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Gevo, Inc. — Director's Dealing 2012
Feb 15, 2012
32874_dirs_2012-02-15_48a3cb2b-05c0-41df-84ac-f09706557f9a.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Gevo, Inc. (GEVO)
CIK: 0001392380
Period of Report: 2012-02-13
Reporting Person: Slaney Michael (EVP, Upstream Business Dev.)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2012-02-13 | Common Stock | X | 8152 | $2.70 | Acquired | 8152 | Indirect |
| 2012-02-13 | Common Stock | S | 2361 | $9.326 | Disposed | 5791 | Indirect |
| 2012-02-13 | Common Stock | S | 5791 | $10 | Disposed | 0 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2012-02-13 | Warrants (right to buy) | $2.70 | X | 8152 | Disposed | 2016-09-21 | Common Stock (8152) | Indirect |
Footnotes
F1: The shares of common stock were issued to CDP Gevo, LLC. CDP Gevo, LLC is beneficially owned 50% by David Black and 50% by Michael Slaney, each of whom may be held to have voting and dispositive power over 100% of the shares held by CDP Gevo, LLC. The reporting person disclaims beneficial ownership of shares held by CDP Gevo, LLC except to the extent of his pecuniary interest therein.
F2: On February 13, 2012, CDP Gevo, LLC exercised a warrant to purchase 8,152 shares of the Issuer's common stock for $2.70 per share. CDP Gevo, LLC paid the exercise price on a cashless basis, resulting in the Issuer's withholding of 2,361 of the warrant shares to pay the exercise price and issuing to CDP Gevo, LLC the remaining 5,791 shares. The Issuer also paid a negligible amount to CDP Gevo, LLC in lieu of a fractional share.
F3: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 14, 2011.
F4: This warrant was issued to CDP Gevo, LLC. CDP Gevo, LLC is beneficially owned 50% by David Black and 50% by Michael Slaney, each of whom may be held to have voting and dispositive power over 100% of the shares held by CDP Gevo, LLC. The reporting person disclaims beneficial ownership of shares held by CDP Gevo, LLC except to the extent of his pecuniary interest therein.