0001144204-17-043532.txt : 20170815
0001144204-17-043532.hdr.sgml : 20170815
20170815170520
ACCESSION NUMBER: 0001144204-17-043532
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170810
FILED AS OF DATE: 20170815
DATE AS OF CHANGE: 20170815
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: OBUS NELSON
CENTRAL INDEX KEY: 0001017043
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-30396
FILM NUMBER: 171034499
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD
CENTRAL INDEX KEY: 0001030806
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-30396
FILM NUMBER: 171034503
BUSINESS ADDRESS:
STREET 1: 450 SEVENTH AVE
STREET 2: STE 509
CITY: NEW YORK
STATE: NY
ZIP: 10123
BUSINESS PHONE: 2127600814
MAIL ADDRESS:
STREET 1: 450 SEVENTH AVE
STREET 2: STE 509
CITY: NEW YORK
STATE: NY
ZIP: 10123
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: WYNNEFIELD CAPITAL MANAGEMENT LLC
CENTRAL INDEX KEY: 0001056835
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-30396
FILM NUMBER: 171034502
BUSINESS ADDRESS:
STREET 1: 450 SEVENTH AVE
STREET 2: STE 509
CITY: NEW YORK
STATE: NY
ZIP: 10123
BUSINESS PHONE: 2127600814
MAIL ADDRESS:
STREET 1: 450 SEVENTH AVE
STREET 2: STE 509
CITY: NEW YORK
STATE: NY
ZIP: 10123
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Wynnefield Capital, Inc. Profit Sharing Plan
CENTRAL INDEX KEY: 0001289453
STATE OF INCORPORATION: NY
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-30396
FILM NUMBER: 171034500
BUSINESS ADDRESS:
STREET 1: 450 SEVENTH AVENUE
STREET 2: SUITE 509
CITY: NEW YORK
STATE: NY
ZIP: 10123
BUSINESS PHONE: 212-760-0278
MAIL ADDRESS:
STREET 1: 450 SEVENTH AVENUE
STREET 2: SUITE 509
CITY: NEW YORK
STATE: NY
ZIP: 10123
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: LANDES JOSHUA
CENTRAL INDEX KEY: 0001251568
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-30396
FILM NUMBER: 171034498
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: WYNNEFIELD PARTNERS SMALL CAP VALUE LP I
CENTRAL INDEX KEY: 0001251565
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-30396
FILM NUMBER: 171034504
BUSINESS ADDRESS:
STREET 1: 450 SEVENTH AVENUE
STREET 2: SUITE 509
CITY: NEW YORK
STATE: NY
ZIP: 10123
BUSINESS PHONE: 212-760-0814
MAIL ADDRESS:
STREET 1: 450 SEVENTH AVENUE
STREET 2: SUITE 509
CITY: NEW YORK
STATE: NY
ZIP: 10123
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: WYNNEFIELD CAPITAL INC
CENTRAL INDEX KEY: 0001251567
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-30396
FILM NUMBER: 171034501
BUSINESS ADDRESS:
STREET 1: 450 SEVENTH AVE
STREET 2: STE 509
CITY: NEW YORK
STATE: NY
ZIP: 10123
BUSINESS PHONE: 2129600814
MAIL ADDRESS:
STREET 1: 450 SEVENTH AVE
STREET 2: STE 509
CITY: NEW YORK
STATE: NY
ZIP: 10123
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: WYNNEFIELD PARTNERS SMALL CAP VALUE LP
CENTRAL INDEX KEY: 0000899083
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-30396
FILM NUMBER: 171034505
BUSINESS ADDRESS:
STREET 1: 450 SEVENTH AVENUE
STREET 2: SUITE 509
CITY: NEW YORK
STATE: NY
ZIP: 10123
BUSINESS PHONE: 212-760-0814
MAIL ADDRESS:
STREET 1: 450 SEVENTH AVENUE
STREET 2: SUITE 509
CITY: NEW YORK
STATE: NY
ZIP: 10123
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: GlyEco, Inc.
CENTRAL INDEX KEY: 0000931799
STANDARD INDUSTRIAL CLASSIFICATION: MISCELLANEOUS CHEMICAL PRODUCTS [2890]
IRS NUMBER: 330622722
STATE OF INCORPORATION: NV
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 4802 EAST RAY ROAD, SUITE 23-196
CITY: PHOENIX
STATE: AZ
ZIP: 85044
BUSINESS PHONE: 866-960-1539
MAIL ADDRESS:
STREET 1: 4802 EAST RAY ROAD, SUITE 23-196
CITY: PHOENIX
STATE: AZ
ZIP: 85044
FORMER COMPANY:
FORMER CONFORMED NAME: Environmental Credits Ltd
DATE OF NAME CHANGE: 20091001
FORMER COMPANY:
FORMER CONFORMED NAME: BOYSTOYS COM INC
DATE OF NAME CHANGE: 19990209
FORMER COMPANY:
FORMER CONFORMED NAME: ALTERNATIVE ENTERTAINMENT INC
DATE OF NAME CHANGE: 19950106
4
1
v473396_form4.xml
OWNERSHIP DOCUMENT
X0306
4
2017-08-10
0
0000931799
GlyEco, Inc.
GLYE
0000899083
WYNNEFIELD PARTNERS SMALL CAP VALUE LP
450 SEVENTH AVENUE
SUITE 509
NEW YORK
NY
10123
0
0
1
0
0001251565
WYNNEFIELD PARTNERS SMALL CAP VALUE LP I
450 SEVENTH AVENUE
SUITE 509
NEW YORK
NY
10123
0
0
1
0
0001030806
WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD
450 SEVENTH AVENUE
SUITE 509
NEW YORK
NY
10123
0
0
1
0
0001056835
WYNNEFIELD CAPITAL MANAGEMENT LLC
450 SEVENTH AVENUE
SUITE 509
NEW YORK
NY
10123
0
0
1
0
0001251567
WYNNEFIELD CAPITAL INC
450 SEVENTH AVENUE
SUITE 509
NEW YORK
NY
10123
0
0
1
0
0001289453
Wynnefield Capital, Inc. Profit Sharing Plan
450 SEVENTH AVENUE
SUITE 509
NEW YORK
NY
10123
0
0
1
0
0001017043
OBUS NELSON
450 SEVENTH AVENUE
SUITE 509
NEW YORK
NY
10123
0
0
1
0
0001251568
LANDES JOSHUA
450 SEVENTH AVENUE
SUITE 509
NEW YORK
NY
10123
0
0
1
0
Common Stock, par value $0.0001 per share
2017-08-10
4
X
0
4632768
0.08
A
14453862
D
Common Stock, par value $0.0001 per share
2017-08-10
4
X
0
12242232
0.08
A
35343886
I
See footnotes
Shares reported on this Form 4 were purchased pursuant to the exercise of subscription rights by the reporting persons in the rights offering of GlyEco, Inc. (the "Issuer") which closed on August 4, 2017
The Reporting Person directly beneficially owns 14,453,862 shares of common stock, $0.0001 par value per share ("Common Stock") of the Issuer. Wynnefield Capital Management, LLC, as the sole general partner of the Reporting Person, has an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns.
The Reporting Person has an indirect beneficial ownership interest in 24,986,109 shares of Common Stock, which are directly beneficially owned by Wynnefield Partners Small Cap Value, L.P.I, as members of a group under Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Wynnefield Partners Small Cap Value, L.P., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital Management, LLC, as the sole general partner of Wynnefield Partners Small Cap Value, L.P., has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value L.P. directly beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value, L.P. directly beneficially owns.
The Reporting Person has an indirect beneficial ownership interest in 9,271,237 shares of Common Stock, which are directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd., as members of a group under Section 13(d) of the Exchange Act. Wynnefield Small Cap Value Offshore Fund, Ltd., which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Wynnefield Capital, Inc. as the sole investment manager of Wynnefield Small Cap Value Offshore Fund, Ltd., has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. Nelson Obus and Joshua Landes, as principal executive officers of Wynnefield Capital, Inc., have an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns.
The Reporting Person has an indirect beneficial ownership interest in 1,086,540 shares of Common Stock, which are directly beneficially owned by Wynnefield Capital, Inc. Profit Sharing Plan, as members of a group under Section 13 (d) of the Exchange Act. Wynnefield Capital, Inc. Profit Sharing Plan, which maintains offices at the same address as the Reporting Person, is filing this statement jointly with the Reporting Person. Nelson Obus, as the portfolio manager of Wynnefield Capital, Inc. Profit Sharing Plan, has an indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Capital, Inc. Profit Sharing Plan directly beneficially owns.
Each of the Reporting Owners identified in this statement disclaims beneficial ownership of the securities described in this statement, except to the extent of their individual respective pecuniary interest in such securities. The filing of this statement shall not be deemed an admission that any of the Reporting Owners identified in this statement are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any securities specified in this statement other than those directly beneficially owned by them.
WYNNEFIELD PARTNERS SMALL CAP VALUE, L.P., By: Wynnefield Capital Management, LLC, General Partner, By: /s/ Nelson Obus, Managing Member
2017-08-15
WYNNEFIELD PARTNERS SMALL CAP VALUE, L.P. I, By: Wynnefield Capital Management, LLC, General Partner, By: /s/ Nelson Obus, Managing Member
2017-08-15
WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND, LTD., By: Wynnefield Capital, Inc., By: /s/ Nelson Obus, President
2017-08-15
WYNNEFIELD CAPITAL, INC. PROFIT SHARING & MONEY PURCHASE PLAN, By: Nelson Obus, Co-Trustee
2017-08-15
WYNNEFIELD CAPITAL MANAGEMENT, LLC, By: /s/ Nelson Obus, Managing Member
2017-08-15
WYNNEFIELD CAPITAL, INC., By: /s/ Nelson Obus, President
2017-08-15
WYNNEFIELD CAPITAL INC. PROFIT SHARING PLAN, By: /s/ Nelson Obus, General Partner
2017-08-15
/s/ Nelson Obus, individually
2017-08-15
/s/ Joshua Landes, individually
2017-08-15