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Share Name | Share Symbol | Market | Type |
---|---|---|---|
ThermoEnergy Corp (CE) | USOTC:TMEN | OTCMarkets | 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% | 0.0001 | 0.00 | 01:00:00 |
|
UNITED STATES SECURITIES
|
OMB APPROVAL
OMB Number: 3235-0076
Estimated Average burden hours per response: 4.0
|
Notice of Exempt Offering of Securities
|
1. Issuer's Identity | ||
CIK (Filer ID Number) | Previous Name(s) o None | Entity Type |
0000884504
|
INNOTEK CORPORATION
|
x
Corporation
o
Limited Partnership
o
Limited Liability Company
o
General Partnership
o
Business Trust
o
Other
|
Name of Issuer | ||
THERMOENERGY CORP
|
||
Jurisdiction of Incorporation/Organization | ||
DELAWARE | ||
Year of Incorporation/Organization | |||
x | Over Five Years Ago | ||
o | Within Last Five Years (Specify Year) | ||
o | Yet to Be Formed |
2. Principal Place of Business and Contact Information | ||||
Name of Issuer | ||||
THERMOENERGY CORP |
Street Address 1 | Street Address 2 |
10 NEW BOND STREET |
City | State/Province/Country | ZIP/Postal Code | Phone No. of Issuer |
WORCESTER | MASSACHUSETTS | 01606 | (508) 854-1628 |
3. Related Persons |
Last Name | First Name | Middle Name |
Bullock | Cary | G. |
Street Address 1 | Street Address 2 |
10 New Bond Street |
City | State/Province/Country | ZIP/Postal Code |
Worcester | MASSACHUSETTS | 01606 |
Relationship: | x | Executive Officer | x | Director | o | Promoter |
Clarification of Response (if Necessary) | |
Last Name | First Name | Middle Name |
Klowan, Jr. | Teodor |
Street Address 1 | Street Address 2 |
10 New Bond Street |
City | State/Province/Country | ZIP/Postal Code |
Worcester | MASSACHUSETTS | 01606 |
Relationship: | x | Executive Officer | o | Director | o | Promoter |
Clarification of Response (if Necessary) | |
Last Name | First Name | Middle Name |
Agnihotri | Dileep |
Street Address 1 | Street Address 2 |
2324 Ridgepoint Drive |
City | State/Province/Country | ZIP/Postal Code |
Austin | TEXAS | 78754 |
Relationship: | o | Executive Officer | x | Director | o | Promoter |
Clarification of Response (if Necessary) | |
Last Name | First Name | Middle Name |
Bartlett | Joseph | P. |
Street Address 1 | Street Address 2 |
1900 Avenue of the Stars | 20th Floor |
City | State/Province/Country | ZIP/Postal Code |
Los Angeles | CALIFORNIA | 90067 |
Relationship: | o | Executive Officer | x | Director | o | Promoter |
Clarification of Response (if Necessary) | |
Last Name | First Name | Middle Name |
Hughes | Shawn | R. |
Street Address 1 | Street Address 2 |
717 South Edison Avenue |
City | State/Province/Country | ZIP/Postal Code |
Tampa | FLORIDA | 33606 |
Relationship: | o | Executive Officer | x | Director | o | Promoter |
Clarification of Response (if Necessary) | |
Last Name | First Name | Middle Name |
Hughes III | J. | Winder |
Street Address 1 | Street Address 2 |
24 La Vista Drive |
City | State/Province/Country | ZIP/Postal Code |
Ponte Verde | FLORIDA | 32082 |
Relationship: | o | Executive Officer | x | Director | o | Promoter |
Clarification of Response (if Necessary) | |
Last Name | First Name | Middle Name |
Reynolds | Arthur | S. |
Street Address 1 | Street Address 2 |
230 Park Avenue |
City | State/Province/Country | ZIP/Postal Code |
New York | NEW YORK | 10169 |
Relationship: | o | Executive Officer | x | Director | o | Promoter |
Clarification of Response (if Necessary) | |
4. Industry Group |
o | Agriculture | Health Care | o | Retailing | ||||
Banking & Financial Services | o | Biotechnology | o | Restaurants | ||||
o | Commercial Banking | o | Health Insurance | Technology | ||||
o | Insurance | o | Hospitals & Physicians | o | Computers | |||
o | Investing | o | Pharmaceuticals | o | Telecommunications | |||
o | Investment Banking | o | Other Health Care | x | Other Technology | |||
o |
Pooled Investment Fund
|
Travel | ||||||
o | Other Banking & Financial Services | o | Manufacturing | o | Airlines & Airports | |||
Real Estate | o | Lodging & Conventions | ||||||
o | Commercial | o | Tourism & Travel Services | |||||
o | Construction | o | Other Travel | |||||
o | REITS & Finance | o | Other | |||||
o | Residential | |||||||
o | Other Real Estate | |||||||
o | Business Services | |||||||
Energy | ||||||||
o | Coal Mining | |||||||
o | Electric Utilities | |||||||
o | Energy Conservation | |||||||
o | Environmental Services | |||||||
o | Oil & Gas | |||||||
o | Other Energy |
5. Issuer Size |
Revenue Range | Aggregate Net Asset Value Range | ||
o | No Revenues | o | No Aggregate Net Asset Value |
o | $1 - $1,000,000 | o | $1 - $5,000,000 |
o | $1,000,001 - $5,000,000 | o | $5,000,001 - $25,000,000 |
o | $5,000,001 - $25,000,000 | o | $25,000,001 - $50,000,000 |
o | $25,000,001 - $100,000,000 | o | $50,000,001 - $100,000,000 |
o | Over $100,000,000 | o | Over $100,000,000 |
x | Decline to Disclose | o | Decline to Disclose |
o | Not Applicable | o | Not Applicable |
6. Federal Exemption(s) and Exclusion(s) Claimed (select all that apply) |
o | Rule 504(b)(1) (not (i), (ii) or (iii)) | o | Rule 505 |
o | Rule 504 (b)(1)(i) | x | Rule 506 |
o | Rule 504 (b)(1)(ii) | o | Securities Act Section 4(6) |
o | Rule 504 (b)(1)(iii) | o | Investment Company Act Section 3(c) |
7. Type of Filing |
x | New Notice | Date of First Sale | 2012-07-11 | o | First Sale Yet to Occur |
o | Amendment |
8. Duration of Offering |
Does the Issuer intend this offering to last more than one year? | o | Yes | x | No |
9. Type(s) of Securities Offered (select all that apply) |
o | Pooled Investment Fund Interests | x | Equity |
o | Tenant-in-Common Securities | o | Debt |
o | Mineral Property Securities | x | Option, Warrant or Other Right to Acquire Another Security |
x | Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security | o | Other (describe) |
10. Business Combination Transaction |
Is this offering being made in connection with a business combination transaction, such as a merger, acquisition or exchange offer? | o | Yes | x | No |
Clarification of Response (if Necessary) | ||||
11. Minimum Investment |
Minimum investment accepted from any outside investor | $ 0 USD |
12. Sales Compensation |
Recipient | Recipient CRD Number | x | None | ||
More than five Associated Persons | |||||
(Associated) Broker or Dealer | o | None | (Associated) Broker or Dealer CRD Number | o | None |
Dawson James Securities, Inc. | 130645 | ||||
Street Address 1 | Street Address 2 | ||||
925 SOUTH FEDERAL HIGHWAY | SUITE 600 |
City | State/Province/Country | ZIP/Postal Code |
BOCA RATON | FLORIDA | 33432 |
State(s) of Solicitation | x | All States | o | Foreign/Non-US |
13. Offering and Sales Amounts |
Total Offering Amount | $ 9562500 USD | o Indefinite |
Total Amount Sold | $ 1731625 USD | |
Total Remaining to be Sold | $ 7830875 USD | o Indefinite |
Clarification of Response (if Necessary) |
Total Offering Amount includes $1,562,500 for over-allotment. |
14. Investors |
o |
Select if securities in the offering have been or may be sold to persons who do not qualify as accredited investors,
Number of such non-accredited investors who already have invested in the offering |
|
Regardless of whether securities in the offering have been or may be sold to persons who do not qualify as accredited investors, enter the total number of investors who already have invested in the offering: | 26 |
15. Sales Commissions & Finders' Fees Expenses |
Provide separately the amounts of sales commissions and finders' fees expenses, if any. If the amount of an expenditure is not known, provide an estimate and check the box next to the amount.
|
Sales Commissions | $ 1102200 USD | x | Estimate |
Finders' Fees | $ 0 USD | o | Estimate |
Clarification of Response (if Necessary) |
Placement Agent will also be granted warrants to purchase up to 9,185,000 shares of Common Stock at $0.15 per Share. |
16. Use of Proceeds |
Provide the amount of the gross proceeds of the offering that has been or is proposed to be used for payments to any of the persons required to be named as executive officers, directors or promoters in response to Item 3 above. If the amount is unknown, provide an estimate and check the box next to the amount.
|
$ 0 USD | o | Estimate |
Clarification of Response (if Necessary) |
Signature and Submission |
Please verify the information you have entered and review the Terms of Submission below before signing and clicking SUBMIT below to file this notice. |
Terms of Submission |
In submitting this notice, each Issuer named above is: | ||
|
Each Issuer identified above has read this notice, knows the contents to be true, and has duly caused this notice to be signed on its behalf by the undersigned duly authorized person. | |
For signature, type in the signer's name or other letters or characters adopted or authorized as the signer's signature. |
Issuer | Signature | Name of Signer | Title | Date |
THERMOENERGY CORP | /s/ Cary G. Bullock | Cary G. Bullock | Chairman of the Board & CEO | 2012-07-26 |
1 Year ThermoEnergy (CE) Chart |
1 Month ThermoEnergy (CE) Chart |
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