|
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 | ||||||||
Employee Stock Option (right to buy) | $ 1.89 | 06/06/2013 | A | 6,250 | (6) | 03/14/2023 | Common Stock | 6,250 | $ 0 | 6,250 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Kaul Samir C/O KHOSLA VENTURES 2128 SAND HILL ROAD MENLO PARK, CA 94025 |
X |
/s/ Samir Kaul | 06/10/2013 | |
**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 grant of restricted shares was approved by a committee of Gevo, Inc.'s Board of Directors on March 15, 2013, subject to stockholder approval of a stock option plan amendment for the plan under which the award was granted. Gevo Inc.'s stockholders approved the plan amendment on June 6, 2013. The shares subject to this award vest in equal monthly installments over three years beginning on March 15, 2013. |
(2) | The securities are owned by the Kaul Revocable Trust, for which Mr. Kaul is a trustee. |
(3) | The securities are owned by a trust for the benefit of Mr. Kaul's son. |
(4) | The securities are owned by a trust for the benefit of one of Mr. Kaul's daughters. |
(5) | The securities are owned by a trust for the benefit of one of Mr. Kaul's daughters. |
(6) | The option grant was approved by a committee of Gevo, Inc.'s Board of Directors on March 15, 2013, subject to stockholder approval of a stock option plan amendment for the plan under which the option was granted. Gevo Inc.'s stockholders approved the plan amendment on June 6, 2013. The shares subject to this award vest and become exercisable in equal monthly installments over three years beginning on March 15, 2013. |