as of November 13, 2015, as reported by the Issuer in its most recent periodic report.

 

  (c) Number of shares as to which such person has:

 

  (i) sole power to vote or to direct the vote: 0

 

  (ii) shared power to vote or to direct the vote: 10,375,613

 

  (iii) sole power to dispose or to direct the disposition of:  0

 

  (iv) shared power to dispose or to direct the disposition of: 10,375,613

 

The Reporting Persons may be deemed to beneficially own a total of 10,375,613 shares of Common Stock, consisting of (i) 5,147,835 shares of Common Stock (“Shares”) held by Gemini Master Fund, Ltd. (“Gemini”), (ii) 1,500,000 shares of Common Stock issuable upon exercise of a Warrant issued to Gemini on or about February 28, 2014, and (iii) 3,727,778 shares of Common Stock issuable upon exercise of a Warrant issued to Gemini on or about February 28, 2014 (collectively, the “Warrants”), assuming that the Warrants are fully exercisable.

 

As permitted by Rule 13d-4, the filing of this statement shall not be construed as an admission that Gemini Strategies LLC, Inc., in its capacity as investment manager for Gemini, is the beneficial owner of the Shares or Warrants, or that Steven Winters, in his capacity as president or principal of Gemini Strategies LLC, Inc., is the beneficial owner of the Shares or Warrants. Each of Gemini Strategies LLC, Inc. and Steven Winters expressly disclaims any equitable or beneficial ownership of the Shares and Warrants.

 

Item 10. Certification:

 

By signing below the undersigned certify that, to the best of its/his 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 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.

 

 
 

 

CUSIP No. 294 13Q 102 13G Page 6 of 6 Pages

 

SIGNATURE

 

After reasonable inquiry and to the best of its/his knowledge and belief, the undersigned certify that the information set forth in this statement is true, complete and correct.

 

  February 10, 2016
   
  GEMINI MASTER FUND, LTD.
  By: GEMINI STRATEGIES LLC, INC., as
investment manager
       
    By: /s/ Steven Winters
    Name: Steven Winters
    Title: President
       
  GEMINI STRATEGIES LLC, INC.
       
  By: /s/ Steven Winters
  Name: Steven Winters
  Title: President
       
  /s/ Steven Winters
  Steven Winters

 

 

 

Attention: Intentional misstatements or omissions of fact

constitute Federal criminal violations (see 18 U.S.C. 1001).