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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT 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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| 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) | ||
| 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 | |
| JAGGERS JOHN V 13455 NOEL ROAD SUITE 1670 DALLAS, TX 75240 |
X | |||
| John V. Jaggers | 08/25/2010 | |
| **Signature of Reporting Person | Date |
| * | 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) | The reporting person's purchase of Capstone Turbine Corporation ("Capstone") common stock reported herein was matchable under Section 16(b) of the Securities Exchange Act of 1934, to the extent of 62 shares (at the lowest price of $0.698) with the reporting person's pecuniary interest in the sale of 62 shares of Capstone common stock at a price of $0.7475 per share on August 18, 2010. The reporting person has paid to Capstone $0.90, representing the full amount of profit realized in connection with the short-swing transaction, less transaction costs. |
| (2) | The Capstone shares purchased on this date were purchased in multiple transactions. This price is the weighted average sales price per share of all shares purchased on this date. The actual purchase price per share ranges from $0.698 to $0.70. The number of shares purchased at each separate price will be provided upon request by Capstone or the security holder of Capstone. |
| (3) | Total common shares of 9,744 represents 16 of such common shares held by SRB Associates VII L.P. ("SRB VII"), and 9,728 of such common shares held by Sevin Rosen VII Affiliates Fund L.P. ("SRVII AFF"). John Jaggers ("Jaggers") is a general partner of SRBVII, and a general partner the general partner of SRVII AFF. Jaggers disclaims beneficial ownership of these shares except to his proportionate partnership interest in these shares. On August 18, 2010, Sevin Rosen Fund V L.P. ("SRV") and Sevin Rosen V Affiliates Fund L.P. ("SRV AFF") sold 44,929 common shares, of which Jaggers' pecuniary interest is 62 common shares. Jaggers is a general partner of the general partner of SRV and SRV AFF. |