FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
ENERNOC INC [ ENOC ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 06/20/2008 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 06/20/2008 | J(1) | 2,313 | A | $0 | 145,764(3) | I | Timothy C. Draper | ||
Common Stock | 06/20/2008 | J(1) | 2,313 | A | $0 | 92,533(4) | I | John H.N. Fisher | ||
Common Stock | 06/20/2008 | J(1) | 2,313 | A | $0 | 81,836(5) | I | Stephen T. Jurvetson | ||
Common Stock | 06/20/2008 | J(1) | 2,237 | A | $0 | 2,237(6) | I | DFJ Network Affiliate VII, LLC | ||
Common Stock | 07/14/2008 | J(1) | 2,313 | A | $0 | 148,550(7) | I | Timothy C. Draper | ||
Common Stock | 07/14/2008 | J(1) | 2,313 | A | $0 | 95,306(8) | I | John H.N. Fisher | ||
Common Stock | 07/14/2008 | J(1) | 2,313 | A | $0 | 84,609(9) | I | Stephen T. Jurvetson | ||
Common Stock | 07/14/2008 | J(1) | 2,237 | A | $0 | 4,474(10) | I | DFJ Network Affiliate VII, LLC | ||
Common Stock | 07/16/2008 | J(1) | 2,313 | A | $0 | 151,336(11) | I | Timothy C. Draper | ||
Common Stock | 07/16/2008 | J(1) | 2,313 | A | $0 | 98,079(12) | I | John H.N. Fisher | ||
Common Stock | 07/16/2008 | J(1) | 2,313 | A | $0 | 87,382(13) | I | Stephen T. Jurvetson | ||
Common Stock | 07/16/2008 | J(1) | 2,237 | A | $0 | 6,711(14) | I | DFJ Network Affiliate VII, LLC | ||
Common Stock | 07/22/2008 | J(2) | 1,419 | A | $0 | 151,336(15) | I | Timothy C. Draper | ||
Common Stock | 07/22/2008 | J(2) | 1,380 | A | $0 | 98,079(16) | I | John H.N. Fisher | ||
Common Stock | 07/22/2008 | J(2) | 1,380 | A | $0 | 87,382(17) | I | Stephen T. Jurvetson | ||
Common Stock | 07/22/2008 | J(2) | 6,678 | D | $0 | 33(18) | I | DFJ Network Affiliate VII, LLC | ||
Common Stock | 07/22/2008 | J(2) | 336 | A | $0 | 336(19) | I | Draper Network Matrix, LLC | ||
Common Stock | 07/24/2008 | S | 336 | D | $21.0059 | 0 | I | Draper Network Matrix, LLC | ||
Common Stock | 07/24/2008 | S | 33 | D | $20.2 | 0 | I | DFJ Network Affiliate VII, LLC |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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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 Securities Underlying Derivative Security (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: 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 |
1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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Explanation of Responses: |
1. On each of June 20, 2008, July 14, 2008 and July 16, 2008, Messrs. Timothy C. Draper ("Draper"), John H.N. Fisher ("Fisher"), Steven T. Jurvetson ("Jurvetson") and DFJ Network Affiliate VII, LLC ("Network Affiliate VII"), received a distribution of shares of EnerNOC, Inc. Common Stock from Draper Fisher Jurvetson New England Fund I (SBIC), LLC, a Delaware limited liability company ("New England"). |
2. On July 22, 2008 DFJ Network Affiliate VII made an in-kind distribution, without any additional consideration, of Common Stock of EnerNOC, Inc. to Messrs. Draper, Fisher, Jurvetson and Draper Network Matrix, LLC, a California limited liability company ("DFJ Network Matrix"). |
3. Represents 18,680 shares held directly by Mr. Draper, 5,179 shares held indirectly through Draper Fisher Jurvetson Fund VI ("Fund VI"), 43,922 shares held indirectly through the General Partner of Fund VI, 77,510 shares indirectly through Draper Associates, L.P. of which Mr. Draper is the President of the General Partner, and 473 shares held indirectly through Network Affiliate VII. |
4. Represents 24,753 shares owned directly by Mr. Fisher, 19,663 shares held indirectly through Draper Fisher Jurvetson Partners VI, LLC (the "Side Fund") to Fund VI, 42,630 shares held indirectly through the General Partner of Fund VI, 5,027 shares held indirectly through Fund VI and 460 shares held indirectly through Network Affiliate VII. |
5. Represents 22,079 shares owned directly by Mr. Jurvetson, 11,640 shares owned indirectly through the Side Fund to Fund VI, 42,630 shares held indirectly through the General Partner of Fund VI, 5,027 shares held indirectly through Fund VI and 460 shares held indirectly through Network Affiliate VII. |
6. Represents shares owned or sold directly by Network Affiliate VII. |
7. Represents 20,993 owned directly by Mr. Draper, 5,179 shares held indirectly through Fund VI, 43,922 shares held indirectly through the General Partner of Fund VI, and 77,510 shares indirectly through Draper Associates, L.P. of which Mr. Draper is the President of the General Partner, and 946 shares held indirectly through Network Affiliate VII. |
8. Represents 27,066 shares owned directly by Mr. Fisher, 19,663 shares held indirectly through the Side Fund to Fund VI, 42,630 shares held indirectly through the General Partner of Fund VI, 5,027 shares held indirectly through Fund VI and 920 shares held indirectly through Network Affiliate VII. |
9. Represents 24,392 shares owned directly by Mr. Jurvetson, 11,640 shares owned indirectly through the Side Fund to Fund VI, 42,630 shares held indirectly through the General Partner of Fund VI, 5,027 shares held indirectly through Fund VI and 920 shares held indirectly through Network Affiliate VII. |
10. Represents shares owned or sold directly by Network Affiliate VII. |
11. Represents 23,306 shares owned directly by Mr. Draper, 5,179 shares held indirectly through Fund VI, 43,922 shares held indirectly through the General Partner of Fund VI, and 77,510 shares indirectly held through Draper Associates, L.P. of which Mr. Draper is the President of the General Partner, 1,419 shares held indirectly through Network Affiliate VII. |
12. Represents 29,379 shares owned directly by Mr. Fisher, 19,663 shares held indirectly through the Side Fund to Fund VI, 42,630 shares held indirectly through the General Partner of Fund VI, 5,027 shares held indirectly through Fund VI and 1,380 shares held indirectly through Network Affiliate VII. |
13. Represents 26,705 shares owned directly by Mr. Jurvetson, 11,640 shares owned indirectly through the Side Fund to Fund VI, 42,630 shares held indirectly through the General Partner of Fund VI, 5,027 shares held indirectly through Fund VI and 1,380 shares held indirectly through Network Affiliate VII. |
14. Represents shares owned or sold directly by Network Affiliate VII. |
15. Represents 24,725 shares owned directly by Mr. Draper, 5,179 shares held indirectly through Fund VI, 43,922 shares held indirectly through the General Partner of Fund VI, and 77,510 shares indirectly held through Draper Associates, L.P. of which Mr. Draper is the President of the General Partner. |
16. Represents 30,759 shares owned directly by Mr. Fisher, 19,663 shares held indirectly through the Side Fund to Fund VI, 42,630 shares held indirectly through the General Partner of Fund VI, 5,027 shares held indirectly through Fund VI. |
17. Represents 28,085 shares owned directly by Mr. Jurvetson, 11,640 shares owned indirectly through the Side Fund to Fund VI, 42,630 shares held indirectly through the General Partner of Fund VI, and 5,027 shares held indirectly through Fund VI. |
18. Represents shares owned or sold directly by Network Affiliate VII. |
19. Represent shares owned or sold directly by Draper Network Matrix LLC. |
Remarks: |
This Form 4 is filed on behalf of (i) Timothy C. Draper, a United States citizen ("Draper"); (ii) John H. N. Fisher, a United States citizen ("Fisher") (iii) Stephen T. Jurvetson, a United States citizen ("Jurvetson"), (iv) DFJ Network Affiliate VII, LLC, a California limited liability company ("Network Affiliate VII") and (v) Draper Network Matrix, LLC, a California limited liability company ("Draper Network Matrix"). Relationships: (1) Draper Fisher Jurvetson Fund VI, L.P. is a California limited partnership ("Fund VI"). (2) Draper Fisher Jurvetson Management Company VI, LLC (the "General Partner") is the general partner of Fund VI. The managing members of the general partner of Fund VI are Messrs. Draper, Fisher and Jurvetson. (3) Draper Fisher Jurvetson Partners VI, LLC (the "Side Fund") is a side-by-side fund of Fund VI. The managing members of the Side Fund are Messrs. Draper, Fisher and Jurvetson. Decisions with respect to Side Fund securities are made automatically in conjunction with decisions by Fund VI. (4) DFJ Network Affiliate VII, LLC ("Network Affiliate VII") is a member of New England. The Managing Members of Network Affiliate VII are Messrs. Draper, Fisher and Jurvetson. (5) DFJ Network Matrix, LLC ("DFJ Network Matrix") is a member of Network Affiliate VII. Timothy C. Draper is the Managing Member of DFJ Network Matrix. (6) Draper Fisher Jurvetson New England Fund I (SBIC), LLC is a Delaware limited liability company. Mr. Fisher is a Class D Manager of New England and Network Affialite VII is a Class D Member of New England. Messrs. Draper, Fisher and Jurvetson disclaim beneficial ownership of the shares held directly by Fund VI, the General Partner of Fund VI and the Side Fund to Fund VI, except to the extent of their pecuniary interest therein. |
/s/ Timothy C. Draper | 08/27/2008 | |
/s/ John H.N. Fisher | 08/27/2008 | |
/s/ Stephen T. Jurvetson | 08/27/2008 | |
/s/ Timothy C. Draper, Managing Member for DFJ Network Affiliate VII, LLC | 08/27/2008 | |
/s/ Timothy C. Draper, Managing Member for Draper Network Matrix, LLC | 08/27/2008 | |
** 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 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). | ||
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. |