FORM 3 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF 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 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year)
05/17/2007 |
3. Issuer Name and Ticker or Trading Symbol
ENERNOC INC [ ENOC ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year)
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities) |
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Series A Convertible Preferred Stock | ( 1 ) | ( 2 ) | Common Stock | 812,248 | ( 3 ) | I | By Draper Fisher Jurvetson Fund VI, L.P. ( 4 ) |
Series A Convertible Preferred Stock | ( 1 ) | ( 2 ) | Common Stock | 22,707 | ( 3 ) | I | By Draper Fisher Jurvetson Partners VI, LLC ( 5 ) |
Series A Convertible Preferred Stock | ( 1 ) | ( 2 ) | Common Stock | 38,431 | ( 3 ) | I | By Draper Associates, L.P. ( 6 ) |
Series A-1 Convertible Preferred Stock | ( 1 ) | ( 2 ) | Common Stock | 1,090,122 | ( 3 ) | I | By Draper Fisher Jurvetson Fund VI, L.P. ( 4 ) |
Series A-1 Convertible Preferred Stock | ( 1 ) | ( 2 ) | Common Stock | 30,476 | ( 3 ) | I | By Draper Fisher Jurvetson Partners VI, LLC ( 5 ) |
Series A-1 Convertible Preferred Stock | ( 1 ) | ( 2 ) | Common Stock | 51,575 | ( 3 ) | I | By Draper Associates, L.P. ( 6 ) |
Series B Convertible Preferred Stock | ( 1 ) | ( 2 ) | Common Stock | 518,961 | ( 3 ) | I | By Draper Fisher Jurvetson Fund VI, L.P. ( 4 ) |
Series B Convertible Preferred Stock | ( 1 ) | ( 2 ) | Common Stock | 14,511 | ( 3 ) | I | By Draper Fisher Jurvetson Partners VI, LLC ( 5 ) |
Series B Convertible Preferred Stock | ( 1 ) | ( 2 ) | Common Stock | 24,550 | ( 3 ) | I | By Draper Associates, L.P. ( 6 ) |
Series B-1 Convertible Preferred Stock | ( 1 ) | ( 2 ) | Common Stock | 101,956 | ( 3 ) | I | By Draper Fisher Jurvetson Fund VI, L.P. ( 4 ) |
Series B-1 Convertible Preferred Stock | ( 1 ) | ( 2 ) | Common Stock | 2,851 | ( 3 ) | I | By Draper Fisher Jurvetson Partners VI, LLC ( 5 ) |
Series B-1 Convertible Preferred Stock | ( 1 ) | ( 2 ) | Common Stock | 4,824 | ( 3 ) | I | By Draper Associates, L.P. ( 6 ) |
Series C Convertible Preferred Stock | ( 1 ) | ( 2 ) | Common Stock | 23,814 | ( 3 ) | I | By Draper Fisher Jurvetson Fund VI, L.P. ( 4 ) |
Series C Convertible Preferred Stock | ( 1 ) | ( 2 ) | Common Stock | 665 | ( 3 ) | I | By Draper Fisher Jurvetson Partners VI, LLC ( 5 ) |
Series C Convertible Preferred Stock | ( 1 ) | ( 2 ) | Common Stock | 1,127 | ( 3 ) | I | By Draper Associates, L.P. ( 6 ) |
1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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Explanation of Responses: |
1. These shares will automatically convert into common stock upon the closing of the Issuer's initial public offering of common stock. |
2. Not applicable. |
3. The shares of preferred stock shall convert into common stock upon the closing of the Issuer's initial public offering using a calculation defined in the Issuer's Certification of Incorporation based on the initial purchase price and the conversion price in effect at the time of conversion, which will also incorporate a 2.831-for-1 stock split. |
4. Shares held by Draper Fisher Jurvetson Fund VI, L.P. Draper Fisher Jurvetson Management Co. VI, LLC is the general general partner of Draper Fisher Jurvetson Fund VI, L.P. and disclaims beneficial ownership except to the extent of its pecuniary interest therein. The Managing Directors of Draper Fisher Jurvetson Management Co. VI, LLC are Timothy Draper, John H.N. Fisher and Stephen T. Jurvetson. Messrs. Draper, Fisher and Jurvetson disclaim beneficial ownership except to the extent of any pecuniary interest therein. |
5. Shares held by Draper Fisher Jurvetson Partners VI, LLC. The Managing Members of Draper Fisher Jurvetson Partners VI, LLC are Timothy Draper, John H.N. Fisher and Stephen T. Jurvetson. Messrs. Draper, Fisher and Jurvetson disclaim beneficial ownership except to the extent of any pecuniary interest therein. |
6. Shares held by Draper Associates, L.P. Timothy Draper is the President of Draper Associates, Inc., which is the general partner of Draper Associates, L.P. Mr. Draper has sole voting and investment power over the shares owned by Draper Associates, L.P. Mr. Draper disclaims beneficial ownership except to the extent of his pecuniary interest therein. |
/s/ Timothy C. Draper | 05/17/2007 | |
/s/ John H. N. Fisher | 05/17/2007 | |
/s/ Stephen T. Jurvetson | 05/17/2007 | |
/s/ Timothy C. Draper, General Partner of Draper Associates L.P. | 05/17/2007 | |
/s/ John Fisher, Managing Director of Draper Fisher Jurvetson Fund VI, L.P. | 05/17/2007 | |
/s/ John Fisher, Managin Member of Draper Fisher Jurvetson Management Co. VI, LLC | 05/17/2007 | |
/s/ John Fisher, Managing Member of Draper Fisher Jurvetson Partners VI, LLC | 05/17/2007 | |
/s/ Timothy C. Draper, President of Draper Associates, Inc. | 05/17/2007 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (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). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
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 Number. |