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) 07/23/2007 |
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 | 122,885 | D(1) | |
Common Stock | 3,188 | D(2) |
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 | ||||
Subordinated Convertible Debenture | 07/23/2008 | 04/01/2009 | Common Stock | 48,830 | (1) | D(1) | |
Subordinated Convertible Debenture | 07/23/2008 | 04/01/2009 | Common Stock | 1,266 | (1) | D(2) |
1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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Explanation of Responses: |
1. See Exhibit 99.1. Shares of Common Stock and Subordinated Convertible Debenture are directly held by EnerTech Capital Partners L.P. ("ECP L.P."). EnerTech Management, L.P., the general partner of ECP LP, EnerTech Management Company, L.P., the general partner of EnerTech Management L.P., EnerTech Management Company Manager, LLC, the general partner of EnerTech Management Company, L.P., and Scott Ungerer, William G. Kingsley, Robert E. Keith and Mark J. DeNino, the members of the executive board of EnerTech Management Company Manager, LLC, may be deemed to share voting and dispositive power over the shares held by ECP LP; these persons and entities disclaim beneficial ownership of shares held by ECP LP except to the extent of any pecuniary interest therein. |
2. See Exhibit 99.1. Shares of Common Stock and Subordinated Convertible Debenture are directly held EnerTech Capital Holding Company, L.P. ("ECHC"). EnerTech Capital Holding Company Manager, LLC, the general partner of ECHC, and Scott Ungerer and William G. Kingsley, the members of the executive board of EnerTech Capital Holding Company Manager, LLC, may be deemed to share voting and dispositive power over the shares held by ECHC; these persons and entities disclaim beneficial ownership of shares held by ECHC except to the extent of any pecuniary interest therein. |
Remarks: |
ENERTECH CAPITAL PARTNERS, L.P. By: EnerTech Management, L.P., its General Partner By: EnerTech Management Company, L.P., its General Partner By: EnerTech Management Company Manager, LLC, its General Partner By: /s/Phyllis Reid Phyllis Reid, Attorney-in-Fact ENERTECH MANAGEMENT, L.P. By: EnerTech Management Company, L.P., its General Partner By: EnerTech Management Company Manager, LLC, its General Partner By: /s/Phyllis Reid Phyllis Reid, Attorney-in-Fact ENERTECH MANAGEMENT COMPANY L.P. By: EnerTech Management Company Manager LLC, its General Partner By: /s/Phyllis Reid Phyllis Reid, Attorney-in-Fact ENERTECH MANAGEMENT COMPANY MANAGER LLC By: /s/Phyllis Reid Phyllis Reid, Attorney-in-Fact ENERTECH CAPITAL HOLDING COMPANY L.P. By: EnerTech Capital Holding Company Manager LLC, its General Partner By: /s/Phyllis Reid Phyllis Reid, Attorney-in-Fact ENERTECH CAPITAL HOLDING COMPANY MANAGER LLC By: /s/Phyllis Reid Phyllis Reid, Attorney-in-Fact WILLIAM KINGSLEY By: /s/Phyllis Reid Phyllis Reid, Attorney-in-Fact ROBERT E. KEITH By: /s/Pamela Strisofsky Pamela Strisofsky, Attorney-in-Fact MARK J. DENINO By: /s/Pamela Strisofsky Pamela Strisofsky, Attorney-in-Fact |
/s/ Phyllis Reid By Phyllis Reid as Attorney-in-Fact | 07/23/2007 | |
/s/ Pamela Strisofsky By Pamela Strisofsky as Attorney-in-Fact | 07/23/2007 | |
** 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. |