SEC FORM
4
SEC Form 4
FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
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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OMB APPROVAL |
OMB Number: |
3235-0287 |
Estimated average burden |
hours per response: |
0.5 |
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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). |
1. Name and Address of Reporting Person*
C/O THIRD POINT LLC |
390 PARK AVENUE |
(Street)
|
2. Issuer Name and Ticker or Trading Symbol
Enphase Energy, Inc.
[ ENPH ]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X |
Director |
X |
10% Owner |
|
Officer (give title below) |
X |
Other (specify below) |
See Remarks |
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3. Date of Earliest Transaction
(Month/Day/Year) 04/04/2012
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4. If Amendment, Date of Original Filed
(Month/Day/Year)
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Form filed by One Reporting Person |
X |
Form filed by More than One Reporting Person |
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned |
1. Title of Security (Instr.
3)
|
2. Transaction Date
(Month/Day/Year) |
2A. Deemed Execution Date, if any
(Month/Day/Year) |
3. Transaction 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 |
V |
Amount |
(A) or (D) |
Price |
Common Stock, $0.00001 par value |
04/04/2012 |
|
C |
|
157,758 |
A |
|
157,758 |
D |
|
Common Stock, $0.00001 par value |
04/04/2012 |
|
C |
|
126,721 |
A |
|
284,479 |
D |
|
Common Stock, $0.00001 par value |
04/04/2012 |
|
C |
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117,161 |
A |
|
401,640 |
D |
|
Common Stock, $0.00001 par value |
04/04/2012 |
|
C |
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71,734 |
A |
|
473,374 |
D |
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Common Stock, $0.00001 par value |
04/04/2012 |
|
C |
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31,663 |
A |
|
505,037 |
D |
|
Common Stock, $0.00001 par value |
04/04/2012 |
|
C |
|
1,356,727 |
A |
|
2,276,627 |
I
|
See Footnotes
|
Common Stock, $0.00001 par value |
04/04/2012 |
|
C |
|
1,065,071 |
A |
|
3,341,698 |
I
|
See Footnotes
|
Common Stock, $0.00001 par value |
04/04/2012 |
|
C |
|
1,818,659 |
A |
|
5,160,357 |
I
|
See Footnotes
|
Common Stock, $0.00001 par value |
04/04/2012 |
|
C |
|
757,357 |
A |
|
5,917,714 |
I
|
See Footnotes
|
Common Stock, $0.00001 par value |
04/04/2012 |
|
C |
|
577,227 |
A |
|
6,494,941 |
I
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See Footnotes
|
Common Stock, $0.00001 par value |
04/04/2012 |
|
P |
|
432,473 |
A |
$6
|
6,927,414 |
I
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See Footnotes
|
Common Stock, $0.00001 par value |
04/04/2012 |
|
P |
|
27,371 |
A |
$6
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6,954,785 |
I
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See Footnotes
|
Common Stock, $0.00001 par value |
04/04/2012 |
|
P |
|
140,953 |
A |
$6
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7,095,738 |
I
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See Footnotes
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Common Stock, $0.00001 par value |
04/04/2012 |
|
P |
|
163,091 |
A |
$6
|
7,258,829 |
I
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See Footnotes
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Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
1. Title of Derivative Security (Instr.
3)
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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)
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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
(Month/Day/Year) |
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: Direct (D) or Indirect (I) (Instr.
4)
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11. Nature of Indirect Beneficial Ownership (Instr.
4)
|
Code |
V |
(A) |
(D) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Series B Convertible Preferred Stock |
|
04/04/2012 |
|
C |
|
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83,118 |
|
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Common Stock |
157,758 |
$0
|
0 |
D |
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Series C Convertible Preferred Stock |
|
04/04/2012 |
|
C |
|
|
50,406 |
|
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Common Stock |
126,721 |
$0
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0 |
D |
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Series D Convertible Preferred Stock |
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04/04/2012 |
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C |
|
|
117,161 |
|
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Common Stock |
117,161 |
$0
|
0 |
D |
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Series E Convertible Preferred Stock |
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04/04/2012 |
|
C |
|
|
71,734 |
|
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Common Stock |
71,734 |
$0
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0 |
D |
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9% Junior Convertible Secured Notes due 2014 |
|
04/04/2012 |
|
C |
|
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$189,982.33
|
|
06/14/2014 |
Common Stock |
31,663 |
$0
|
0 |
D |
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Series B Convertible Preferred Stock |
|
04/04/2012 |
|
C |
|
|
714,819 |
|
|
Common Stock |
1,356,727 |
$0
|
0 |
I
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See Footnotes
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Series C Convertible Preferred Stock |
|
04/04/2012 |
|
C |
|
|
423,656 |
|
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Common Stock |
1,065,071 |
$0
|
0 |
I
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See Footnotes
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Series D Convertible Preferred Stock |
|
04/04/2012 |
|
C |
|
|
1,818,659 |
|
|
Common Stock |
1,818,659 |
$0
|
0 |
I
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See Footnotes
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Series E Convertible Preferred Stock |
|
04/04/2012 |
|
C |
|
|
757,357 |
|
|
Common Stock |
757,357 |
$0
|
0 |
I
|
See Footnotes
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9% Junior Convertible Secured Notes due 2014 |
|
04/04/2012 |
|
C |
|
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$3,463,384.66
|
|
06/14/2014 |
Common Stock |
577,227 |
$0
|
0 |
I
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See Footnotes
|
1. Name and Address of Reporting Person*
C/O THIRD POINT LLC |
390 PARK AVENUE |
(Street)
|
1. Name and Address of Reporting Person*
(Street)
|
1. Name and Address of Reporting Person*
C/O THIRD POINT LLC |
390 PARK AVENUE |
(Street)
|
1. Name and Address of Reporting Person*
C/O THIRD POINT LLC |
390 PARK AVENUE |
(Street)
|
1. Name and Address of Reporting Person*
C/O THIRD POINT LLC |
390 PARK AVENUE |
(Street)
|
1. Name and Address of Reporting Person*
C/O THIRD POINT LLC |
390 PARK AVENUE |
(Street)
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Explanation of Responses: |
Remarks: |
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/s/ William Song, as Attorney-in-Fact for Daniel S. Loeb |
04/05/2012 |
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/s/ William Song, as Attorney-in-Fact for Daniel S. Loeb, Chief Executive Officer of Third Point LLC |
04/05/2012 |
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/s/ William Song, as Attorney-in-Fact for Daniel. S. Loeb, authorized person of the general partner of Third Point Offshore Master Fund L.P. |
04/05/2012 |
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/s/ William Song, as Attorney-in-Fact for Daniel. S. Loeb, authorized person of the general partner of Third Point Partners L.P. |
04/05/2012 |
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/s/ William Song, as Attorney-in-Fact for Daniel. S. Loeb, authorized person of the general partner of Third Point Partners Qualified L.P. |
04/05/2012 |
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/s/ William Song, as Attorney-in-Fact for Daniel. S. Loeb, authorized person of the general partner of Third Point Ultra Master Fund L.P. |
04/05/2012 |
|
** Signature of Reporting Person |
Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
* 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). |
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure. |
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 Number. |
rrd306262_345541.html
Exhibit 99.1
Attachment to Form 4
JOINT FILER INFORMATION
Name and Address: Third Point LLC
390 Park Avenue
New York, NY 10022
Date of Earliest Reported Transaction: 4/4/2012
Issuer and Ticker Symbol: Enphase Energy, Inc. [ENPH]
Relationship of the Issuer: 10% Owner; Director;
Other(See Remarks)
Designated Filer: Daniel S Loeb
TABLE I INFORMATION
Title of Security: Common Stock, $0.00001 par value
Transaction Date: 4/4/2012
Transaction Code: C
Amount of Securities: 1,356,727
Securities Acquired (A) or A
Disposed of (D):
Price of Security: See Footnote (1) on Form 4
Amount of Securities Beneficially
Owned Following Reported
Transactions: 2,276,627
Ownership Form: (I)(5)
Nature of Indirect Beneficial Ownership: See Footnote (5) on Form 4
Title of Security: Common Stock, $0.00001 par value
Transaction Date: 4/4/2012
Transaction Code: C
Amount of Securities: 1,065,071
Securities Acquired (A) or A
Disposed of (D):
Price of Security: See Footnote (2) on Form 4
Amount of Securities Beneficially
Owned Following Reported
Transactions: 3,341,698
Ownership Form: (I)(5)
Nature of Indirect Beneficial Ownership: See Footnote (5) on Form 4
Title of Security: Common Stock, $0.00001 par value
Transaction Date: 4/4/2012
Transaction Code: C
Amount of Securities: 1,818,659
Securities Acquired (A) or A
Disposed of (D):
Price of Security: See Footnote (3) on Form 4
Amount of Securities Beneficially
Owned Following Reported
Transactions: 5,160,357
Ownership Form: (I)(5)
Nature of Indirect Beneficial Ownership: See Footnote (5) on Form 4
Title of Security: Common Stock, $0.00001 par value
Transaction Date: 4/4/2012
Transaction Code: C
Amount of Securities: 757,357
Securities Acquired (A) or A
Disposed of (D):
Price of Security: See Footnote (3) on Form 4
Amount of Securities Beneficially
Owned Following Reported
Transactions: 5,917,714
Ownership Form: (I)(5)
Nature of Indirect Beneficial Ownership: See Footnote (5) on Form 4
Title of Security: Common Stock, $0.00001 par value
Transaction Date: 4/4/2012
Transaction Code: C
Amount of Securities: 577,227
Securities Acquired (A) or A
Disposed of (D):
Price of Security: See Footnote (4) on Form 4
Amount of Securities Beneficially
Owned Following Reported
Transactions: 6,494,941
Ownership Form: (I)(5)
Nature of Indirect Beneficial Ownership: See Footnote (5) on Form 4
Title of Security: Common Stock, $0.00001 par value
Transaction Date: 4/4/2012
Transaction Code: P
Amount of Securities: 432,473
Securities Acquired (A) or A
Disposed of (D):
Price of Security: $6.00
Amount of Securities Beneficially
Owned Following Reported
Transactions: 6,927,414
Ownership Form: (I)(5)
Nature of Indirect Beneficial Ownership: See Footnote (5) on Form 4
Title of Security: Common Stock, $0.00001 par value
Transaction Date: 4/4/2012
Transaction Code: P
Amount of Securities: 27,371
Securities Acquired (A) or A
Disposed of (D):
Price of Security: $6.00
Amount of Securities Beneficially
Owned Following Reported
Transactions: 6,954,785
Ownership Form: (I)(5)
Nature of Indirect Beneficial Ownership: See Footnote (5) on Form 4
Title of Security: Common Stock, $0.00001 par value
Transaction Date: 4/4/2012
Transaction Code: P
Amount of Securities: 140,953
Securities Acquired (A) or A
Disposed of (D):
Price of Security: $6.00
Amount of Securities Beneficially
Owned Following Reported
Transactions: 7,095,738
Ownership Form: (I)(5)
Nature of Indirect Beneficial Ownership: See Footnote (5) on Form 4
Title of Security: Common Stock, $0.00001 par value
Transaction Date: 4/4/2012
Transaction Code: P
Amount of Securities: 163,091
Securities Acquired (A) or A
Disposed of (D):
Price of Security: $6.00
Amount of Securities Beneficially
Owned Following Reported
Transactions: 7,258,829
Ownership Form: (I)(5)
Nature of Indirect Beneficial Ownership: See Footnote (5) on Form 4
TABLE II INFORMATION
Title of Derivative Security: Series B
Convertible Preferred Stock
Conversion or Exercise Price: See Footnote (1) to the Form 4
Transaction Date: 4/4/2012
Transaction Code: C
Securities Acquired (A) or D
Disposed of (D):
Amount of Derivative Securities: 714,819
Date Exercisable: See Footnote (1) to the Form 4
Expiration Date: See Footnote (1) to the Form 4
Title of Underlying Securities: Common Stock
Amount of Underlying Securities: 1,356,727
Price of Derivative Security: $0
Amount of Derivative Securities 0
Beneficially Owned Following Reported
Transactions:
Ownership Form: (I)(5)
Nature of Indirect Beneficial Ownership See Footnote (5) on Form 4
Title of Derivative Security: Series C
Convertible Preferred Stock
Conversion or Exercise Price: See Footnote (2) to the Form 4
Transaction Date: 4/4/2012
Transaction Code: C
Securities Acquired (A) or D
Disposed of (D):
Amount of Derivative Securities: 423,656
Date Exercisable: See Footnote (2) to the Form 4
Expiration Date: See Footnote (2) to the Form 4
Title of Underlying Securities: Common Stock
Amount of Underlying Securities: 1,065,071
Price of Derivative Security: $0
Amount of Derivative Securities 0
Beneficially Owned Following Reported
Transactions:
Ownership Form: (I)(5)
Nature of Indirect Beneficial Ownership See Footnote (5) on Form 4
Title of Derivative Security: Series D
Convertible Preferred Stock
Conversion or Exercise Price: See Footnote (3) to the Form 4
Transaction Date: 4/4/2012
Transaction Code: C
Securities Acquired (A) or D
Disposed of (D):
Amount of Derivative Securities: 1,818,659
Date Exercisable: See Footnote (3) to the Form 4
Expiration Date: See Footnote (3) to the Form 4
Title of Underlying Securities: Common Stock
Amount of Underlying Securities: 1,818,659
Price of Derivative Security: $0
Amount of Derivative Securities 0
Beneficially Owned Following Reported
Transactions:
Ownership Form: (I)(5)
Nature of Indirect Beneficial Ownership See Footnote (5) on Form 4
Title of Derivative Security: Series E
Convertible Preferred Stock
Conversion or Exercise Price: See Footnote (3) to the Form 4
Transaction Date: 4/4/2012
Transaction Code: C
Securities Acquired (A) or D
Disposed of (D):
Amount of Derivative Securities: 757,357
Date Exercisable: See Footnote (3) to the Form 4
Expiration Date: See Footnote (3) to the Form 4
Title of Underlying Securities: Common Stock
Amount of Underlying Securities: 757,357
Price of Derivative Security: $0
Amount of Derivative Securities 0
Beneficially Owned Following Reported
Transactions:
Ownership Form: (I)(5)
Nature of Indirect Beneficial Ownership See Footnote (5) on Form 4
Title of Derivative Security: 9% Junior Convertible Secured Notes
due 2014
Conversion or Exercise Price: See Footnote (4) to the Form 4
Transaction Date: 4/4/2012
Transaction Code: C
Securities Acquired (A) or D
Disposed of (D):
Amount of Derivative Securities: $3,463,384.66
Date Exercisable: See Footnote (4) to the Form 4
Expiration Date: 6/14/2014
Title of Underlying Securities: Common Stock
Amount of Underlying Securities: 577,227
Price of Derivative Security: $0
Amount of Derivative Securities 0
Beneficially Owned Following Reported
Transactions:
Ownership Form: (I)(5)
Nature of Indirect Beneficial Ownership See Footnote (5) on Form 4
rrd306262_345542.html
Exhibit 99.2
Attachment to Form 4
JOINT FILER INFORMATION
Name and Address: Third Point Offshore Master Fund L.P.
c/o Third Point LLC
390 Park Avenue
New York, NY 10022
Date of Earliest Reported Transaction: 4/4/2012
Issuer and Ticker Symbol: Enphase Energy, Inc. [ENPH]
Relationship of the Issuer: 10% Owner; Director;
Other (See Remarks)
Designated Filer: Daniel S Loeb
TABLE I INFORMATION
Title of Security: Common Stock, $0.00001 par value
Transaction Date: 4/4/2012
Transaction Code: C
Amount of Securities: 969,436
Securities Acquired (A) or A
Disposed of (D):
Price of Security: See Footnote (1) on Form 4
Amount of Securities Beneficially
Owned Following Reported
Transactions: 969,436
Ownership Form: D
Nature of Indirect Beneficial Ownership:
Title of Security: Common Stock, $0.00001 par value
Transaction Date: 4/4/2012
Transaction Code: C
Amount of Securities: 705,056
Securities Acquired (A) or A
Disposed of (D):
Price of Security: See Footnote (2) on Form 4
Amount of Securities Beneficially
Owned Following Reported
Transactions: 1,674,492
Ownership Form: D
Nature of Indirect Beneficial Ownership:
Title of Security: Common Stock, $0.00001 par value
Transaction Date: 4/4/2012
Transaction Code: C
Amount of Securities: 1,185,150
Securities Acquired (A) or A
Disposed of (D):
Price of Security: See Footnote (3) on Form 4
Amount of Securities Beneficially
Owned Following Reported
Transactions: 2,859,642
Ownership Form: D
Nature of Indirect Beneficial Ownership:
Title of Security: Common Stock, $0.00001 par value
Transaction Date: 4/4/2012
Transaction Code: C
Amount of Securities: 510,740
Securities Acquired (A) or A
Disposed of (D):
Price of Security: See Footnote (3) on Form 4
Amount of Securities Beneficially
Owned Following Reported
Transactions: 3,370,383
Ownership Form: D
Nature of Indirect Beneficial Ownership:
Title of Security: Common Stock, $0.00001 par value
Transaction Date: 4/4/2012
Transaction Code: C
Amount of Securities: 389,266
Securities Acquired (A) or A
Disposed of (D):
Price of Security: See Footnote (4) on Form 4
Amount of Securities Beneficially
Owned Following Reported
Transactions: 3,759,648
Ownership Form: D
Nature of Indirect Beneficial Ownership:
Title of Security: Common Stock, $0.00001 par value
Transaction Date: 4/4/2012
Transaction Code: P
Amount of Securities: 432,473
Securities Acquired (A) or A
Disposed of (D):
Price of Security: $6.00
Amount of Securities Beneficially
Owned Following Reported
Transactions: 4,192,121
Ownership Form: D
Nature of Indirect Beneficial Ownership:
TABLE II INFORMATION
Title of Derivative Security: Series B
Convertible Preferred Stock
Conversion or Exercise Price: See Footnote (1) to the Form 4
Transaction Date: 4/4/2012
Transaction Code: C
Securities Acquired (A) or D
Disposed of (D):
Amount of Derivative Securities: 510,767
Date Exercisable: See Footnote (1) to the Form 4
Expiration Date: See Footnote (1) to the Form 4
Title of Underlying Securities: Common Stock
Amount of Underlying Securities: 969,436
Price of Derivative Security: $0
Amount of Derivative Securities 0
Beneficially Owned Following Reported
Transactions:
Ownership Form: D
Nature of Indirect Beneficial Ownership
Title of Derivative Security: Series C
Convertible Preferred Stock
Conversion or Exercise Price: See Footnote (2) to the Form 4
Transaction Date: 4/4/2012
Transaction Code: C
Securities Acquired (A) or D
Disposed of (D):
Amount of Derivative Securities: 280,452
Date Exercisable: See Footnote (2) to the Form 4
Expiration Date: See Footnote (2) to the Form 4
Title of Underlying Securities: Common Stock
Amount of Underlying Securities: 705,056
Price of Derivative Security: $0
Amount of Derivative Securities 0
Beneficially Owned Following Reported
Transactions:
Ownership Form: D
Nature of Indirect Beneficial Ownership
Title of Derivative Security: Series D
Convertible Preferred Stock
Conversion or Exercise Price: See Footnote (3) to the Form 4
Transaction Date: 4/4/2012
Transaction Code: C
Securities Acquired (A) or D
Disposed of (D):
Amount of Derivative Securities: 1,185,150
Date Exercisable: See Footnote (3) to the Form 4
Expiration Date: See Footnote (3) to the Form 4
Title of Underlying Securities: Common Stock
Amount of Underlying Securities: 1,185,150
Price of Derivative Security: $0
Amount of Derivative Securities 0
Beneficially Owned Following Reported
Transactions:
Ownership Form: D
Nature of Indirect Beneficial Ownership
Title of Derivative Security: Series E
Convertible Preferred Stock
Conversion or Exercise Price: See Footnote (3) to the Form 4
Transaction Date: 4/4/2012
Transaction Code: C
Securities Acquired (A) or D
Disposed of (D):
Amount of Derivative Securities: 510,740
Date Exercisable: See Footnote (3) to the Form 4
Expiration Date: See Footnote (3) to the Form 4
Title of Underlying Securities: Common Stock
Amount of Underlying Securities: 510,740
Price of Derivative Security: $0
Amount of Derivative Securities 0
Beneficially Owned Following Reported
Transactions:
Ownership Form: D
Nature of Indirect Beneficial Ownership
Title of Derivative Security: 9% Junior Convertible Secured Notes
due 2014
Conversion or Exercise Price: See Footnote (4) to the Form 4
Transaction Date: 4/4/2012
Transaction Code: C
Securities Acquired (A) or D
Disposed of (D):
Amount of Derivative Securities: $2,335,604.72
Date Exercisable: See Footnote (4) to the Form 4
Expiration Date: 6/14/2014
Title of Underlying Securities: Common Stock
Amount of Underlying Securities: 389,266
Price of Derivative Security: $0
Amount of Derivative Securities 0
Beneficially Owned Following Reported
Transactions:
Ownership Form: D
Nature of Indirect Beneficial Ownership
rrd306262_345543.html
Exhibit 99.3
Attachment to Form 4
JOINT FILER INFORMATION
Name and Address: Third Point Partners L.P.
c/o Third Point LLC
390 Park Avenue
New York, NY 10022
Date of Earliest Reported Transaction: 4/4/2012
Issuer and Ticker Symbol: Enphase Energy, Inc. [ENPH]
Relationship of the Issuer: 10% Owner; Director;
Other (See Remarks)
Designated Filer: Daniel S Loeb
TABLE I INFORMATION
Title of Security: Common Stock, $0.00001 par value
Transaction Date: 4/4/2012
Transaction Code: C
Amount of Securities: 147,116
Securities Acquired (A) or A
Disposed of (D):
Price of Security: See Footnote (1) on Form 4
Amount of Securities Beneficially
Owned Following Reported
Transactions: 147,116
Ownership Form: D
Nature of Indirect Beneficial Ownership:
Title of Security: Common Stock, $0.00001 par value
Transaction Date: 4/4/2012
Transaction Code: C
Amount of Securities: 30,565
Securities Acquired (A) or A
Disposed of (D):
Price of Security: See Footnote (2) on Form 4
Amount of Securities Beneficially
Owned Following Reported
Transactions: 177,681
Ownership Form: D
Nature of Indirect Beneficial Ownership:
Title of Security: Common Stock, $0.00001 par value
Transaction Date: 4/4/2012
Transaction Code: C
Amount of Securities: 324,167
Securities Acquired (A) or A
Disposed of (D):
Price of Security: See Footnote (3) on Form 4
Amount of Securities Beneficially
Owned Following Reported
Transactions: 501,848
Ownership Form: D
Nature of Indirect Beneficial Ownership:
Title of Security: Common Stock, $0.00001 par value
Transaction Date: 4/4/2012
Transaction Code: C
Amount of Securities: 89,631
Securities Acquired (A) or A
Disposed of (D):
Price of Security: See Footnote (3) on Form 4
Amount of Securities Beneficially
Owned Following Reported
Transactions: 591,479
Ownership Form: D
Nature of Indirect Beneficial Ownership:
Title of Security: Common Stock, $0.00001 par value
Transaction Date: 4/4/2012
Transaction Code: C
Amount of Securities: 50,436
Securities Acquired (A) or A
Disposed of (D):
Price of Security: See Footnote (4) on Form 4
Amount of Securities Beneficially
Owned Following Reported
Transactions: 641,915
Ownership Form: D
Nature of Indirect Beneficial Ownership:
Title of Security: Common Stock, $0.00001 par value
Transaction Date: 4/4/2012
Transaction Code: P
Amount of Securities: 27,371
Securities Acquired (A) or A
Disposed of (D):
Price of Security: $6.00
Amount of Securities Beneficially
Owned Following Reported
Transactions: 669,286
Ownership Form: D
Nature of Indirect Beneficial Ownership:
TABLE II INFORMATION
Title of Derivative Security: Series B
Convertible Preferred Stock
Conversion or Exercise Price: See Footnote (1) to the Form 4
Transaction Date: 4/4/2012
Transaction Code: C
Securities Acquired (A) or D
Disposed of (D):
Amount of Derivative Securities: 77,511
Date Exercisable: See Footnote (1) to the Form 4
Expiration Date: See Footnote (1) to the Form 4
Title of Underlying Securities: Common Stock
Amount of Underlying Securities: 147,116
Price of Derivative Security: $0
Amount of Derivative Securities 0
Beneficially Owned Following Reported
Transactions:
Ownership Form: D
Nature of Indirect Beneficial Ownership
Title of Derivative Security: Series C
Convertible Preferred Stock
Conversion or Exercise Price: See Footnote (2) to the Form 4
Transaction Date: 4/4/2012
Transaction Code: C
Securities Acquired (A) or D
Disposed of (D):
Amount of Derivative Securities: 12,158
Date Exercisable: See Footnote (2) to the Form 4
Expiration Date: See Footnote (2) to the Form 4
Title of Underlying Securities: Common Stock
Amount of Underlying Securities: 30,565
Price of Derivative Security: $0
Amount of Derivative Securities 0
Beneficially Owned Following Reported
Transactions:
Ownership Form: D
Nature of Indirect Beneficial Ownership
Title of Derivative Security: Series D
Convertible Preferred Stock
Conversion or Exercise Price: See Footnote (3) to the Form 4
Transaction Date: 4/4/2012
Transaction Code: C
Securities Acquired (A) or D
Disposed of (D):
Amount of Derivative Securities: 324,167
Date Exercisable: See Footnote (3) to the Form 4
Expiration Date: See Footnote (3) to the Form 4
Title of Underlying Securities: Common Stock
Amount of Underlying Securities: 324,167
Price of Derivative Security: $0
Amount of Derivative Securities 0
Beneficially Owned Following Reported
Transactions:
Ownership Form: D
Nature of Indirect Beneficial Ownership
Title of Derivative Security: Series E
Convertible Preferred Stock
Conversion or Exercise Price: See Footnote (3) to the Form 4
Transaction Date: 4/4/2012
Transaction Code: C
Securities Acquired (A) or D
Disposed of (D):
Amount of Derivative Securities: 89,631
Date Exercisable: See Footnote (3) to the Form 4
Expiration Date: See Footnote (3) to the Form 4
Title of Underlying Securities: Common Stock
Amount of Underlying Securities: 89,631
Price of Derivative Security: $0
Amount of Derivative Securities 0
Beneficially Owned Following Reported
Transactions:
Ownership Form: D
Nature of Indirect Beneficial Ownership
Title of Derivative Security: 9% Junior Convertible Secured Notes
due 2014
Conversion or Exercise Price: See Footnote (4) to the Form 4
Transaction Date: 4/4/2012
Transaction Code: C
Securities Acquired (A) or D
Disposed of (D):
Amount of Derivative Securities: $302,622.79
Date Exercisable: See Footnote (4) to the Form 4
Expiration Date: 6/14/2014
Title of Underlying Securities: Common Stock
Amount of Underlying Securities: 27,371
Price of Derivative Security: $0
Amount of Derivative Securities 0
Beneficially Owned Following Reported
Transactions:
Ownership Form: D
Nature of Indirect Beneficial Ownership
rrd306262_345545.html
Exhibit 99.4
Attachment to Form 4
JOINT FILER INFORMATION
Name and Address: Third Point Partners Qualified L.P.
c/o Third Point LLC
390 Park Avenue
New York, NY 10022
Date of Earliest Reported Transaction: 4/4/2012
Issuer and Ticker Symbol: Enphase Energy, Inc. [ENPH]
Relationship of the Issuer: 10% Owner; Director;
Other (See Remarks)
Designated Filer: Daniel S Loeb
TABLE I INFORMATION
Title of Security: Common Stock, $0.00001 par value
Transaction Date: 4/4/2012
Transaction Code: C
Amount of Securities: 117,162
Securities Acquired (A) or A
Disposed of (D):
Price of Security: See Footnote (1) on Form 4
Amount of Securities Beneficially
Owned Following Reported
Transactions: 117,162
Ownership Form: D
Nature of Indirect Beneficial Ownership:
Title of Security: Common Stock, $0.00001 par value
Transaction Date: 4/4/2012
Transaction Code: C
Amount of Securities: 195,333
Securities Acquired (A) or A
Disposed of (D):
Price of Security: See Footnote (2) on Form 4
Amount of Securities Beneficially
Owned Following Reported
Transactions: 312,495
Ownership Form: D
Nature of Indirect Beneficial Ownership:
Title of Security: Common Stock, $0.00001 par value
Transaction Date: 4/4/2012
Transaction Code: C
Amount of Securities: 169,384
Securities Acquired (A) or A
Disposed of (D):
Price of Security: See Footnote (3) on Form 4
Amount of Securities Beneficially
Owned Following Reported
Transactions: 481,879
Ownership Form: D
Nature of Indirect Beneficial Ownership:
Title of Security: Common Stock, $0.00001 par value
Transaction Date: 4/4/2012
Transaction Code: C
Amount of Securities: 86,065
Securities Acquired (A) or A
Disposed of (D):
Price of Security: See Footnote (3) on Form 4
Amount of Securities Beneficially
Owned Following Reported
Transactions: 567,944
Ownership Form: D
Nature of Indirect Beneficial Ownership:
Title of Security: Common Stock, $0.00001 par value
Transaction Date: 4/4/2012
Transaction Code: C
Amount of Securities: 83,472
Securities Acquired (A) or A
Disposed of (D):
Price of Security: See Footnote (4) on Form 4
Amount of Securities Beneficially
Owned Following Reported
Transactions: 651,416
Ownership Form: D
Nature of Indirect Beneficial Ownership:
Title of Security: Common Stock, $0.00001 par value
Transaction Date: 4/4/2012
Transaction Code: P
Amount of Securities: 140,953
Securities Acquired (A) or A
Disposed of (D):
Price of Security: $6.00
Amount of Securities Beneficially
Owned Following Reported
Transactions: 792,369
Ownership Form: D
Nature of Indirect Beneficial Ownership:
TABLE II INFORMATION
Title of Derivative Security: Series B
Convertible Preferred Stock
Conversion or Exercise Price: See Footnote (1) to the Form 4
Transaction Date: 4/4/2012
Transaction Code: C
Securities Acquired (A) or D
Disposed of (D):
Amount of Derivative Securities: 61,729
Date Exercisable: See Footnote (1) to the Form 4
Expiration Date: See Footnote (1) to the Form 4
Title of Underlying Securities: Common Stock
Amount of Underlying Securities: 117,162
Price of Derivative Security: $0
Amount of Derivative Securities 0
Beneficially Owned Following Reported
Transactions:
Ownership Form: D
Nature of Indirect Beneficial Ownership
Title of Derivative Security: Series C
Convertible Preferred Stock
Conversion or Exercise Price: See Footnote (2) to the Form 4
Transaction Date: 4/4/2012
Transaction Code: C
Securities Acquired (A) or D
Disposed of (D):
Amount of Derivative Securities: 77,698
Date Exercisable: See Footnote (2) to the Form 4
Expiration Date: See Footnote (2) to the Form 4
Title of Underlying Securities: Common Stock
Amount of Underlying Securities: 195,333
Price of Derivative Security: $0
Amount of Derivative Securities 0
Beneficially Owned Following Reported
Transactions:
Ownership Form: D
Nature of Indirect Beneficial Ownership
Title of Derivative Security: Series D
Convertible Preferred Stock
Conversion or Exercise Price: See Footnote (3) to the Form 4
Transaction Date: 4/4/2012
Transaction Code: C
Securities Acquired (A) or D
Disposed of (D):
Amount of Derivative Securities: 169,384
Date Exercisable: See Footnote (3) to the Form 4
Expiration Date: See Footnote (3) to the Form 4
Title of Underlying Securities: Common Stock
Amount of Underlying Securities: 169,384
Price of Derivative Security: $0
Amount of Derivative Securities 0
Beneficially Owned Following Reported
Transactions:
Ownership Form: D
Nature of Indirect Beneficial Ownership
Title of Derivative Security: Series E
Convertible Preferred Stock
Conversion or Exercise Price: See Footnote (3) to the Form 4
Transaction Date: 4/4/2012
Transaction Code: C
Securities Acquired (A) or D
Disposed of (D):
Amount of Derivative Securities: 86,065
Date Exercisable: See Footnote (3) to the Form 4
Expiration Date: See Footnote (3) to the Form 4
Title of Underlying Securities: Common Stock
Amount of Underlying Securities: 86,065
Price of Derivative Security: $0
Amount of Derivative Securities 0
Beneficially Owned Following Reported
Transactions:
Ownership Form: D
Nature of Indirect Beneficial Ownership
Title of Derivative Security: 9% Junior Convertible Secured Notes
due 2014
Conversion or Exercise Price: See Footnote (4) to the Form 4
Transaction Date: 4/4/2012
Transaction Code: C
Securities Acquired (A) or D
Disposed of (D):
Amount of Derivative Securities: $500,834.92
Date Exercisable: See Footnote (4) to the Form 4
Expiration Date: 6/14/2014
Title of Underlying Securities: Common Stock
Amount of Underlying Securities: 83,472
Price of Derivative Security: $0
Amount of Derivative Securities 0
Beneficially Owned Following Reported
Transactions:
Ownership Form: D
Nature of Indirect Beneficial Ownership
rrd306262_345546.html
Exhibit 99.5
Attachment to Form 4
JOINT FILER INFORMATION
Name and Address: Third Point Ultra Master Fund L.P.
c/o Third Point LLC
390 Park Avenue
New York, NY 10022
Date of Earliest Reported Transaction: 4/4/2012
Issuer and Ticker Symbol: Enphase Energy, Inc. [ENPH]
Relationship of the Issuer: 10% Owner; Director;
Other (See Remarks)
Designated Filer: Daniel S Loeb
TABLE I INFORMATION
Title of Security: Common Stock, $0.00001 par value
Transaction Date: 4/4/2012
Transaction Code: C
Amount of Securities: 123,013
Securities Acquired (A) or A
Disposed of (D):
Price of Security: See Footnote (1) on Form 4
Amount of Securities Beneficially
Owned Following Reported
Transactions: 123,013
Ownership Form: D
Nature of Indirect Beneficial Ownership:
Title of Security: Common Stock, $0.00001 par value
Transaction Date: 4/4/2012
Transaction Code: C
Amount of Securities: 134,117
Securities Acquired (A) or A
Disposed of (D):
Price of Security: See Footnote (2) on Form 4
Amount of Securities Beneficially
Owned Following Reported
Transactions: 257,130
Ownership Form: D
Nature of Indirect Beneficial Ownership:
Title of Security: Common Stock, $0.00001 par value
Transaction Date: 4/4/2012
Transaction Code: C
Amount of Securities: 139,958
Securities Acquired (A) or A
Disposed of (D):
Price of Security: See Footnote (3) on Form 4
Amount of Securities Beneficially
Owned Following Reported
Transactions: 397,088
Ownership Form: D
Nature of Indirect Beneficial Ownership:
Title of Security: Common Stock, $0.00001 par value
Transaction Date: 4/4/2012
Transaction Code: C
Amount of Securities: 70,921
Securities Acquired (A) or A
Disposed of (D):
Price of Security: See Footnote (3) on Form 4
Amount of Securities Beneficially
Owned Following Reported
Transactions: 468,009
Ownership Form: D
Nature of Indirect Beneficial Ownership:
Title of Security: Common Stock, $0.00001 par value
Transaction Date: 4/4/2012
Transaction Code: C
Amount of Securities: 54,053
Securities Acquired (A) or A
Disposed of (D):
Price of Security: See Footnote (4) on Form 4
Amount of Securities Beneficially
Owned Following Reported
Transactions: 522,062
Ownership Form: D
Nature of Indirect Beneficial Ownership:
Title of Security: Common Stock, $0.00001 par value
Transaction Date: 4/4/2012
Transaction Code: P
Amount of Securities: 163,091
Securities Acquired (A) or A
Disposed of (D):
Price of Security: $6.00
Amount of Securities Beneficially
Owned Following Reported
Transactions: 685,153
Ownership Form: D
Nature of Indirect Beneficial Ownership:
TABLE II INFORMATION
Title of Derivative Security: Series B
Convertible Preferred Stock
Conversion or Exercise Price: See Footnote (1) to the Form 4
Transaction Date: 4/4/2012
Transaction Code: C
Securities Acquired (A) or D
Disposed of (D):
Amount of Derivative Securities: 64,812
Date Exercisable: See Footnote (1) to the Form 4
Expiration Date: See Footnote (1) to the Form 4
Title of Underlying Securities: Common Stock
Amount of Underlying Securities: 123,013
Price of Derivative Security: $0
Amount of Derivative Securities 0
Beneficially Owned Following Reported
Transactions:
Ownership Form: D
Nature of Indirect Beneficial Ownership
Title of Derivative Security: Series C
Convertible Preferred Stock
Conversion or Exercise Price: See Footnote (2) to the Form 4
Transaction Date: 4/4/2012
Transaction Code: C
Securities Acquired (A) or D
Disposed of (D):
Amount of Derivative Securities: 53,348
Date Exercisable: See Footnote (2) to the Form 4
Expiration Date: See Footnote (2) to the Form 4
Title of Underlying Securities: Common Stock
Amount of Underlying Securities: 134,117
Price of Derivative Security: $0
Amount of Derivative Securities 0
Beneficially Owned Following Reported
Transactions:
Ownership Form: D
Nature of Indirect Beneficial Ownership
Title of Derivative Security: Series D
Convertible Preferred Stock
Conversion or Exercise Price: See Footnote (3) to the Form 4
Transaction Date: 4/4/2012
Transaction Code: C
Securities Acquired (A) or D
Disposed of (D):
Amount of Derivative Securities: 139,958
Date Exercisable: See Footnote (3) to the Form 4
Expiration Date: See Footnote (3) to the Form 4
Title of Underlying Securities: Common Stock
Amount of Underlying Securities: 139,958
Price of Derivative Security: $0
Amount of Derivative Securities 0
Beneficially Owned Following Reported
Transactions:
Ownership Form: D
Nature of Indirect Beneficial Ownership
Title of Derivative Security: Series E
Convertible Preferred Stock
Conversion or Exercise Price: See Footnote (3) to the Form 4
Transaction Date: 4/4/2012
Transaction Code: C
Securities Acquired (A) or D
Disposed of (D):
Amount of Derivative Securities: 70,921
Date Exercisable: See Footnote (3) to the Form 4
Expiration Date: See Footnote (3) to the Form 4
Title of Underlying Securities: Common Stock
Amount of Underlying Securities: 70,921
Price of Derivative Security: $0
Amount of Derivative Securities 0
Beneficially Owned Following Reported
Transactions:
Ownership Form: D
Nature of Indirect Beneficial Ownership
Title of Derivative Security: 9% Junior Convertible Secured Notes
due 2014
Conversion or Exercise Price: See Footnote (4) to the Form 4
Transaction Date: 4/4/2012
Transaction Code: C
Securities Acquired (A) or D
Disposed of (D):
Amount of Derivative Securities: $324,322.23
Date Exercisable: See Footnote (4) to the Form 4
Expiration Date: 6/14/2014
Title of Underlying Securities: Common Stock
Amount of Underlying Securities: 54,053
Price of Derivative Security: $0
Amount of Derivative Securities 0
Beneficially Owned Following Reported
Transactions:
Ownership Form: D
Nature of Indirect Beneficial Ownership