Unassociated Document

-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, QOceug8wzu/XSnVfOwetB1Sd6ogYZx41x7KfNRnmu+BCPnTTp3g/6spW7TWMiTfK Wt+IouH5r7y6iJ2dX4EOeA== 0001140361-10-042177.txt : 20101025 0001140361-10-042177.hdr.sgml : 20101025 20101025204814 ACCESSION NUMBER: 0001140361-10-042177 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20101015 FILED AS OF DATE: 20101025 DATE AS OF CHANGE: 20101025 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HEMPLEMAN PHILIP J CENTRAL INDEX KEY: 0001025710 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33540 FILM NUMBER: 101140755 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ZBB ENERGY CORP CENTRAL INDEX KEY: 0001140310 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRIC SERVICES [4911] IRS NUMBER: 391987014 STATE OF INCORPORATION: WI FISCAL YEAR END: 0630 BUSINESS ADDRESS: STREET 1: N93 W14475 WHITTAKER WAY CITY: MENOMONEE FALLS STATE: X1 ZIP: 53051 BUSINESS PHONE: 262-253-9800 MAIL ADDRESS: STREET 1: N93 W14475 WHITTAKER WAY CITY: MENOMONEE FALLS STATE: X1 ZIP: 53051 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ARDSLEY ADVISORY PARTNERS CENTRAL INDEX KEY: 0000900529 STATE OF INCORPORATION: CT FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33540 FILM NUMBER: 101140759 BUSINESS ADDRESS: STREET 1: 262 HARBOR DRIVE, 4TH FLOOR CITY: STAMFORD STATE: CT ZIP: 06902 BUSINESS PHONE: 203-564-4230 MAIL ADDRESS: STREET 1: 262 HARBOR DRIVE, 4TH FLOOR CITY: STAMFORD STATE: CT ZIP: 06902 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Ardsley Partners Renewable Energy Fund, L.P. CENTRAL INDEX KEY: 0001485583 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33540 FILM NUMBER: 101140758 BUSINESS ADDRESS: STREET 1: 262 HARBOR DRIVE CITY: STAMFORD STATE: CT ZIP: 06902 BUSINESS PHONE: 203-355-0700 MAIL ADDRESS: STREET 1: 262 HARBOR DRIVE CITY: STAMFORD STATE: CT ZIP: 06902 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Ardsley Renewable Energy Offshore Fund, Ltd. CENTRAL INDEX KEY: 0001485584 STATE OF INCORPORATION: D8 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33540 FILM NUMBER: 101140757 BUSINESS ADDRESS: STREET 1: ISIS FUND SERVICES LTD. STREET 2: PENBOSS BUILDING, 50 PARLIAMENT STREET CITY: HAMILTON STATE: D0 ZIP: HM 12 BUSINESS PHONE: 203-355-0700 MAIL ADDRESS: STREET 1: ISIS FUND SERVICES LTD. STREET 2: PENBOSS BUILDING, 50 PARLIAMENT STREET CITY: HAMILTON STATE: D0 ZIP: HM 12 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ARDSLEY PARTNERS I LP CENTRAL INDEX KEY: 0001504218 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33540 FILM NUMBER: 101140756 BUSINESS ADDRESS: STREET 1: 262 HARBOR DRIVE, 4TH FLOOR CITY: STAMFORD STATE: CT ZIP: 06902 BUSINESS PHONE: 203 564 4230 MAIL ADDRESS: STREET 1: 262 HARBOR DRIVE, 4TH FLOOR CITY: STAMFORD STATE: CT ZIP: 06902 3 1 doc1.xml FORM 3 X0203 3 2010-10-15 0 0001140310 ZBB ENERGY CORP ZBB 0000900529 ARDSLEY ADVISORY PARTNERS 262 HARBOR DRIVE, 4TH FLOOR STAMFORD CT 06902 0 0 1 0 0001485583 Ardsley Partners Renewable Energy Fund, L.P. 262 HARBOR DRIVE STAMFORD CT 06902 0 0 1 0 0001485584 Ardsley Renewable Energy Offshore Fund, Ltd. ISIS FUND SERVICES LTD. PENBOSS BUILDING, 50 PARLIAMENT STREET HAMILTON D0 HM 12 BERMUDA 0 0 1 0 0001504218 ARDSLEY PARTNERS I LP 262 HARBOR DRIVE, 4TH FLOOR STAMFORD CT 06902 0 0 1 0 0001025710 HEMPLEMAN PHILIP J 646 STEAMBOAT ROAD GREENWICH CT 06830 0 0 1 0 Common Stock, $0.01 par value ("Common Stock") 2857831 I See Shares reported herein are held by Ardsley Partners Renewable Energy Fund, L.P. ("Renewable Energy"), a Delaware limited partnership, Ardsley Renewable Energy Offshore Fund, Ltd. ("Renewable Offshore"), a British Virgin Islands corporation and a certain managed account (the "Managed Account"). Ardsley Advisory Partners, a New York general partnership ("Ardsley") serves as investment manager to Renewable Offshore and the Managed Account, and serves as investment adviser to Renewable Energy, and has investment discretion over the securities held by each. Phillip J. Hempleman is the Managing Partner of Ardsley and Ardsley Partners I, a New York general partnership ("Ardsley Partners") and serves as the general partner of Renewable Energy. Ardsley Partners serves as the general partner of Ardsley. Each of the Reporting Persons disclaims any beneficial ownership of the securities reported herein, except to the extent of its or their own actual pecuniary interest therein. ARDSLEY ADVISORY PARTNERS, By: Ardsley Partners I, its general partner, By: /s/ Steve Napoli, General Partner 2010-10-25 EX-99.1 2 misc1.htm MISCELLANEOUS EXHIBITS Unassociated Document

Joint Filer Information

Name: Ardsley Partners Renewable Energy Fund, L.P.

Address: 262 Harbor Drive, Stamford, Connecticut 06902

Designated Filer: Ardsley Advisory Partners

Issuer & Ticker Symbol: ZBB Energy Corporation (ZBB)

Date of Event Requiring Statement: 10/15/2010

Signature:

ARDSLEY PARTNERS RENEWABLE ENERGY FUND, L.P.

	BY:	Ardsley Partners I, its general partner

	BY:	/s/ Steve Napoli
	Name:	Steve Napoli
	Title:	General Partner

Name: Ardsley Renewable Energy Offshore Fund, Ltd.

Address: Romasco Place, Wickhams Cay 1, Roadtown Tortola, British Virgin Islands

Designated Filer: Ardsley Advisory Partners

Issuer & Ticker Symbol: ZBB Energy Corporation (ZBB)

Date of Event Requiring Statement: 10/15/2010

Signature:

ARDSLEY RENEWABLE ENERGY OFFSHORE FUND, LTD.

	BY:	/s/ Steve Napoli
	Name:	Steve Napoli
	Title:	Director

Page 3 of 4

FORM 3 (continued)

Name: Ardsley Partners I

Address: 262 Harbor Drive, Stamford, Connecticut 06902

Designated Filer: Ardsley Advisory Partners

Issuer & Ticker Symbol: ZBB Energy Corporation (ZBB)

Date of Event Requiring Statement: 10/15/2010

Signature:

ARDSLEY PARTNERS I

	BY:	/s/ Steve Napoli
	Name:	Steve Napoli
	Title:	General Partner

Name: PHILIP J. HEMPLEMAN, individually

Address: 262 Harbor Drive, Stamford, Connecticut 06902

Designated Filer: Ardsley Advisoryartners

Issuer & Ticker Symbol: ZBB Energy Corporation (ZBB)

Date of Event Requiring Statement: 10/15/2010

	BY:	/s/ Steve Napoli
	Name:	Steve Napoli As attorney in fact for Philip J. Hempleman

Page 4 of 4

*	Evidence of Power of Attorney was filed with the Schedule 13G/A filed on February 15, 2006 (Acc-no: 0000902664-06-000895) and is incorporated by reference into this filing.

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