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Filing Details

Accession Number:
0001140361-12-001771
Form Type:
4
Zero Holdings:
No
Publication Time:
2012-01-10 12:49:12
Reporting Period:
2011-12-30
Filing Date:
2012-01-10
Filing Date Changed:
2012-01-10
Accepted Time:
2012-01-10 12:49:12
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1372664 Comverge Inc. COMV Auto Controls For Regulating Residential & Comml Environments (3822) 223543611
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1025710 J Philip Hempleman 262 Harbor Drive, 4Th Floor
Stamford CT 06902
No No Yes No
1504218 I Partners Ardsley 262 Harbor Drive, 4Th Floor
Stamford CT 06902
No No Yes Yes
1538953 Ian Benjamin Block 262 Harbor Drive, 4Th Floor
Stamford CT 06902
No No Yes No
1538954 Steven Napoli 262 Harbor Drive, 4Th Floor
Stamford CT 06902
No No Yes No
1539055 Spencer Hempleman 262Harbor Drive, 4Th Floor
Stamford CT 06902
No No Yes No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock, $0.001 Par Value ("common Stock") Acquisiton 2011-12-30 345,100 $1.23 3,145,500 No 4 P Indirect See FN
Common Stock Acquisiton 2012-01-03 105,000 $1.35 3,250,500 No 4 P Indirect See FN
Common Stock Acquisiton 2012-01-04 100,000 $1.40 3,350,500 No 4 P Indirect See FN
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect See FN
No 4 P Indirect See FN
No 4 P Indirect See FN
Footnotes
  1. Common Stock acquired by Ardsley Offshore Fund, Ltd., a British Virgin Islands corporation ("Ardsley Offshore"), Ardsley Partners Fund II, L.P.a Delaware limited partnership ("APII"), Ardsley Partners Institutional Fund, L.P., a Delaware limited partnership ("Ardsley Institutional") and Mr. Spencer Hempleman.
  2. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.2237 to $1.3008, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the range set forth herein.
  3. Common Stock acquired by Ardsley Offshore, APII, Ardsley Institutional, and Mr. Spencer Hempleman.
  4. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.3435 to $1.35, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the range set forth herein.
  5. Common Stock by Ardsley Offshore, APII, and Ardsley Institutional.
  6. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.40 to $1.4094, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the range set forth herein.
  7. The shares reported in Column 5 of this Table I are held directly by APII, Ardsley Institutional, Ardsley Offshore, Ardsley Partners Renewable Energy Fund, L.P., a Delaware limited Partnership ("Ardsley Energy"), Ardsley Renewable Energy Offshore Fund, Ltd., a British Virgin Islands Corporation ("Ardsley Energy Offshore"), a certain managed account (the "Ardsley Managed Account") advised by Ardsley (as defined below), Mr. Spencer Hempleman, a partner of Ardsley and Ardsley Partners (as defined below), Mr. Benjamin Ian Block, a partner of Ardsley and Ardsley Partners, and Mr. Steven Napoli, a partner of Ardsley and Ardsley Partners.
  8. Ardsley Advisory Partners, a New York general partnership ("Ardsley") serves as investment manager to Ardsley Offshore, Ardsley Energy Offshore and the Ardsley Managed Account and serves as investment adviser to APII, Ardsley Institutional and Ardsley Energy, and has investment discretion over the securities held by each. Ardsley Partners I, a New York general partnership ("Ardsley Partners") and Mr. Hempleman serve as the general partners of APII, Ardsley Institutional and Ardsley Energy, and have investment discretion over the securities held by each. In addition, Mr. Hempleman is the Managing Partner of Ardsley and Ardsley Partners and, in such capacity, has investment discretion over the securities managed by each. Each of the Reporting Persons disclaim beneficial ownership of the securities reported herein except to the extent of its or their own actual pecuniary interest therein.
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