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Share Name | Share Symbol | Market | Type |
---|---|---|---|
Tecogen Inc | NASDAQ:TGEN | 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% | 0.71 | 0.8125 | 0.85 | 0 | 01:00:00 |
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Rule 13d-1(b)
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Rule 13d-1(c)
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X
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Rule 13d-1(d)
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CUSIP No.
87876P102
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13G
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Page
2
of 4
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1
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NAME OF REPORTING PERSON
Mr. John N. Hatsopoulos
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2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (
See
Instructions) (a)
o
(b)
o
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3
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SEC USE ONLY
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4
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CITIZENSHIP OR PLACE OF ORGANIZATION
United States of America
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NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
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|
5
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SOLE VOTING POWER
1,194,831
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6
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SHARED VOTING POWER
2,057,564
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7
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SOLE DISPOSITIVE POWER
1,194,831
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||
8
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SHARED DISPOSITIVE POWER
2,057,564
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9
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
3,252,395
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10
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CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (
See
Instructions)
x
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11
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
16.30%
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12
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TYPE OF REPORTING PERSON (
See
Instructions)
OO
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CUSIP No.
87876P102
|
13G
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Page
3
of 4
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(a)
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o
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Broker or dealer registered under Section 15 of the Exchange Act;
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(b)
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o
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Bank as defined in Section 3(a) (6) of the Exchange Act;
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(c)
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o
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Insurance company as defined in Section 3(a) (19) of the Exchange Act;
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(d)
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o
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Investment company registered under Section 8 of the Investment Company Act;
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(e)
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o
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An investment adviser in accordance with Rule 13d-1(b) (1) (ii) (E);
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(f)
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o
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An employee benefit plan or endowment fund in accordance with Rule 13d-1(b) (1) (ii) (F);
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(g)
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o
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A parent holding company or control person in accordance with Rule 13d-1(b) (1) (ii) (G);
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(h)
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o
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A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act;
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(i)
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o
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A church plan that is excluded from the definition of an investment company under Section 3(c) (14) of the Investment Company Act;
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(j)
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o
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Group, in accordance with Rule 13d-1(b) (1) (ii) (J).
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(a)
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Amount beneficially owned: 3,252,395 shares of Tecogen Inc common stock, par value $0.001 per share (“TGEN Common Stock”). Includes: 155,351 shares of Common Stock held directly by John N. Hatsopoulos; 1,039,480 shares of Common Stock held by the Nia M. Hatsopoulos Jephson 2011 Irrevocable Trust, where Mr. Hatsopoulos is the trustee; 1,039,480 shares of Common Stock held by the Alexander J. Hatsopoulos 2011 Irrevocable Trust, where Mrs. Patricia L. Hatsopoulos, John's spouse is the trustee; 989,859 shares of Common Stock held by The John N. Hatsopoulos Family Trust 2007 for the benefit of: Patricia L. Hatsopoulos, Alexander J. Hatsopoulos, and Nia Marie Hatsopoulos, for which Dr. George N. Hatsopoulos and Ms. Patricia L. Hatsopoulos are the trustees; and 28,225 shares of Common Stock held by Patricia L. Hatsopoulos.
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(b)
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Percent of class: 16.30% (based on 19,949,672 shares of TGEN Common Stock outstanding as of November 4, 2016, as reported on TGEN's Quarterly Report filed on Form 10-Q for the quarter ended September 30, 2016, as filed with the SEC on November 14, 2016).
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(c)
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Number of shares as to which such person has:
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CUSIP No.
87876P102
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13G
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Page
4
of 4
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Item 6.
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Ownership of More than Five Percent on Behalf of Another Person.
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Item 7.
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Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person.
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