Statement of Changes in Beneficial Ownership (4)
October 01 2020 - 4:14PM
Edgar (US Regulatory)
FORM 4
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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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3235-0287
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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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OLEARY TOM DAVIS |
2. Issuer Name and Ticker or Trading Symbol
SUMMER ENERGY HOLDINGS INC
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SUME
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director __X__ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
5847 SAN FELIPE STREET, SUITE 3700 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
9/29/2020 |
(Street)
HOUSTON, TX 77057
(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 | 9/29/2020 | | J | | 25556.0000 | A | $0.0000 (1) | 4170572.0000 (2) | D | |
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 |
Stock Option | $1.7500 | 9/29/2020 | | A | | 8750.0000 | | 9/29/2020 | 9/29/2030 | Common Stock | 8750.0000 | $0.0000 | 8750.0000 | D | |
Explanation of Responses: |
(1) | The reporting person received these shares of common stock in connection with a personal guaranty given by the reporting person for the benefit of the Issuer in connection with a loan, whereby the Issuer borrowed funds from a lending institution. |
(2) | Does not include 233,636 shares held of record by Northeast Opco, LLC, a Texas LLC. Mr. O Leary is a control person and 20 percent owner of such entity and shares voting and dispositive power over such shares |
Remarks: (By Alexander N. Pearson, pursuant to a Power of Attorney dated December 12, 2012 previously filed with the Securities and Exchange Commission as Exhibit 24.1 to Schedule 13G on December 12, 2012 on behalf of Tom O'Leary, which Power of Attorney is incorporated by reference) |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
OLEARY TOM DAVIS 5847 SAN FELIPE STREET, SUITE 3700 HOUSTON, TX 77057 | X | X |
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Signatures
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/s/ Tom O'Leary | | 10/1/2020 |
**Signature of Reporting Person | Date |
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