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*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
GREEN EARTH TECHNOLOGIES, INC [ GETG ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 09/06/2013 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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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) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 09/06/2013 | P | 8,000,000 | A | $0.1 | 10,537,862 | D |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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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) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Common Stock Purchase Warrant | $0.21 | 09/06/2013 | P | 2,666,667 | (1) | 09/05/2016 | Common Stock | 2,666,667 | (2) | 2,666,667 | D | ||||
6% Secured Convertible Debenture | $0.17 | (1) | 03/31/2016 | Common Stock | (3) | 0(3) | I | WRG2 LLC(4) | |||||||
Series A Common Stock Purchase Warrant | $0.21 | (1) | 03/31/2018 | Common Stock | 1,838,235 | 1,838,235 | I | WRG2 LLC(4) | |||||||
6% Secured Convertible Debenture | $0.17 | (1) | 12/31/2014 | Common Stock | (5) | 0(5) | D | ||||||||
Series A Common Stock Purchase Warrant | $0.21 | (1) | 12/31/2016 | Common Stock | 1,470,588 | 1,470,588 | D | ||||||||
6% Secured Convertible Debenture | $0.17 | (1) | 12/31/2014 | Common Stock | (6) | 0(6) | I | WRG2 LLC(4) | |||||||
Series A Common Stock Purchase Warrant | $0.21 | (1) | 12/31/2016 | Common Stock | 2,208,882 | 2,208,882 | I | WRG2 LLC(4) | |||||||
Options to purchase common stock | $0.165 | 06/04/2013(7) | 06/04/2022 | Common Stock | 150,000 | 150,000 | D |
Explanation of Responses: |
1. Immediately. |
2. These securities were issued to the reporting person in connection with reporting person's purchase of 2,666,667 units each of three shares of common stock and one three-year common stock purchase warrant. |
3. On 3/28/13 the 6% Secured Convertible Debenture was convertible into 3,676,471 shares of the Issuer's common stock. |
4. The Reporting Person controls the power to vote and dispose of the securities and disclaims beneficial ownership extent of his pecuniary interest in the securities. |
5. On 10/04/12, the 6% Secured Convertible Debenture was convertible into 2,941,176 shares of the Issuer's common stock. |
6. On 10/04/12, the 6% Secured Convertible Debenture was convertible into 4,411,765 shares of the Issuer's common stock. |
7. Options vest as follows: 1/3 on the first anniversary of the 6/4/2012 grant date; 1/3 on the second anniversary of the grant date; and the balance on the third anniversary of the grant date. |
/s/ Walter F. Raquet | 09/09/2013 | |
** 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 4 (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. |