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)
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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 |
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Officer (give title below) |
X |
Other (specify below) |
See Remarks |
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3. Date of Earliest Transaction
(Month/Day/Year) 11/21/2013
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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)
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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 |
11/21/2013 |
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J
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190,100 |
A
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$6.83
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7,448,987 |
I |
See Footnotes
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Common Stock, $0.00001 par value |
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505,037 |
D |
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Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivative Security (Instr.
3)
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2. Conversion or Exercise Price of Derivative Security
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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)
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Code |
V |
(A) |
(D) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
1. Name and Address of Reporting Person*
C/O THIRD POINT LLC |
390 PARK AVENUE |
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
C/O THIRD POINT LLC |
390 PARK AVENUE |
(Street)
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1. Name and Address of Reporting Person*
C/O THIRD POINT LLC |
390 PARK AVENUE |
(Street)
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1. Name and Address of Reporting Person*
C/O THIRD POINT LLC |
390 PARK AVENUE |
(Street)
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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 |
11/22/2013 |
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/s/ William Song, as Attorney-in-Fact for Daniel S. Loeb, Chief Executive Officer of Third Point LLC |
11/22/2013 |
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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. |
11/22/2013 |
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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. |
11/22/2013 |
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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. |
11/22/2013 |
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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. |
11/22/2013 |
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** 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. |
rrd356451_403899.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: 11/21/2013
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: 11/21/2013
Transaction Code: J (1)
Amount of Securities: 190,100
Securities Acquired (A) or Disposed of (D): A (1)
Price of Security: $6.83
Amount of Securities Beneficially
Owned Following Reported
Transactions: 7,448,987
Ownership Form: I
Nature of Indirect Beneficial Ownership: See Footnote (2) (3) on
Form 4
rrd356451_403900.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: 11/21/2013
Issuer and Ticker Symbol: Enphase Energy, Inc. [ENPH]
Relationship of the Issuer: 10% Owner; Director; Other
(See Remarks)
Designated Filer: Daniel S. Loeb
Date of Earliest Reported Transaction: 11/21/2013
TABLE I INFORMATION
Title of Security: Common Stock, $0.00001 par
value
Transaction Date:
Transaction Code:
Amount of Securities:
Securities Acquired (A) or Disposed of (D):
Price of Security:
Amount of Securities Beneficially 4,192,165
Owned Following Reported
Transactions:
Ownership Form: D
Nature of Indirect Beneficial Ownership:
rrd356451_403901.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: 11/21/2013
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:
Transaction Code:
Amount of Securities:
Securities Acquired (A) or Disposed of (D):
Price of Security:
Amount of Securities Beneficially
Owned Following Reported
Transactions: 514,508
Ownership Form: D
Nature of Indirect Beneficial Ownership:
rrd356451_403902.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: 11/21/2013
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:
Transaction Code:
Amount of Securities:
Securities Acquired (A) or Disposed of (D):
Price of Security:
Amount of Securities Beneficially
Owned Following Reported
Transactions: 947,156
Ownership Form: D
Nature of Indirect Beneficial Ownership:
rrd356451_403903.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: 11/21/2013
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: 11/21/2013
Transaction Code: J (1)
Amount of Securities: 190,100
Securities Acquired (A) or Disposed of (D): A (1)
Price of Security: $6.83
Amount of Securities Beneficially
Owned Following Reported
Transactions: 875,258
Ownership Form: D
Nature of Indirect Beneficial Ownership: