0001104659-16-140739.txt : 20160819 0001104659-16-140739.hdr.sgml : 20160819 20160819170918 ACCESSION NUMBER: 0001104659-16-140739 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160809 FILED AS OF DATE: 20160819 DATE AS OF CHANGE: 20160819 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Energous Corp CENTRAL INDEX KEY: 0001575793 STANDARD INDUSTRIAL CLASSIFICATION: RADIO & TV BROADCASTING & COMMUNICATIONS EQUIPMENT [3663] IRS NUMBER: 461318953 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 3590 NORTH FIRST STREET STREET 2: SUITE 210 CITY: SAN JOSE STATE: CA ZIP: 95134 BUSINESS PHONE: (408) 963-0200 MAIL ADDRESS: STREET 1: 3590 NORTH FIRST STREET STREET 2: SUITE 210 CITY: SAN JOSE STATE: CA ZIP: 95134 FORMER COMPANY: FORMER CONFORMED NAME: DvineWave Inc. DATE OF NAME CHANGE: 20130501 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: NINA FAIRBAIRN IRREVOCABLE TRUST SEPTEMBER 30, 2011 CENTRAL INDEX KEY: 0001682542 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36379 FILM NUMBER: 161843733 BUSINESS ADDRESS: STREET 1: 10 ORINDA VIEW ROAD CITY: ORINDA STATE: CA ZIP: 94563 BUSINESS PHONE: 415-217-8325 MAIL ADDRESS: STREET 1: 10 ORINDA VIEW ROAD CITY: ORINDA STATE: CA ZIP: 94563 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GRANT FAIRBAIRN IRREVOCABLE TRUST SEPTEMBER 30, 2011 CENTRAL INDEX KEY: 0001682541 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36379 FILM NUMBER: 161843734 BUSINESS ADDRESS: STREET 1: 10 ORINDA VIEW ROAD CITY: ORINDA STATE: CA ZIP: 94563 BUSINESS PHONE: 415-217-8325 MAIL ADDRESS: STREET 1: 10 ORINDA VIEW ROAD CITY: ORINDA STATE: CA ZIP: 94563 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: VALLEY HIGH CAPITAL LLC CENTRAL INDEX KEY: 0001682544 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36379 FILM NUMBER: 161843735 BUSINESS ADDRESS: STREET 1: 10 ORINDA VIEW ROAD CITY: ORINDA STATE: CA ZIP: 94563 BUSINESS PHONE: 415-217-8325 MAIL ADDRESS: STREET 1: 10 ORINDA VIEW ROAD CITY: ORINDA STATE: CA ZIP: 94563 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: VALLEY HIGH LIMITED PARTNERSHIP CENTRAL INDEX KEY: 0001682526 STATE OF INCORPORATION: NV FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36379 FILM NUMBER: 161843736 BUSINESS ADDRESS: STREET 1: 10 ORINDA VIEW ROAD CITY: ORINDA STATE: CA ZIP: 94563 BUSINESS PHONE: 415-217-8325 MAIL ADDRESS: STREET 1: 10 ORINDA VIEW ROAD CITY: ORINDA STATE: CA ZIP: 94563 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: FAIRBAIRN EMILY CENTRAL INDEX KEY: 0001682638 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36379 FILM NUMBER: 161843737 MAIL ADDRESS: STREET 1: 10 ORINDA VIEW ROAD CITY: ORINDA STATE: CA ZIP: 94563 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Fairbairn Malcolm CENTRAL INDEX KEY: 0001317314 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36379 FILM NUMBER: 161843738 MAIL ADDRESS: STREET 1: C/O ASCEND CAPITAL, LLC STREET 2: 4 ORINDA WAY, SUITE 200-C CITY: ORINDA STATE: CA ZIP: 94563 3 1 a3.xml 3 X0206 3 2016-08-09 0 0001575793 Energous Corp WATT 0001317314 Fairbairn Malcolm C/O ASCEND CAPITAL, LLC 4 ORINDA WAY, SUITE 200-C ORINDA CA 94563 0 0 1 1 Member of 10% Owner Group 0001682638 FAIRBAIRN EMILY C/O ASCEND CAPITAL, LLC 4 ORINDA WAY, SUITE 200-C ORINDA CA 94563 0 0 0 1 Member of 10% Owner Group 0001682526 VALLEY HIGH LIMITED PARTNERSHIP C/O ASCEND CAPITAL, LLC 4 ORINDA WAY, SUITE 200-C ORINDA CA 94563 0 0 0 1 Member of 10% Owner Group 0001682544 VALLEY HIGH CAPITAL LLC C/O ASCEND CAPITAL, LLC 4 ORINDA WAY, SUITE 200-C ORINDA CA 94563 0 0 0 1 Member of 10% Owner Group 0001682541 GRANT FAIRBAIRN IRREVOCABLE TRUST SEPTEMBER 30, 2011 C/O ASCEND CAPITAL, LLC 4 ORINDA WAY, SUITE 200-C ORINDA CA 94563 0 0 0 1 Member of 10% Owner Group 0001682542 NINA FAIRBAIRN IRREVOCABLE TRUST SEPTEMBER 30, 2011 C/O ASCEND CAPITAL, LLC 4 ORINDA WAY, SUITE 200-C ORINDA CA 94563 0 0 0 1 Member of 10% Owner Group Common Stock 81667 I By Spouse Common Stock 315462 I See footnote Common Stock 133333 I By Trust Common Stock 133333 I By Trust Common Stock 1618123 I See footnote Warrant 23.00 2017-02-13 2021-08-12 Common Stock 809061 D Warrant 23.00 2017-02-13 2021-08-12 Common Stock 809062 I By Spouse Warrant 3.60 2013-05-19 2019-03-31 Common Stock 13889 I By Spouse Malcolm Fairbairn is a 10% owner of the shares of common stock (the "Shares") of Energous Corporation, a Delaware corporation (the "Issuer"). Malcolm Fairbairn, Emily Fairbairn, Valley High Limited Partnership, Valley High Capital LLC, Nina Fairbairn Irrevocable Trust September 30, 2011, Grant Fairbairn Irrevocable Trust September 30, 2011, Ascend Legend Master Fund, Ltd., Ascend Legend Fund, Ltd., Ascend Partners Fund I, Ltd., Ascend Capital Limited Partnership and Ascend Capital, LLC are members of a 10% group of the Issuer. Please see the Form 3 with respect to the Issuer filed on August 19, 2016 by Ascend Legend Master Fund, Ltd. for more information regarding the Shares held by Ascend Legend Master Fund, Ltd., Ascend Legend Fund, Ltd., Ascend Partners Fund I, Ltd., Ascend Capital Limited Partnership and Ascend Capital, LLC. Valley High Limited Partnership is the direct beneficial owner of these Shares. Valley High Capital LLC is the general partner of Valley High Limited Partnership. Malcolm Fairbairn and Emily Fairbairn are the managing members of Valley High Capital LLC. Valley High Capital LLC, Malcolm Fairbairn and Emily Fairbairn are indirect beneficial owners of these Shares. Nina Fairbairn Irrevocable Trust September 30, 2011 is the direct beneficial owner of these Shares. Malcolm Fairbairn and Emily Fairbairn are co-trustees of the Nina Fairbairn Irrevocable Trust September 30, 2011. Malcolm Fairbairn and Emily Fairbairn are indirect beneficial owners of these Shares. Grant Fairbairn Irrevocable Trust September 30, 2011 is the direct beneficial owner of these Shares. Malcolm Fairbairn and Emily Fairbairn are co-trustees of the Grant Fairbairn Irrevocable Trust September 30, 2011. Malcolm Fairbairn and Emily Fairbairn are indirect beneficial owners of these Shares. These Shares are directly held by Ascend Legend Master Fund, Ltd., which has filed a separate Form 3 with respect to these Shares on August 19, 2016. Malcolm Fairbairn is an indirect beneficial owner of these Shares. MALCOLM P. FAIRBAIRN 2016-08-19 EMILY FAIRBAIRN 2016-08-19 VALLEY HIGH LIMITED PARTNERSHIP By: Valley High Capital LLC By: Name: Malcolm Fairbairn Title: Managing Member 2016-08-19 VALLEY HIGH CAPITAL LLC By: Name: Malcolm Fairbairn Title: Managing Member 2016-08-19 GRANT FAIRBAIRN IRREVOCABLE TRUST SEPTEMBER 30, 2011 By: Name: Malcolm Fairbairn Title: Trustee 2016-08-19 NINA FAIRBAIRN IRREVOCABLE TRUST SEPTEMBER 30, 2011 By: Name: Malcolm Fairbairn Title: Trustee 2016-08-19