- Statement of Changes in Beneficial Ownership (4)
12 Septembre 2012 - 2:18AM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public
Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
McCarthy Jeffrey P
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2. Issuer Name
and
Ticker or Trading Symbol
A123 SYSTEMS, INC.
[
AONE
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
_____ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
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(Last)
(First)
(Middle)
C/O A123 SYSTEMS, INC., 200 WEST STREET
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3. Date of Earliest Transaction
(MM/DD/YYYY)
9/7/2012
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(Street)
WALTHAM, MA 02451
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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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)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock, $0.001 par value
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10000
(1)
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D
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Common Stock, $0.001 par value
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9/7/2012
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S
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557768
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D
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$0.1979
(2)
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398677
(3)
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I
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By North Bridge Venture Partners IV-A, L.P.
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Common Stock, $0.001 par value
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9/7/2012
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S
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264772
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D
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$0.1979
(2)
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189249
(3)
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I
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By North Bridge Venture Partners IV-B, L.P.
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Common Stock, $0.001 par value
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9/7/2012
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S
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790072
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D
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$0.1979
(2)
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564721
(3)
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I
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By North Bridge Venture Partners V-A, L.P.
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Common Stock, $0.001 par value
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9/7/2012
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S
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387388
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D
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$0.1979
(2)
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276897
(3)
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I
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By North Bridge Venture Partners V-B, L.P.
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Common Stock, $0.001 par value
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9/10/2012
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S
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398677
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D
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$0.2199
(4)
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0
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I
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By North Bridge Venture Partners IV-A, L.P.
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Common Stock, $0.001 par value
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9/10/2012
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S
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189249
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D
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$0.2199
(4)
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0
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I
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By North Bridge Venture Partners IV-B, L.P.
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Common Stock, $0.001 par value
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9/10/2012
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S
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564721
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D
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$0.2199
(4)
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0
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I
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By North Bridge Venture Partners V-A, L.P.
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Common Stock, $0.001 par value
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9/10/2012
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S
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276897
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D
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$0.2199
(4)
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0
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I
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By North Bridge Venture Partners V-B, L.P.
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Explanation of Responses:
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(
1)
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Includes 7,500 restricted stock units ("RSUs"). Upon vesting thereof, the Reporting Person is entitled to receive one (1) share of common stock for each one (1) RSU.
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(
2)
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The transaction was executed in multiple trades in prices ranging from $0.1950 to $0.2129, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer, or a stockholder of the Issuer, information regarding the number of shares and prices at which the transaction was effected.
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(
3)
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The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.
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(
4)
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The transaction was executed in multiple trades in prices ranging from $0.2000 to $0.5150, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer, or a stockholder of the Issuer, information regarding the number of shares and prices at which the transaction was effected.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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McCarthy Jeffrey P
C/O A123 SYSTEMS, INC.
200 WEST STREET
WALTHAM, MA 02451
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X
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Signatures
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/s/ Kenneth J. DiPoto, as Attorney-in-Fact for Jeffrey P. McCarthy
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9/11/2012
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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 control number.
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