Energous Corp — Director's Dealing 2016

Aug 19, 2016

SEC Form 3 — Initial Statement of Beneficial Ownership

Issuer: Energous Corp (WATT)
CIK: 0001575793
Period of Report: 2016-08-09

Reporting Person: Fairbairn Malcolm (10% Owner, Member of 10% Owner Group)
Reporting Person: FAIRBAIRN EMILY (Member of 10% Owner Group)
Reporting Person: VALLEY HIGH LIMITED PARTNERSHIP (Member of 10% Owner Group)
Reporting Person: VALLEY HIGH CAPITAL LLC (Member of 10% Owner Group)
Reporting Person: GRANT FAIRBAIRN IRREVOCABLE TRUST SEPTEMBER 30, 2011 (Member of 10% Owner Group)
Reporting Person: NINA FAIRBAIRN IRREVOCABLE TRUST SEPTEMBER 30, 2011 (Member of 10% Owner Group)

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	81667	Indirect
Common Stock	315462	Indirect
Common Stock	133333	Indirect
Common Stock	133333	Indirect
Common Stock	1618123	Indirect

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Warrant	$23.00	2021-08-12	Common Stock (809061)		Direct
Warrant	$23.00	2021-08-12	Common Stock (809062)		Indirect
Warrant	$3.60	2019-03-31	Common Stock (13889)		Indirect

Footnotes

F1: Malcolm Fairbairn is a 10% owner of the shares of common stock (the "Shares") of Energous Corporation, a Delaware corporation (the "Issuer"). Malcolm Fairbairn, Emily Fairbairn, Valley High Limited Partnership, Valley High Capital LLC, Nina Fairbairn Irrevocable Trust September 30, 2011, Grant Fairbairn Irrevocable Trust September 30, 2011, Ascend Legend Master Fund, Ltd., Ascend Legend Fund, Ltd., Ascend Partners Fund I, Ltd., Ascend Capital Limited Partnership and Ascend Capital, LLC are members of a 10% group of the Issuer. Please see the Form 3 with respect to the Issuer filed on August 19, 2016 by Ascend Legend Master Fund, Ltd. for more information regarding the Shares held by Ascend Legend Master Fund, Ltd., Ascend Legend Fund, Ltd., Ascend Partners Fund I, Ltd., Ascend Capital Limited Partnership and Ascend Capital, LLC.

F2: Valley High Limited Partnership is the direct beneficial owner of these Shares. Valley High Capital LLC is the general partner of Valley High Limited Partnership. Malcolm Fairbairn and Emily Fairbairn are the managing members of Valley High Capital LLC. Valley High Capital LLC, Malcolm Fairbairn and Emily Fairbairn are indirect beneficial owners of these Shares.

F3: Nina Fairbairn Irrevocable Trust September 30, 2011 is the direct beneficial owner of these Shares. Malcolm Fairbairn and Emily Fairbairn are co-trustees of the Nina Fairbairn Irrevocable Trust September 30, 2011. Malcolm Fairbairn and Emily Fairbairn are indirect beneficial owners of these Shares.

F4: Grant Fairbairn Irrevocable Trust September 30, 2011 is the direct beneficial owner of these Shares. Malcolm Fairbairn and Emily Fairbairn are co-trustees of the Grant Fairbairn Irrevocable Trust September 30, 2011. Malcolm Fairbairn and Emily Fairbairn are indirect beneficial owners of these Shares.

F5: These Shares are directly held by Ascend Legend Master Fund, Ltd., which has filed a separate Form 3 with respect to these Shares on August 19, 2016. Malcolm Fairbairn is an indirect beneficial owner of these Shares.