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Gevo, Inc. — Director's Dealing 2011
Feb 8, 2011
32874_dirs_2011-02-08_f833d0d6-899f-4903-ab00-d3eed0663a8a.zip
Director's Dealing
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SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: Gevo, Inc. (GEVO)
CIK: 0001392380
Period of Report: 2011-02-08
Reporting Person: KISHORE GANESH (Director)
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Series C Preferred Stock | $ | Common Stock (802920) | Indirect | ||
| Series D Preferred Stock | $ | Common Stock (497160) | Indirect | ||
| Series D-1 Preferred Stock | $ | Common Stock (126515) | Indirect |
Footnotes
F1: The preferred stock is convertible into shares of the Issuer's common stock at any time on a one-for-one basis and has no expiration date.
F2: The preferred stock is currently convertible into shares of the Issuer's common stock on a one-for-one basis and has no expiration date. However, upon completion of the Issuer's initial public offering, each share of the preferred stock will automatically convert into a number of shares of the Issuer's common stock as determined pursuant to the terms of the Issuer's Amended and Restated Certificate of Incorporation, filed with the Secretary of State of the State of Delaware on May 4, 2010, a copy of which is attached as Exhibit 3.1 to the Issuer's Registration Statement on Form S-1 (File No. 333-168792), as amended, initially filed with the Securities and Exchange Commission on August 12, 2010.
F3: The preferred stock will automatically convert into shares of the Issuer's common stock upon the completion of the Issuer's initial public offering.
F4: The shares of preferred stock were issued to Malaysian Life Sciences Capital Fund Ltd. ("Malaysian Life Sciences"). Ganesh Kishore, Ph.D. is the Chief Executive Officer of Malaysian Life Sciences and may be held to have voting and dispositive power over shares held by the fund. Dr. Kishore disclaims beneficial ownership of shares held by Malaysian Life Sciences except to the extent of his pecuniary interest therein.