Statement of Changes in Beneficial Ownership (4)
24 March 2021 - 10:19AM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Sereda Brian J |
2. Issuer Name and Ticker or Trading Symbol
Energous Corp
[
WATT
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Senior Vice President & CFO |
(Last)
(First)
(Middle)
C/O ENERGOUS CORPORATION, 3590 NORTH FIRST STREET, SUITE 210 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
3/21/2021 |
(Street)
SAN JOSE, CA 95134
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 3/21/2021 | | A | | 116013 (1)(2) | A | $0.00 (2) | 332977 | D | |
Common Stock | | | | | | | | 12015 | I | By The Sereda Family Trust (3) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | The restricted stock units ("RSUs") vest as to 16.667% of the the total award on March 31, 2021, and an additional 8.33% of the award will vest on May 15, 2021 and upon the completion of each three month period thereafter until the RSUs are fully vested on August 15, 2023, subject the Reporting Person's continued service to the Issuer through each vesting date. |
(2) | Each RSU represents a contingent right to receive 1 share of the Issuer's common stock upon settlement. |
(3) | The shares are held of record by Brian James Sereda and Denise Carole Sereda, Trustees of The Sereda Family Trust dated June 21, 2002. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Sereda Brian J C/O ENERGOUS CORPORATION 3590 NORTH FIRST STREET, SUITE 210 SAN JOSE, CA 95134 |
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| Senior Vice President & CFO |
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Signatures
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/s/ Bill Mannina, Attorney-in-Fact | | 3/23/2021 |
**Signature of Reporting Person | Date |
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