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