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Share Name | Share Symbol | Market | Type |
---|---|---|---|
New Gen Biofuels (MM) | NASDAQ:NGBF | NASDAQ | Common Stock |
Price Change | % Change | Share Price | Bid Price | Offer Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|---|---|
0.00 | 0.00% | 0.1083 | 0 | 01:00:00 |
FORM 4
[
X
]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
|
OMB APPROVAL
OMB Number: 3235-0287 Expires: February 28, 2011 Estimated average burden hours per response... 0.5 |
|
Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 |
|
1. Name and Address of Reporting Person
*
ROSEN LEE S |
2. Issuer Name
and
Ticker or Trading Symbol
New Generation Biofuels Holdings, Inc [ NGBF ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__ X __ Director _____ 10% Owner __ X __ Officer (give title below) _____ Other (specify below) Chairman of the Board |
C/O NEW GENERATION BIOFUELS HOLDINGS INC, 5850 WATERLOO ROAD, SUITE 140 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
|
|
COLUMBIA, MD 21045 |
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_ X _ Form filed by One Reporting Person ___ Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned |
||||||||||
1.Title of Security
(Instr. 3) |
2. Trans. Date | 2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 3/6/2010 | A | 126316 | A | $0 | 559649 | D |
|
Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities) |
|||||||||||||||
1. Title of Derivate Security
(Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any |
4. Trans. Code
(Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
6. Date Exercisable and Expiration Date |
7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4) |
8. Price of Derivative Security
(Instr. 5) |
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Option (right to buy) | $1.05 | 3/6/2010 | A | 36303 | 3/6/2010 | 7/22/2019 | Common Stock | 36303 (1) | $0 | 36303 | D |
|
|||
Stock Option (right to buy) | $.63 | 5/7/2010 | A | 36303 | 5/7/2010 | 5/6/2020 | Common Stock | 36303 | $0 | 36303 | D |
|
Explanation of Responses: | |
( 1) | Pursuant to Mr. Rosen's Employment Agreement, dated July 23, 2009, Mr. Rosen was granted performance options to purchase 469,440 shares of common stock. The options vests in three annual installments based on satisfaction of certain performance criteria for each of the fiscal years ending December 31, 2009, 2010 and 2011. The performance criteria for 2009 were partially met, resulting in the vesting of the option as to 36,303 shares. The remaining 120,177 options were cancelled. |
Reporting Owners
|
|||||
Reporting Owner Name / Address |
|
||||
Director | 10% Owner | Officer | Other | ||
ROSEN LEE S
C/O NEW GENERATION BIOFUELS HOLDINGS INC 5850 WATERLOO ROAD, SUITE 140 COLUMBIA, MD 21045 |
X |
|
Chairman of the Board |
|
Signatures
|
||
/s/ Lee S. Rosen | 7/1/2010 | |
** 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 4(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 control number. |
1 Year New Gen Biofuels (MM) Chart |
1 Month New Gen Biofuels (MM) Chart |
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