0001214659-16-013884.txt : 20160929 0001214659-16-013884.hdr.sgml : 20160929 20160929163021 ACCESSION NUMBER: 0001214659-16-013884 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160927 FILED AS OF DATE: 20160929 DATE AS OF CHANGE: 20160929 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: AMERICAN DG ENERGY INC CENTRAL INDEX KEY: 0001378706 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRIC & OTHER SERVICES COMBINED [4931] IRS NUMBER: 043569304 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 45 FIRST AVENUE CITY: WALTHAM STATE: MA ZIP: 02451 BUSINESS PHONE: 781-622-1120 MAIL ADDRESS: STREET 1: 45 FIRST AVENUE CITY: WALTHAM STATE: MA ZIP: 02451 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: RBC cees Trustee LTD CENTRAL INDEX KEY: 0001351870 STATE OF INCORPORATION: X0 FISCAL YEAR END: 1031 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34493 FILM NUMBER: 161910286 BUSINESS ADDRESS: STREET 1: 19/21 BROAD STREET CITY: ST HELIER, JERSEY STATE: X0 ZIP: JE1 3PB BUSINESS PHONE: 00 44 1534 501614 MAIL ADDRESS: STREET 1: 19/21 BROAD STREET CITY: ST HELIER, JERSEY STATE: X0 ZIP: JE1 3PB FORMER NAME: FORMER CONFORMED NAME: Abacus Corporate Trustee LTD DATE OF NAME CHANGE: 20060201 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: RBC Holdings (Channel Islands) Ltd CENTRAL INDEX KEY: 0001472125 STATE OF INCORPORATION: XX FISCAL YEAR END: 1209 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34493 FILM NUMBER: 161910287 BUSINESS ADDRESS: STREET 1: CANADA COURT, UPLAND ROAD STREET 2: GUERNSEY, CHANNEL ISLANDS CITY: ST. PETER PORT STATE: XX ZIP: GY1 3BQ BUSINESS PHONE: 44 1481 744103 MAIL ADDRESS: STREET 1: CANADA COURT, UPLAND ROAD STREET 2: GUERNSEY, CHANNEL ISLANDS CITY: ST. PETER PORT STATE: XX ZIP: GY1 3BQ 4 1 m929160f4.xml OWNERSHIP DOCUMENT X0306 4 2016-09-27 1 0001378706 AMERICAN DG ENERGY INC ADGE 0001472125 RBC Holdings (Channel Islands) Ltd 19-21 BROAD STREET ST. HELIER Y9 JE1 3PB JERSEY 0 0 1 0 0001351870 RBC cees Trustee LTD 19-21 BROAD STREET ST. HELIER Y9 JE1 3PB JERSEY 0 0 1 0 Common Stock 2016-09-27 4 J 0 920407 0.00 D 0 I By subsidiary 6% Senior Unsecured Convertible Debentures Due 2018 2.11 2016-09-27 4 J 0 10100000 0.00 D 2018-05-25 Common Stock 4786729 0 I By subsidiary The shares have been distributed to the underlying participant of an International Pension Plan administered by RBC cees Trustee Limited. The shares reported in this table are held by RBC ees Trustee Limited, which is an indirectly wholly owned subsidiary of RBC Holdings (Channel Islands) Limited. Represents the unconverted principal amount of $10,100,000. Subject to Section 5 of the 6% Senior Unsecured Convertible Debenture (Due 2018) Certificate, the security is convertible at any time in whole or in part. The securities identified were distributed to the underlying participant of an International Pension Plan administered by RBC cees Trustee Limited. /s/ C.C Blampied - RBC Holdings (Channel Islands) Limited 2016-09-27 /s/ Alison Creed - RBC cees Trustee Limited 2016-09-27 /s/ G. Huelin - RBC Holdings (Channel Islands) Limited 2016-09-27 /s/ Mark Le Saint - RBC cees Trustee Limited 2016-09-27