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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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(Print or Type Responses)
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| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
| 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. | SEC 1474 (9-02) | ||
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1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) |
4. Transaction 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 (Month/Day/Year) |
7. Title and Amount of Underlying Securities (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) |
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| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
| Kennedy William Daniel 15029 N. 74TH STREET SCOTTSDALE, AZ 85260 |
X | X | Chief Executive Officer | |
| William Daniel Kennedy | 10/12/2012 | |
| ** Signature of Reporting Person |
Date
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| * | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
| ** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
| (1) | Received in exchange for units of membership interests of Echo Automotive, LLC, an Arizona limited liability company ("Echo LLC"), in connection with the acquisition by the Issuer of the outstanding units of membership interests of Echo LLC through a voluntary exchange with DBPJ Stock Holding, LLC, an Arizona limited liability company and the sole member of Echo LLC ("DBPJ"), pursuant to an Exchange Agreement, by and among the Issuer, Echo LLC, and DBPJ. |
| (2) | The shares are held by DBPJ, of which the Reporting Person is the Chief Financial Officer, Secretary, and a member of the Board of Directors thereof, and The Dan Kennedy Family Trust U/A dated 12/20/95 (the "Dan Kennedy Trust") is a member thereof. The Reporting Person is a beneficiary of the Dan Kennedy Trust. The Reporting Person may be deemed to be the indirect beneficial owner of such shares under Rule 15-a-1(a)(2) promulgated under the Securities Exchange Act of 1934 (the "Exchange Act"). However, pursuant to Rule 15a-1(a)(4) promulgated under the Exchange Act, the Reporting Person disclaims that he is a beneficial owner of such shares, except to the extent of his pecuniary interest herein. |