Benjamin M. Locke - 16 Mar 2022 Form 3/A - Amendment Insider Report for TECOGEN INC. (TGEN)

Reporting relationship
CEO, Director
Issuer ticker
TGEN
Reported as of
16 Mar 2022
Net transaction value
$0
Source evidence Original filing metadata and source links for verification. 5 source fields
SEC form
3/A - Amendment
Accepted by SEC
06 May 2022, 16:49:13 UTC
Original report date
16 Mar 2022
Prior SEC filing
16 Mar 2022
Source filing
View source filing
Reporting owner 1 detail
Reporting owner signature
/s/ Benjamin M. Locke

Key filing fact

Benjamin M. Locke filed Form 3/A - Amendment for TECOGEN INC. (TGEN) on 06 May 2022.

Key facts

  • This page summarizes Benjamin M. Locke's Form 3/A - Amendment filing for TECOGEN INC. (TGEN).
  • 0 reported transactions and 9 derivative rows are listed below.
  • Accepted by SEC: 06 May 2022, 16:49.

Change

  • Previous filing in this sequence was filed on 16 Mar 2022.
  • Current net transaction value: $0.

Research use

  • This tells you what this filing adds before you inspect full transaction and derivative tables.
  • You can trace every row back to the original SEC filing document.

Evidence

Official SEC source

Ownership activity is grounded in SEC Form 3/A - Amendment disclosures.

View source filing

Reported non-derivative transactions

Shares, units, or other non-derivative securities reported in this filing.

TGEN holding

Common Stock

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after
5,918
Date
16 Mar 2022
Ownership
Direct

Reported derivative securities

Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.

TGEN holding Derivative

Stock Option (Right to Buy)

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after
Date
16 Mar 2022
Ownership
Direct
Underlying class
Common Stock
Underlying amount
37,500
Exercise price
$3.20
Footnotes
F1
TGEN holding Derivative

Stock Option (Right to Buy)

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after
Date
16 Mar 2022
Ownership
Direct
Underlying class
Common Stock
Underlying amount
9,200
Exercise price
$10.33
Footnotes
F2
TGEN holding Derivative

Stock Option (Right to Buy)

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after
Date
16 Mar 2022
Ownership
Direct
Underlying class
Common Stock
Underlying amount
18,400
Exercise price
$5.65
Footnotes
F2
TGEN holding Derivative

Stock Option (Right to Buy)

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after
Date
16 Mar 2022
Ownership
Direct
Underlying class
Common Stock
Underlying amount
62,500
Exercise price
$4.96
Footnotes
F1
TGEN holding Derivative

Stock Option (Right to Buy)

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after
Date
16 Mar 2022
Ownership
Direct
Underlying class
Common Stock
Underlying amount
100,000
Exercise price
$4.96
Footnotes
F1
TGEN holding Derivative

Stock Option (Right to Buy)

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after
Date
16 Mar 2022
Ownership
Direct
Underlying class
Common Stock
Underlying amount
9,200
Exercise price
$5.65
Footnotes
F2
TGEN holding Derivative

Stock Option (Right to Buy)

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after
Date
16 Mar 2022
Ownership
Direct
Underlying class
Common Stock
Underlying amount
200,000
Exercise price
$3.68
Footnotes
F1
TGEN holding Derivative

Stock Option (Right to Buy)

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after
Date
16 Mar 2022
Ownership
Direct
Underlying class
Common Stock
Underlying amount
300,000
Exercise price
$0.7400
Footnotes
F3
TGEN holding Derivative

Stock Option (Right to Buy)

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after
Date
16 Mar 2022
Ownership
Direct
Underlying class
Common Stock
Underlying amount
70,000
Exercise price
$1.10
Footnotes
F4
* marks a reported price that did not pass the local price check.

Additional SEC filing notes

Filing notes and footnotes

Explanation of responses 4 footnotes

Footnote F1

Vests 25% per year

Footnote F2

Converted from options to acquire shares of American DG Energy Inc.; vested in connection with merger of American DG Energy Inc. with a subsidiary of Tecogen Inc.

Footnote F3

Vests 50% upon achievement of Adjusted EBITDA goal in two consecutive quarters, and 50% upon achievement of Adjusted EBITDA goal in four consecutive quarters

Footnote F4

Vests 50% per year

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