Statement of Changes in Beneficial Ownership (4)
March 09 2017 - 3:50PM
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).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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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
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JONAS HOWARD S
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2. Issuer Name
and
Ticker or Trading Symbol
Genie Energy Ltd.
[
GNE
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
__
X
__ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
Chairman of the Board & CEO
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(Last)
(First)
(Middle)
C/O GENIE ENERGY LTD., 520 BROAD STREET
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3. Date of Earliest Transaction
(MM/DD/YYYY)
3/7/2017
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(Street)
NEWARK, NJ 07102
(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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Class B Common Stock, par value $.01 per share
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3/7/2017
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P
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4560
(1)
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A
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$5.3721
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2369509
(2)
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D
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Class B Common Stock, par value $.01 per share
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205075
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I
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By Trust FBO Michael Jonas
(3)
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Class B Common Stock, par value $.01 per share
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287870
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I
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By Trust FBO Samuel Jonas
(3)
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Class B Common Stock, par value $.01 per share
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404598
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I
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By Trust FBO Joseph Jonas
(3)
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Class B Common Stock, par value $.01 per share
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404772
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I
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By Trust FBO Tamar Jonas
(3)
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Class B Common Stock, par value $.01 per share
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404462
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I
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By Trust FBO Rachel Jonas
(3)
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Class B Common Stock, par value $.01 per share
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405218
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I
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By Trust FBO Leora Jonas
(3)
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Class B Common Stock, par value $.01 per share
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215557
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I
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By Trust FBO David Jonas
(3)
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Class B Common Stock, par value $.01 per share
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406084
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I
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By Trust FBO Jonathan Jonas
(3)
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Class B Common Stock, par value $.01 per share
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405933
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I
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By Trust FBO Miriam Jonas
(3)
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Class B Common Stock, par value $.01 per share
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2204949
(4)
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I
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By The Howard S. Jonas 2014 Annuity Trust
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Class B Common Stock, par value $.01 per share
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275047
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I
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By The Jonas Foundation
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Class B Common Stock, par value $.01 per share
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1556
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I
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Custodial for Son (Jonathan)
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Class B Common Stock, par value $.01 per share
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1556
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I
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Custodial for Daughter (Rachel)
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Class B Common Stock, par value $.01 per share
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1556
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I
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Custodial for Son (Joseph)
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Class B Common Stock, par value $.01 per share
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1556
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I
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Custodial for Daughter (Tamar)
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Class B Common Stock, par value $.01 per share
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1556
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I
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Custodial for Daughter (Miriam)
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Class A Common Stock, par value $.01 per share
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1574326
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D
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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)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Explanation of Responses:
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(
1)
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Shares purchased pursuant to a Rule 10b5-1 plan dated December 14, 2016.
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(
2)
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Includes 300,000 restricted shares that vest on December 31, 2017.
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(
3)
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These shares are held in trust for the benefit of the Reporting Person's children. The Reporting Person's spouse is trustee of the trust. Mr. Jonas does not exercise or share investment control of these shares.
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(
4)
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Includes 300,000 restricted shares that vest on December 31, 2017 and 600,000 restricted shares that vest on December 31, 2018.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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JONAS HOWARD S
C/O GENIE ENERGY LTD.
520 BROAD STREET
NEWARK, NJ 07102
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X
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X
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Chairman of the Board & CEO
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Signatures
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Joyce J. Mason, by Power of Attorney
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3/9/2017
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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