0001144204-19-029919.txt : 20190605
0001144204-19-029919.hdr.sgml : 20190605
20190605172614
ACCESSION NUMBER: 0001144204-19-029919
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20190531
FILED AS OF DATE: 20190605
DATE AS OF CHANGE: 20190605
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: WYNNEFIELD PARTNERS SMALL CAP VALUE LP
CENTRAL INDEX KEY: 0000899083
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-30396
FILM NUMBER: 19880759
BUSINESS ADDRESS:
STREET 1: 450 SEVENTH AVENUE
STREET 2: SUITE 509
CITY: NEW YORK
STATE: NY
ZIP: 10123
BUSINESS PHONE: 212-760-0814
MAIL ADDRESS:
STREET 1: 450 SEVENTH AVENUE
STREET 2: SUITE 509
CITY: NEW YORK
STATE: NY
ZIP: 10123
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: WYNNEFIELD PARTNERS SMALL CAP VALUE LP I
CENTRAL INDEX KEY: 0001251565
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-30396
FILM NUMBER: 19880760
BUSINESS ADDRESS:
STREET 1: 450 SEVENTH AVENUE
STREET 2: SUITE 509
CITY: NEW YORK
STATE: NY
ZIP: 10123
BUSINESS PHONE: 212-760-0814
MAIL ADDRESS:
STREET 1: 450 SEVENTH AVENUE
STREET 2: SUITE 509
CITY: NEW YORK
STATE: NY
ZIP: 10123
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD
CENTRAL INDEX KEY: 0001030806
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-30396
FILM NUMBER: 19880761
BUSINESS ADDRESS:
STREET 1: 450 SEVENTH AVE
STREET 2: STE 509
CITY: NEW YORK
STATE: NY
ZIP: 10123
BUSINESS PHONE: 2127600814
MAIL ADDRESS:
STREET 1: 450 SEVENTH AVE
STREET 2: STE 509
CITY: NEW YORK
STATE: NY
ZIP: 10123
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: WYNNEFIELD CAPITAL MANAGEMENT LLC
CENTRAL INDEX KEY: 0001056835
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-30396
FILM NUMBER: 19880762
BUSINESS ADDRESS:
STREET 1: 450 SEVENTH AVE
STREET 2: STE 509
CITY: NEW YORK
STATE: NY
ZIP: 10123
BUSINESS PHONE: 2127600814
MAIL ADDRESS:
STREET 1: 450 SEVENTH AVE
STREET 2: STE 509
CITY: NEW YORK
STATE: NY
ZIP: 10123
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: WYNNEFIELD CAPITAL INC
CENTRAL INDEX KEY: 0001251567
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-30396
FILM NUMBER: 19880763
BUSINESS ADDRESS:
STREET 1: 450 SEVENTH AVE
STREET 2: STE 509
CITY: NEW YORK
STATE: NY
ZIP: 10123
BUSINESS PHONE: 2129600814
MAIL ADDRESS:
STREET 1: 450 SEVENTH AVE
STREET 2: STE 509
CITY: NEW YORK
STATE: NY
ZIP: 10123
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Wynnefield Capital, Inc. Profit Sharing Plan
CENTRAL INDEX KEY: 0001289453
STATE OF INCORPORATION: NY
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-30396
FILM NUMBER: 19880764
BUSINESS ADDRESS:
STREET 1: 450 SEVENTH AVENUE
STREET 2: SUITE 509
CITY: NEW YORK
STATE: NY
ZIP: 10123
BUSINESS PHONE: 212-760-0278
MAIL ADDRESS:
STREET 1: 450 SEVENTH AVENUE
STREET 2: SUITE 509
CITY: NEW YORK
STATE: NY
ZIP: 10123
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: OBUS NELSON
CENTRAL INDEX KEY: 0001017043
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-30396
FILM NUMBER: 19880765
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: LANDES JOSHUA
CENTRAL INDEX KEY: 0001251568
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-30396
FILM NUMBER: 19880766
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: GlyEco, Inc.
CENTRAL INDEX KEY: 0000931799
STANDARD INDUSTRIAL CLASSIFICATION: MISCELLANEOUS CHEMICAL PRODUCTS [2890]
IRS NUMBER: 330622722
STATE OF INCORPORATION: NV
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 230 GILL WAY
CITY: ROCK HILL
STATE: SC
ZIP: 29730
BUSINESS PHONE: 866-960-1539
MAIL ADDRESS:
STREET 1: 230 GILL WAY
CITY: ROCK HILL
STATE: SC
ZIP: 29730
FORMER COMPANY:
FORMER CONFORMED NAME: Environmental Credits Ltd
DATE OF NAME CHANGE: 20091001
FORMER COMPANY:
FORMER CONFORMED NAME: BOYSTOYS COM INC
DATE OF NAME CHANGE: 19990209
FORMER COMPANY:
FORMER CONFORMED NAME: ALTERNATIVE ENTERTAINMENT INC
DATE OF NAME CHANGE: 19950106
4
1
tv523183_form4.xml
OWNERSHIP DOCUMENT
X0306
4
2019-05-31
0
0000931799
GlyEco, Inc.
GLYE
0000899083
WYNNEFIELD PARTNERS SMALL CAP VALUE LP
450 SEVENTH AVENUE
SUITE 509
NEW YORK
NY
10123
0
0
1
0
0001251565
WYNNEFIELD PARTNERS SMALL CAP VALUE LP I
450 SEVENTH AVENUE
SUITE 509
NEW YORK
NY
10123
0
0
1
0
0001030806
WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD
450 SEVENTH AVENUE
SUITE 509
NEW YORK
NY
10123
0
0
1
0
0001056835
WYNNEFIELD CAPITAL MANAGEMENT LLC
450 SEVENTH AVENUE
SUITE 509
NEW YORK
NY
10123
0
0
1
0
0001251567
WYNNEFIELD CAPITAL INC
450 SEVENTH AVENUE
SUITE 509
NEW YORK
NY
10123
0
0
1
0
0001289453
Wynnefield Capital, Inc. Profit Sharing Plan
450 SEVENTH AVENUE
SUITE 509
NEW YORK
NY
10123
0
0
1
0
0001017043
OBUS NELSON
450 SEVENTH AVENUE
SUITE 509
NEW YORK
NY
10123
0
0
1
0
0001251568
LANDES JOSHUA
450 SEVENTH AVENUE
SUITE 509
NEW YORK
NY
10123
0
0
1
0
Common Stock Purchase Warrant (right to buy)
1.55
2019-05-31
4
J
0
417843
0
A
2019-05-31
2024-05-31
Common Stock
417843
417843
D
Common Stock Purchase Warrant (right to buy)
1.55
2019-05-31
4
J
0
646981
0
A
2019-05-31
2024-05-31
Common Stock
646981
646981
I
See Footnote
The warrant to purchase 417,843 shares of common stock, $0.0001 par value per share (the "Common Stock"), of GlyEco, Inc. (the "Issuer"), was issued to the Reporting Person in connection with an agreement to replace the Issuer's 10% Senior, Unsecured Promissory Note, which had been previously issued to the Reporting Person, with an Amended and Restated 12.5% Senior, Subordinated Unsecured Promissory Note.
The warrant to purchase 646,981 shares of Common Stock was issued to Wynnefield Partners Small Cap Value, L.P. I in connection with an agreement to replace the Issuers's 10% Senior, Unsecured Promissory Note, which had been previously issued to Wynnefield Partners Small Cap Value, L.P. I, with an Amended and Restated 12.5% Senior, Subordinated Unsecured Promissory Note.
The Reporting Person directly beneficially owns the warrant to purchase 417,843 shares of Common Stock. Wynnefield Capital Management, LLC, as the sole general partner of the Reporting Person, has an indirect beneficial ownership interest in the warrant that the Reporting Person directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the warrant that the Reporting Person directly beneficially owns.
The Reporting Person has an indirect beneficial ownership interest in the warrant to purchase 646,981 shares of Common Stock that is directly beneficially owned by Wynnefield Partners Small Cap Value, L.P. I, as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Wynnefield Partners Small Cap Value, L.P. I, which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital Management, LLC, as the sole general partner of Wynnefield Partners Small Cap Value, L.P. I, has an indirect beneficial ownership interest in the warrant that Wynnefield Partners Small Cap Value L.P. I directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the warrant that Wynnefield Partners Small Cap Value, L.P. I directly beneficially owns.
Each of the Reporting Owners identified in this statement disclaims beneficial ownership of the securities described in this statement, except to the extent of their individual respective pecuniary interest in such securities. The filing of this statement shall not be deemed an admission that any of the Reporting Owners identified in this statement are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any securities specified in this statement other than those directly beneficially owned by them.
WYNNEFIELD PARTNERS SMALL CAP VALUE, L.P., By: Wynnefield Capital Management, LLC, General Partner, By: /s/ Nelson Obus, Managing Member
2019-06-05
WYNNEFIELD PARTNERS SMALL CAP VALUE, L.P. I, By: Wynnefield Capital Management, LLC, General Partner, By: /s/ Nelson Obus, Managing Member
2019-06-05
WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND, LTD., By: Wynnefield Capital, Inc., By: /s/ Nelson Obus, President
2019-06-05
WYNNEFIELD CAPITAL, INC. PROFIT SHARING PLAN, By: /s/ Nelson Obus, Co-Trustee
2019-06-05
WYNNEFIELD CAPITAL MANAGEMENT, LLC, By: /s/ Nelson Obus, Managing Member
2019-06-05
WYNNEFIELD CAPITAL, INC., By: /s/ Nelson Obus, President
2019-06-05
/s/ Nelson Obus, individually
2019-06-05
/s/ Joshua Landes, individually
2019-06-05