|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
|
| ||||||||||||||||||||||||||||||||||||||
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Warrant (Right to Buy) | $ 10 | 12/28/2011 | M | 1,500,000 | (2) | 12/28/2011 | Common Stock | 1,500,000 | $ 0 | 13,500,000 | D | ||||
Warrant (Right to Buy) | $ 10 | 12/28/2011 | S(3) | 5,950,000 | (2) | 12/28/2011 | Common Stock | 5,950,000 | (3) | 7,550,000 | D | ||||
Warrant (Right to Buy) | $ 10 | 12/28/2011 | S(4) | 2,550,000 | (2) | 12/28/2011 | Common Stock | 2,550,000 | (4) | 5,000,000 | D | ||||
Warrant (Right to Buy) | $ 10 | 12/28/2011 | S(5) | 1,500,000 | (2) | 12/28/2011 | Common Stock | 1,500,000 | (5) | 3,500,000 | D | ||||
Warrant (Right to Buy) | $ 10 | 12/28/2011 | S(6) | 1,000,000 | (2) | 12/28/2011 | Common Stock | 1,000,000 | (6) | 2,500,000 | D | ||||
Warrant (Right to Buy) | $ 10 | 12/28/2011 | S(7) | 2,500,000 | (2) | 12/28/2011 | Common Stock | 2,500,000 | (7) | 0 | D | ||||
Option (Right to Buy) | $ 22 | 12/28/2011 | P(3) | 2,975,000 | (2) | 12/28/2012 | Common Stock | 2,975,000 | (3) | 2,975,000 | D | ||||
Opton (Right to Buy) | $ 22 | 12/28/2011 | P(4) | 1,275,000 | (2) | 12/28/2012 | Common Stock | 1,275,000 | (4) | 1,275,000 | D | ||||
Option (Right to Buy) | $ 22 | 12/28/2011 | P(5) | 750,000 | (2) | 12/28/2012 | Common Stock | 750,000 | (5) | 750,000 | D | ||||
Option (Right to Buy) | $ 22 | 12/28/2011 | P(6) | 500,000 | (2) | 12/28/2012 | Common Stock | 500,000 | (6) | 500,000 | D | ||||
Option (Right to Buy) | $ 22 | 12/28/2011 | P(7) | 1,250,000 | (2) | 12/15/2013 | Common Stock | 1,250,000 | (7) | 1,250,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
PICKENS BOONE C/O CLEAN ENERGY FUELS CORP. 3020 OLD RANCH PARKWAY #400 SEAL BEACH, CA 90740 |
X | X |
/s/ Boone Pickens | 12/28/2011 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | The reporting person disclaims any beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or any other purpose. |
(2) | Immediately. |
(3) | The reporting person transfered to a third party all of his right, title and interest in the Warrant with respect to 5,950,000 shares of common stock. In consideration of such transfer the third party granted the reporting person a one-year option to purchase 2,975,000 shares of common stock at a price of $22.00 per share. |
(4) | The reporting person transfered to a third party all of his right, title and interest in the Warrant with respect to 2,550,000 shares of common stock. In consideration of such transfer the third party granted the reporting person a one-year option to purchase 1,275,000 shares of common stock at a price of $22.00 per share. |
(5) | The reporting person transfered to a third party all of his right, title and interest in the Warrant with respect to 1,500,000 shares of common stock. In consideration of such transfer the third party granted the reporting person a one-year option to purchase 750,000 shares of common stock at a price of $22.00 per share. |
(6) | The reporting person transfered to a third party all of his right, title and interest in the Warrant with respect to 1,000,000 shares of common stock. In consideration of such transfer the third party granted the reporting person a one-year option to purchase 500,000 shares of common stock at a price of $22.00 per share. |
(7) | The reporting person transfered to a third party all of his right, title and interest in the Warrant with respect to 2,500,000 shares of common stock. In consideration of such transfer the third party granted the reporting person a two-year option to purchase 1,250,000 shares of common stock at a price of $22.00 per share. |