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| CIK | 1065860 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Lime Energy Co.
SEC Filings (Chronological Order)
Denna sida innehåller en komplett, kronologisk lista över SEC-arkiveringar, exklusive ägande-arkiveringar som vi tillhandahåller på andra ställen.
| February 15, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 15 CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 AND 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number 001-16265 LIME ENERGY CO. (Exact name of registrant as specified in its char |
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| February 10, 2017 |
EX-3.2 3 a17-41961ex3d2.htm EX-3.2 Exhibit 3.2 CERTIFICATE OF AMENDMENT OF THE CERTIFICATE OF INCORPORATION OF LIME ENERGY CO. Under Section 242 of the Delaware General Corporation Law Lime Energy Co. (the “Corporation”), a corporation organized and existing under the General Corporation Law of the State of Delaware, hereby certifies as follows: 1. This Certificate of Amendment (the “Certificate o |
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| February 10, 2017 |
Material Modification to Rights of Security Holders, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): February 10, 2017 LIME ENERGY CO. (Exact name of registrant as specified in charter) DELAWARE 001-16265 36-4197337 (State or other jurisdiction of incorporation) (Commission File Numb |
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| February 10, 2017 |
Exhibit 3.1 CERTIFICATE OF AMENDMENT OF THE CERTIFICATE OF INCORPORATION OF LIME ENERGY CO. Under Section 242 of the Delaware General Corporation Law Lime Energy Co. (the ?Corporation?), a corporation organized and existing under the General Corporation Law of the State of Delaware, hereby certifies as follows: 1. This Certificate of Amendment (the ?Certificate of Amendment?) amends provisions of |
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| January 31, 2017 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): January 31, 2017 LIME ENERGY CO. (Exact name of registrant as specified in charter) DELAWARE 001-16265 36-4197337 (State or other jurisdiction of incorporation) (Commission File Numbe |
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| January 31, 2017 |
LIME / Lime Energy Co. / LIME ENERGY CO. - SC 13E3/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13E-3 (Rule 13e-100) Amendment No. 4 TRANSACTION STATEMENT UNDER SECTION 13(e) OF THE SECURITIES EXCHANGE ACT OF 1934 AND RULE 13e-3 THEREUNDER RULE 13e-3 TRANSACTION STATEMENT UNDER SECTION 13(e) OF THE SECURITIES EXCHANGE ACT OF 1934 LIME ENERGY CO. (Name of the Issuer) Lime Energy Co. (Name of Person(s) Filing Stat |
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| December 30, 2016 |
As Filed with the Securities and Exchange Commission on December 30, 2016 Registration Statement No. |
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| December 30, 2016 |
S-8 POS 1 a16-2367315s8pos.htm S-8 POS As Filed with the Securities and Exchange Commission on December 30, 2016 Registration Statement No. 333-207698 Registration Statement No. 333-206524 Registration Statement No. 333-205427 Registration Statement No. 333-205345 Registration Statement No. 333-197190 Registration Statement No. 333-197189 Registration Statement No. 333-192913 Registration Statemen |
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| December 30, 2016 |
As Filed with the Securities and Exchange Commission on December 30, 2016 Registration Statement No. |
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| December 30, 2016 |
As Filed with the Securities and Exchange Commission on December 30, 2016 Registration Statement No. |
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| December 30, 2016 |
As Filed with the Securities and Exchange Commission on December 30, 2016 Registration Statement No. |
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| December 30, 2016 |
As Filed with the Securities and Exchange Commission on December 30, 2016 Registration Statement No. |
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| December 30, 2016 |
As Filed with the Securities and Exchange Commission on December 30, 2016 Registration Statement No. |
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| December 30, 2016 |
As Filed with the Securities and Exchange Commission on December 30, 2016 Registration Statement No. |
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| December 30, 2016 |
As Filed with the Securities and Exchange Commission on December 30, 2016 Registration Statement No. |
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| December 30, 2016 |
As Filed with the Securities and Exchange Commission on December 30, 2016 Registration Statement No. |
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| December 30, 2016 |
As Filed with the Securities and Exchange Commission on December 30, 2016 Registration Statement No. |
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| December 30, 2016 |
S-8 POS 1 a16-236735s8pos.htm S-8 POS As Filed with the Securities and Exchange Commission on December 30, 2016 Registration Statement No. 333-207698 Registration Statement No. 333-206524 Registration Statement No. 333-205427 Registration Statement No. 333-205345 Registration Statement No. 333-197190 Registration Statement No. 333-197189 Registration Statement No. 333-192913 Registration Statement |
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| December 30, 2016 |
As Filed with the Securities and Exchange Commission on December 30, 2016 Registration Statement No. |
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| December 30, 2016 |
As Filed with the Securities and Exchange Commission on December 30, 2016 Registration Statement No. |
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| December 30, 2016 |
As Filed with the Securities and Exchange Commission on December 30, 2016 Registration Statement No. |
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| December 30, 2016 |
As Filed with the Securities and Exchange Commission on December 30, 2016 Registration Statement No. |
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| December 30, 2016 |
Use these links to rapidly review the document TABLE OF CONTENTS Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| December 30, 2016 |
LIME / Lime Energy Co. / LIME ENERGY CO. - SC 13E3/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13E-3 (Rule 13e-100) Amendment No. 3 TRANSACTION STATEMENT UNDER SECTION 13(e) OF THE SECURITIES EXCHANGE ACT OF 1934 AND RULE 13e-3 THEREUNDER RULE 13e-3 TRANSACTION STATEMENT UNDER SECTION 13(e) OF THE SECURITIES EXCHANGE ACT OF 1934 LIME ENERGY CO. (Name of the Issuer) Lime Energy Co. (Name of Person(s) Filing Stat |
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| December 21, 2016 |
Use these links to rapidly review the document TABLE OF CONTENTS Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| December 21, 2016 |
LIME / Lime Energy Co. / LIME ENERGY CO. - SC 13E3/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13E-3 (Rule 13e-100) Amendment No. 2 TRANSACTION STATEMENT UNDER SECTION 13(e) OF THE SECURITIES EXCHANGE ACT OF 1934 AND RULE 13e-3 THEREUNDER RULE 13e-3 TRANSACTION STATEMENT UNDER SECTION 13(e) OF THE SECURITIES EXCHANGE ACT OF 1934 LIME ENERGY CO. (Name of the Issuer) Lime Energy Co. (Name of Person(s) Filing Stat |
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| November 15, 2016 |
Use these links to rapidly review the document TABLE OF CONTENTS Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| November 15, 2016 |
LIME / Lime Energy Co. / LIME ENERGY CO. - SC 13E3/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13E-3 (Rule 13e-100) Amendment No. 1 TRANSACTION STATEMENT UNDER SECTION 13(e) OF THE SECURITIES EXCHANGE ACT OF 1934 AND RULE 13e-3 THEREUNDER RULE 13e-3 TRANSACTION STATEMENT UNDER SECTION 13(e) OF THE SECURITIES EXCHANGE ACT OF 1934 LIME ENERGY CO. (Name of the Issuer) Lime Energy Co. (Name of Person(s) Filing Stat |
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| November 14, 2016 |
Lime Energy Co. Reports Third Quarter 2016 Results Exhibit 99.1 Lime Energy Co. Reports Third Quarter 2016 Results NEWARK, NJ, November 14, 2016?Lime Energy Co., a leader in designing and implementing demand-side energy efficiency programs for utilities, today announced its results for the three and nine months ended September 30, 2016. ?The third quarter saw the improvement in results that we had expected.? said Adam Procell, Lime Energy Presiden |
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| November 14, 2016 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 a16-2144318k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): November 14, 2016 LIME ENERGY CO. (Exact name of registrant as specified in charter) DELAWARE 001-16265 36-4197337 (State or other jurisdiction of incorpora |
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| November 14, 2016 |
Lime Energy 10-Q (Quarterly Report) Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2016 o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-16265 LI |
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| November 14, 2016 |
THIRD AMENDMENT AND WAIVER TO LOAN AND SECURITY AGREEMENT Exhibit 10.3 THIRD AMENDMENT AND WAIVER TO LOAN AND SECURITY AGREEMENT This Second Amendment and Waiver to Loan and Security Agreement (the “Amendment”) is entered into as of November 9, 2016 by and between HERITAGE BANK OF COMMERCE (“Bank”) and LIME ENERGY CO. (“Borrower”). RECITALS A. Borrower and Bank are parties to that certain Loan and Security Agreement dated as of July 24, 2015, as amended |
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| October 24, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): October 18, 2016 LIME ENERGY CO. (Exact name of registrant as specified in charter) DELAWARE 001-16265 36-4197337 (State or other jurisdiction of incorporation) (Commission File Numbe |
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| October 17, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): October 17, 2016 LIME ENERGY CO. (Exact name of registrant as specified in charter) DELAWARE 001-16265 36-4197337 (State or other jurisdiction of incorporation) (Commission File Numbe |
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| October 17, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): October 17, 2016 LIME ENERGY CO. (Exact name of registrant as specified in charter) DELAWARE 001-16265 36-4197337 (State or other jurisdiction of incorporation) (Commission File Numbe |
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| October 7, 2016 |
Use these links to rapidly review the document TABLE OF CONTENTS Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| October 7, 2016 |
LIME / Lime Energy Co. / LIME ENERGY CO. - SC 13E3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13E-3 (Rule 13e-100) TRANSACTION STATEMENT UNDER SECTION 13(e) OF THE SECURITIES EXCHANGE ACT OF 1934 AND RULE 13e-3 THEREUNDER RULE 13e-3 TRANSACTION STATEMENT UNDER SECTION 13(e) OF THE SECURITIES EXCHANGE ACT OF 1934 LIME ENERGY CO. (Name of the Issuer) Lime Energy Co. (Name of Person(s) Filing Statement) COMMON ST |
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| September 19, 2016 |
Lime Energy Awarded Direct Install Contract With The New Jersey Clean Energy Program EX-99.1 2 a16-186433ex99d1.htm EX-99.1 Exhibit 99.1 Lime Energy Awarded Direct Install Contract With The New Jersey Clean Energy Program A continuation of a partnership to provide energy efficiency to small and medium-sized small businesses in New Jersey Newark, NJ, September 19, 2016 — Lime Energy Co. announced today that it has received a multi-year direct install contract from TRC Energy Soluti |
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| September 19, 2016 |
Financial Statements and Exhibits, Other Events 8-K 1 a16-1864338k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): September 19, 2016 LIME ENERGY CO. (Exact name of registrant as specified in charter) DELAWARE 001-16265 36-4197337 (State or other jurisdiction of incorpor |
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| September 17, 2016 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): September 14, 2016 LIME ENERGY CO. (Exact name of registrant as specified in charter) DELAWARE 001-16265 36-4197337 (State or other jurisdiction of incorporation) (Commission File N |
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| September 17, 2016 |
Lime Energy Announces Proposed Reverse/Forward Stock Split Exhibit 99.1 Lime Energy Announces Proposed Reverse/Forward Stock Split Newark, NJ, September 16th 2016 ? Lime Energy Co., a leading provider of energy services to utilities and their commercial customers, announced today that, at a meeting on September 14, 2016, its Board of Directors approved a plan to effect a stock split of its common shares and terminate the Company?s public company reporting |
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| September 16, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): September 16, 2016 LIME ENERGY CO. (Exact name of registrant as specified in charter) DELAWARE 001-16265 36-4197337 (State or other jurisdiction of incorporation) (Commission File Num |
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| August 29, 2016 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing 8-K 1 a16-1763118k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): August 29, 2016 LIME ENERGY CO. (Exact name of registrant as specified in charter) DELAWARE 001-16265 36-4197337 (State or other jurisdiction of incorporati |
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| August 15, 2016 |
Lime Energy Co. Reports Second Quarter 2016 Results EX-99.1 2 a16-167141ex99d1.htm EX-99.1 Exhibit 99.1 Lime Energy Co. Reports Second Quarter 2016 Results NEWARK, NJ, August 15, 2016—Lime Energy Co. (NASDAQ: LIME), a leader in designing and implementing demand-side energy efficiency programs for utilities, today announced its results for the second quarter and first half of 2016. “We knew that the second quarter would be challenging due to delays |
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| August 15, 2016 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 a16-1671418k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): August 15, 2016 LIME ENERGY CO. (Exact name of registrant as specified in charter) DELAWARE 001-16265 36-4197337 (State or other jurisdiction of incorporati |
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| August 15, 2016 |
Lime Energy Co. Reports Second Quarter 2016 Results EX-99.1 2 a16-167141ex99d1.htm EX-99.1 Exhibit 99.1 Lime Energy Co. Reports Second Quarter 2016 Results NEWARK, NJ, August 15, 2016—Lime Energy Co. (NASDAQ: LIME), a leader in designing and implementing demand-side energy efficiency programs for utilities, today announced its results for the second quarter and first half of 2016. “We knew that the second quarter would be challenging due to delays |
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| August 15, 2016 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 a16-1671418k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): August 15, 2016 LIME ENERGY CO. (Exact name of registrant as specified in charter) DELAWARE 001-16265 36-4197337 (State or other jurisdiction of incorporati |
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| August 15, 2016 |
Lime Energy 10-Q (Quarterly Report) Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2016 o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-16265 LIME EN |
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| August 15, 2016 |
Lime Energy 10-Q (Quarterly Report) Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2016 o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-16265 LIME EN |
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| July 15, 2016 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): July 12, 2016 LIME ENERGY CO. (Exact name of registrant as specified in charter) DELAWARE 001-16265 36-4197337 (State or other jurisdiction of incorporation) (Commission File Number) |
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| June 22, 2016 |
Submission of Matters to a Vote of Security Holders 8-K 1 a16-1380818k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): June 16, 2016 LIME ENERGY CO. (Exact name of registrant as specified in charter) DELAWARE 001-16265 36-4197337 (State or other jurisdiction of incorporation |
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| June 16, 2016 |
SECOND AMENDMENT TO LOAN AND SECURITY AGREEMENT Exhibit 10.1 SECOND AMENDMENT TO LOAN AND SECURITY AGREEMENT This Second Amendment to Loan and Security Agreement (the ?Amendment?) is entered into as of June 10, 2016 by and between HERITAGE BANK OF COMMERCE (?Bank?) and LIME ENERGY CO. (?Borrower?). RECITALS A. Borrower and Bank are parties to that certain Loan and Security Agreement dated as of July 24, 2015 (as the same may from time to time b |
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| June 16, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): June 10, 2016 LIME ENERGY CO. (Exact name of registrant as specified in charter) DELAWARE 001-16265 36-4197337 (State or other jurisdiction of incorporation) (Commission File Number) |
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| May 25, 2016 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 20, 2016 LIME ENERGY CO. (Exact name of registrant as specified in charter) DELAWARE 001-16265 36-4197337 (State or other jurisdiction of incorporation) (Commission File Number) ( |
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| May 13, 2016 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 13, 2016 LIME ENERGY CO. (Exact name of registrant as specified in charter) DELAWARE 001-16265 36-4197337 (State or other jurisdiction of incorporation) (Commission File Number) ( |
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| May 13, 2016 |
Lime Energy Co. Reports Results for Three-Month Period Ended March 31, 2016 Exhibit 99.1 Lime Energy Co. Reports Results for Three-Month Period Ended March 31, 2016 NEWARK, NJ, May 13, 2016?Lime Energy Co. (NASDAQ: LIME), a leader in designing and implementing demand-side energy efficiency programs for utilities, today announced its results for the three-month period ended March 31, 2016. ?We have positioned ourselves as a leading national provider of smart building produ |
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| May 13, 2016 |
Lime Energy 10-Q (Quarterly Report) Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2016 o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-16265 LIME E |
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| May 13, 2016 |
Exhibit 10.2 EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT (?Agreement?) is entered into as of April 28, 2016, between Lime Energy Co., a Delaware corporation (the ?Company?) and Bruce D. Torkelson (the ?Executive?). WHEREAS, the Company and the Executive knowingly and voluntarily desire to enter into an employment relationship on and subject to the terms and conditions set forth below. NOW, THER |
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| April 29, 2016 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| April 29, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| April 14, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): April 8, 2016 LIME ENERGY CO. (Exact name of registrant as specified in charter) DELAWARE 001-16265 36-4197337 (State or other jurisdiction of incorporation) (Commission File Number) |
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| April 5, 2016 |
Financial Statements and Exhibits, Changes in Registrant's Certifying Accountant UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): February 11, 2016 LIME ENERGY CO. (Exact name of registrant as specified in charter) DELAWARE 001-16265 36-4197337 (State or other jurisdiction of incorporation) (Commission File Nu |
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| April 5, 2016 |
Exhibit 16.1 April 5, 2016 Securities and Exchange Commission 100 F Street N.E. Washington, D.C. 20549 We have been furnished with a copy of the response to Item 4.01 of Form 8-K/A to be filed by Lime Energy Co. on April 5, 2016, in relation to our completion on March 30, 2016 of our engagement to audit the Company?s consolidated financial statements. We agree with the statements made in response |
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| March 30, 2016 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): March 30, 2016 LIME ENERGY CO. (Exact name of registrant as specified in charter) DELAWARE 001-16265 36-4197337 (State or other jurisdiction of incorporation) (Commission File Number) |
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| March 30, 2016 |
Lime Energy Co. Reports Results for Twelve-Month Period Ended December 31, 2015 EX-99.1 2 a16-76151ex99d1.htm EX-99.1 Exhibit 99.1 Lime Energy Co. Reports Results for Twelve-Month Period Ended December 31, 2015 NEWARK, NJ, March 30, 2016—Lime Energy Co. (NASDAQ: LIME), a leader in designing and implementing demand-side energy efficiency programs for utilities, today announced its results for the twelve-month period ended December 31, 2015. “Lime Energy is well positioned to p |
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| March 30, 2016 |
Lime Energy 10-K (Annual Report) Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended: December 31, 2015 o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-16265 LIME ENERG |
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| March 30, 2016 |
SECOND AMENDMENT TO SUBORDINATED SECURED CONVERTIBLE PROMISSORY NOTE Exhibit 10.17 SECOND AMENDMENT TO SUBORDINATED SECURED CONVERTIBLE PROMISSORY NOTE This Second Amendment to Subordinated Secured Convertible Promissory Note (the “Amendment”) is entered into as of March 30, 2016 by and between Lime Energy Co., a Delaware corporation (the “Company”), and Bison Capital Partners IV, L.P. (the “Holder”), and amends that certain Subordinated Secured Convertible Promiss |
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| March 30, 2016 |
Lime Energy Co. Subsidiary Companies Exhibit 21 Lime Energy Co. Subsidiary Companies ADVB Acquisition Corp. EnerPath International Holding Company EnerPath, Inc. EnerPath Services, Inc. Landmark Electrical and Mechanical Services, LLC Landmark Service Company, LLC Lime Energy Asset Development, LLC Lime Energy Services Co. Lime Finance, Inc. Lime International Ventures Limited |
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| February 16, 2016 |
Financial Statements and Exhibits, Changes in Registrant's Certifying Accountant UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): February 11, 2016 LIME ENERGY CO. (Exact name of registrant as specified in charter) DELAWARE 001-16265 36-4197337 (State or other jurisdiction of incorporation) (Commission File Numb |
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| February 16, 2016 |
Exhibit 16.1 February 15, 2016 Securities and Exchange Commission 100 F Street N.E. Washington, D.C. 20549 We have been furnished with a copy of the response to Item 4.01 of Form 8-K for the event that occurred on February 11, 2016, to be filed by Lime Energy Co. We agree with the statements made in response to that Item insofar as they relate to our Firm. Very truly yours, /s/ BDO USA, LLP BDO US |
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| November 12, 2015 |
Lime Energy 8-K (Current Report/Significant Event) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): November 12, 2015 LIME ENERGY CO. (Exact name of registrant as specified in charter) DELAWARE 001-16265 36-4197337 (State or other jurisdiction of incorporation) (Commission File Numb |
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| November 12, 2015 |
Lime Energy Co. Reports Results for Three and Nine Month Period Ended September 30, 2015 EX-99.1 2 a15-228801ex99d1.htm EX-99.1 Exhibit 99.1 Lime Energy Co. Reports Results for Three and Nine Month Period Ended September 30, 2015 WOODBRIDGE, NJ, November 12, 2015—Lime Energy Co. (NASDAQ: LIME), a leader in designing and implementing demand-side energy efficiency programs for utilities, today announced its results for the three- and nine-month periods ended September 30, 2015. “We are |
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| October 30, 2015 |
As filed with the Securities and Exchange Commission on October 30, 2015 Registration No. |
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| September 23, 2015 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14C INFORMATION Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 (Amendment No. ) Check the appropriate box: o Preliminary Information Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14c-5(d)(2)) x Definitive Information Statement L |
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| August 28, 2015 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14C INFORMATION Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 (Amendment No. ) Check the appropriate box: x Preliminary Information Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14c-5(d)(2)) o Definitive Information Statement L |
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| August 21, 2015 |
As filed with the Securities and Exchange Commission on August 21, 2015 Registration No. |
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| August 18, 2015 |
Exhibit 24 POWER OF ATTORNEY The undersigned hereby authorizes and appoints Mary Colleen Brennan with full power of substitution and full power to act as the undersigned?s true and lawful authorized attorney-in-fact and agent for the undersigned and in the undersigned?s name, place and stead, to: (1) execute for and on behalf of the undersigned any and all reports, forms, schedules and notices req |
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| August 18, 2015 |
EX-24 2 ex-24.htm EX-24 Exhibit 24 POWER OF ATTORNEY The undersigned hereby ratifies and confirms Mary Colleen Brennan, an officer of Lime Energy Co., as the undersigned’s true and lawful authorized attorney-in-fact and agent, with full power of substitution and full power to act for the undersigned and in the undersigned’s name, place and stead, to: (1) execute for and on behalf of the undersigne |
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| August 18, 2015 |
Exhibit 24 POWER OF ATTORNEY The undersigned hereby ratifies and confirms Mary Colleen Brennan, an officer of Lime Energy Co. |
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| August 18, 2015 |
Exhibit 24 POWER OF ATTORNEY The undersigned hereby ratifies and confirms Mary Colleen Brennan, an officer of Lime Energy Co. |
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| August 18, 2015 |
Exhibit 24 POWER OF ATTORNEY The undersigned hereby ratifies and confirms Mary Colleen Brennan, an officer of Lime Energy Co. |
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| August 17, 2015 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14C INFORMATION Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 Check the appropriate box: o Preliminary Information Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14c-5(d)(2)) x Definitive Information Statement LIME ENERGY CO. (N |
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| August 14, 2015 |
Lime Energy 8-K (Current Report/Significant Event) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): August 14, 2015 LIME ENERGY CO. (Exact name of registrant as specified in charter) DELAWARE 001-16265 36-4197337 (State or other jurisdiction of incorporation) (Commission File Number |
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| August 14, 2015 |
Lime Energy Co. Reports Results for Three and Six Month Period Ended June 30, 2015 Exhibit 99.1 Lime Energy Co. Reports Results for Three and Six Month Period Ended June 30, 2015 WOODBRIDGE, NJ, August 14, 2015?Lime Energy Co. (NASDAQ: LIME), a leader in designing and implementing demand-side energy efficiency programs for utilities, today announced its results for the three-month and six-month periods ended June 30, 2015. ?Lime Energy?s ability to deliver cost- effective energy |
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| August 13, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): August 10, 2015 LIME ENERGY CO. (Exact name of registrant as specified in charter) DELAWARE 001-16265 36-4197337 (State or other jurisdiction of incorporation) (Commission File Number |
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| August 6, 2015 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14C INFORMATION (Amendment No. 1) Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 Check the appropriate box: x Preliminary Information Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14c-5(d)(2)) o Definitive Information Statement |
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| July 30, 2015 |
Lime Energy 8-K (Current Report/Significant Event) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): July 24, 2015 LIME ENERGY CO. (Exact name of registrant as specified in charter) DELAWARE 001-16265 36-4197337 (State or other jurisdiction of incorporation) (Commission File Number) |
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| July 13, 2015 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): July 7, 2015 LIME ENERGY CO. (Exact name of registrant as specified in charter) DELAWARE 001-16265 36-4197337 (State or other jurisdiction of incorporation) (Commission File Number) ( |
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| July 1, 2015 |
LIME ENERGY CO. 2015 EMPLOYEE STOCK PURCHASE PLAN Exhibit 4.1 LIME ENERGY CO. 2015 EMPLOYEE STOCK PURCHASE PLAN The following constitutes the provisions of the 2015 Employee Stock Purchase Plan of Lime Energy Co., as established effective June 18, 2015. 1. PURPOSE. The purpose of the Plan is to provide employees of the Company and its Affiliates with an opportunity to purchase Common Stock of the Company. It is the intention of the Company that t |
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| July 1, 2015 |
S-8 1 a15-150261s8.htm S-8 As filed with the Securities and Exchange Commission on July 1, 2015 Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Lime Energy Co. (Exact name of registrant as specified in its charter) Delaware 36-4197337 (State or other jurisdiction (I.R.S. Employer of incor |
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| June 29, 2015 |
LIME ENERGY CO. 2010 NON-EMPLOYEE DIRECTORS STOCK PLAN AS AMENDED Exhibit 4.3 LIME ENERGY CO. 2010 NON-EMPLOYEE DIRECTORS STOCK PLAN AS AMENDED SECTION 1. Purpose The purpose of this 2010 Non-Employee Director Stock Plan is to promote the interest of Lime Energy Co., its Subsidiaries and stockholders, by allowing the Corporation to attract and retain highly qualified non-employee directors by permitting them to obtain or increase their proprietary interest in th |
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| June 29, 2015 |
As filed with the Securities and Exchange Commission on June 29, 2015 Registration No. |
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| June 22, 2015 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): June 18, 2015 LIME ENERGY CO. (Exact name of registrant as specified in charter) DELAWARE 001-16265 36-4197337 (State or other jurisdiction of incorporation) (Commission File Number) |
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| June 8, 2015 |
Lime Energy 8-K/A (Current Report/Significant Event) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A (Amendment No. 1) CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): March 24, 2015 LIME ENERGY CO. (Exact Name of Registrant as Specified in Charter) DELAWARE 001-16265 36-4197337 (State or Other Jurisdiction of Incorporation) (Com |
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| June 8, 2015 |
Exhibit 99.1 ENERPATH INTERNATIONAL HOLDING COMPANY AND SUBSIDIARIES FINANCIAL STATEMENTS with Independent Accountants? Audit Report December 31, 2014 and 2013 Table of Contents Page INDEPENDENT ACCOUNTANTS? AUDIT REPORT 1 FINANCIAL STATEMENTS EXHIBIT Combined Balance Sheet ?A? 3 Combined Statement of Operations ?B? 4 Combined Statement of Changes in Retained Earnings ?C? 5 Combined Statement of C |
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| June 8, 2015 |
Exhibit 99.2 EnerPath Acquisition On March 24, 2015 (the ?Closing Date?), Lime Energy Co. (the ?Company?) entered into and consummated the transactions contemplated by an Agreement and Plan of Merger (the ?Merger Agreement?) by and among EIHC MergerSub, Inc., a Delaware corporation and a wholly-owned subsidiary of the Company (?Merger Sub?), EnerPath International Holding Company, a Delaware corpo |
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| May 20, 2015 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14 |
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| May 18, 2015 |
Lime Energy 8-K (Current Report/Significant Event) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 (Date of earliest event reported): May 18, 2015 LIME ENERGY CO. (Exact name of registrant as specified in its charter) DELAWARE 001-16265 36-4197337 (State or other jurisdiction of incorporation or organization (Commission File #) (I |
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| May 18, 2015 |
Lime Energy Co. Reports Results for Three-Month Period Ended March 31, 2015 Exhibit 99.1 Lime Energy Co. Reports Results for Three-Month Period Ended March 31, 2015 HUNTERSVILLE, NC, May 18, 2015?Lime Energy Co. (NASDAQ: LIME), a leader in designing and implementing demand-side energy efficiency programs for utilities, today announced its results for the three-month period ended March 31, 2015. ?The Lime Energy team delivered on several of our goals in the first quarter o |
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| May 15, 2015 |
OMB APPROVAL UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING OMB Number: 3235-0058 Expires: August 31, 2015 Estimated average burden hours per response . . . . . . 2.50 SEC FILE NUMBER 001-16265 CUSIP NUMBER 53261U304 (Check one): o Form 10-K o Form 20-F o Form 11-K x Form 10-Q o Form 10-D o Form N-SAR o Form N-CSR For Period Ended: M |
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| May 11, 2015 |
Law Offices May 11, 2015 One Logan Square, Ste. 2000 VIA E-MAIL Philadelphia, PA 19103-6996 Pamela Long Assistant Director (215) 988-2700 phone Division of Corporation Finance (215) 988-2757 fax U.S. Securities & Exchange Commission www.drinkerbiddle.com 100 F Street, NE Washington, D.C. 20549 CALIFORNIA DELAWARE Re: Lime Energy Co. ILLINOIS Form PRE 14C NEW JERSEY Filed April 14, 2015 NEW YORK Fi |
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| May 8, 2015 |
UNITED STATES DISTRICT COURT NORTHERN DISTRICT OF ILLINOIS EASTERN DIVISION Exhibit 99.1 UNITED STATES DISTRICT COURT NORTHERN DISTRICT OF ILLINOIS EASTERN DIVISION ) RICHARD KUBERSKI and ERIC L. ) Case No. 12 C 7993 LAWTON, derivatively and on behalf of ) Nominal Defendant LIME ENERGY CO., ) (Consolidated with Case No. 13 C 1708) ) Plaintiffs, ) District Judge: Hon. Harry D. Leinenweber ) vs. ) Magistrate Judge: Hon. Sidney I. Schenkier ) JOHN O?ROURKE, JEFFREY MISTARZ, |
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| May 8, 2015 |
Lime Energy 8-K (Current Report/Significant Event) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 5, 2015 LIME ENERGY CO. (Exact Name of Registrant as Specified in Charter) DELAWARE 001-16265 36-4197337 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I |
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| May 8, 2015 |
UNITED STATES DISTRICT COURT NORTHERN DISTRICT OF ILLINOIS EASTERN DIVISION Exhibit 99.2 UNITED STATES DISTRICT COURT NORTHERN DISTRICT OF ILLINOIS EASTERN DIVISION ) RICHARD KUBERSKI and ERIC L. ) Case No. 12 C 7993 LAWTON, derivatively and on behalf of ) Nominal Defendant LIME ENERGY CO., ) (Consolidated with Case No. 13 C 1708) ) Plaintiffs, ) District Judge: Hon. Harry D. Leinenweber ) vs. ) Magistrate Judge: Hon. Sidney I. Schenkier ) JOHN O?ROURKE, JEFFREY MISTARZ, |
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| April 30, 2015 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14 |
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| April 30, 2015 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14 |
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| April 24, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): April 21, 2015 LIME ENERGY CO. (Exact Name of Registrant as Specified in Charter) DELAWARE 001-16265 36-4197337 (State or Other Jurisdiction of Incorporation) (Commission File Number) |
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| April 14, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14C INFORMATION Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 (Amendment No. ) Check the appropriate box: x Preliminary Information Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14c-5(d)(2)) o Definitive Information Statement LIME ENERGY CO. (Na |
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| April 3, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): March 31, 2015 LIME ENERGY CO. (Exact Name of Registrant as Specified in Charter) DELAWARE 001-16265 36-4197337 (State or Other Jurisdiction of Incorporation) (Commission File Number) |
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| April 3, 2015 |
AMENDMENT TO SUBORDINATED SECURED CONVERTIBLE PROMISSORY NOTE EX-99.1 2 a15-86322ex99d1.htm EX-99.1 Exhibit 99.1 AMENDMENT TO SUBORDINATED SECURED CONVERTIBLE PROMISSORY NOTE This Amendment to Subordinated Secured Convertible Promissory Note (the “Amendment”) is entered into as of March 31, 2015 by and between Lime Energy Co., a Delaware corporation (the “Company”), and Bison Capital Partners IV, L.P. (the “Holder”), and amends that certain Subordinated Secu |
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| March 31, 2015 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): March 31, 2015 LIME ENERGY CO. (Exact Name of Registrant as Specified in Charter) DELAWARE 001-16265 36-4197337 (State or Other Jurisdiction of Incorporation) (Commission File Number) |
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| March 31, 2015 |
Lime Energy Co. Reports Results for Twelve-Month Period Ended December 31, 2014 Exhibit 99.1 Lime Energy Co. Reports Results for Twelve-Month Period Ended December 31, 2014 HUNTERSVILLE, NC, March 31, 2015 - Lime Energy Co. (NASDAQ: LIME), a leader in designing and implementing demand-side energy efficiency programs for utilities, today announced its results for the twelve month period ended December 31, 2014. Having completed an important year of sharpening focus, dramatic |
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| March 30, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): March 24, 2015 LIME ENERGY CO. (Exact Name of Registrant as Specified in Charter) DELAWARE 001-16265 36-4197337 (State or Other Jurisdiction of Incorporation) (Commission File Number) |
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| March 30, 2015 |
EX-2.1 2 a15-74762ex2d1.htm EX-2.1 Exhibit 2.1 EXECUTION VERSION AGREEMENT AND PLAN OF MERGER among LIME ENERGY CO. EIHC MERGERSUB, INC. ENERPATH INTERNATIONAL HOLDING COMPANY the STOCKHOLDERS named herein and JANINA GUTHRIE, as Stockholder Representative dated as of March 23, 2015 TABLE OF CONTENTS ARTICLE I DEFINITIONS 2 ARTICLE II THE MERGER 16 Section 2.01 The Merger 16 Section 2.02 Closing 16 |
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| March 30, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 (Date of earliest event reported): December 30, 2014 LIME ENERGY CO. (Exact name of registrant as specified in its charter) DELAWARE (State or other jurisdiction of incorporation) 001-16265 (Commission File #) 36-4197337 (IRS Employe |
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| March 5, 2015 |
EX-99.14 Exhibit 14 CONVERSION AGREEMENT THIS IS A CONVERSION AGREEMENT, dated as of December 23, 2014 (the “Agreement”), by and among Lime Energy Co., a Delaware Corporation (the “Company”), and The John Thomas Hurvis Revocable Trust (the “Investor”). Background A. The Company intends to (i) enter into that certain Securities Purchase Agreement (the “Purchase Agreement”) with Bison Capital Equity |
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| March 5, 2015 |
LIME / Lime Energy Co. / Hurvis John Thomas - SC 13D/A Activist Investment SC 13D/A United States Securities and Exchange Commission Washington, D.C. 20549 Schedule 13D Under the Securities Exchange Act of 1934 (Amendment No. 2)* Lime Energy Co. (Name of Issuer) Common Stock $0.0001 par value (Title of Class of Securities) 53261U304 (CUSIP Number) Bryon C. Stanislaw Chief Investment Officer The Hurvis Group, LLC 4065 Commercial Ave. Northbrook, IL 60062 Phone (847) 559-2 |
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| January 27, 2015 |
LIME / Lime Energy Co. DEF 14C - - DEF 14C UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14C INFORMATION Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 (Amendment No. ) Check the appropriate box: o Preliminary Information Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14c-5(d)(2)) x Definitive Information Statement LIME ENERGY CO. (Na |
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| January 15, 2015 |
LIME / Lime Energy Co. PRE 14C - - PRE 14C UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14C INFORMATION Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 (Amendment No. ) Check the appropriate box: x Preliminary Information Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14c-5(d)(2)) o Definitive Information Statement LIME ENERGY CO. (Na |
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| January 15, 2015 |
Exhibit 99.(a) CONVERSION AGREEMENT THIS IS A CONVERSION AGREEMENT, dated as of December 22, 2014 (the “Agreement”), by and among Lime Energy Co., a Delaware Corporation (the “Company”), and Richard P. Kiphart (the “Investor”). Background A. The Company intends to (i) enter into that certain Securities Purchase Agreement (the “Purchase Agreement”) with Bison Capital Partners IV, L.P. (“Bison”), th |
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| January 15, 2015 |
LIME / Lime Energy Co. / KIPHART RICHARD P - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 6)* LIME ENERGY CO. (Name of Issuer) Common Stock, par value $$0.0001 per share (Title of Class of Securities) 5326U106 (CUSIP Number) Mary Colleen Brennan, Chief Financial Officer Lime Energy Co. 3 Convery Blvd., Suite 600 Woodbridge, NJ 07095 Tel: (732) 79 |
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| January 5, 2015 |
LIME / Lime Energy Co. / BISON CAPITAL PARTNERS IV, L.P. - SCHEDULE 13D Activist Investment Schedule 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. n/a)* LIME ENERGY CO. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 53261U304 (CUSIP Number) Bison Capital Partners IV, L.P. 233 Wilshire Blvd., Suite 425 Santa Monica, CA 90401 Tel: 310.260.6572 With |
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| December 30, 2014 |
Exhibit 3.1 CERTIFICATE OF DESIGNATION OF LIME ENERGY CO. (Pursuant to Section 151 of the General Corporation Law of the State of Delaware) Lime Energy Co., a Delaware corporation (the “Corporation”), hereby certifies that pursuant to the authority contained in its Certificate of Incorporation, and in accordance with the provisions of Section 151 of the General Corporation Law of the State of Dela |
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| December 30, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): December 23, 2014 LIME ENERGY CO. (Exact Name of Registrant as Specified in Charter) DELAWARE 001-16265 36-4197337 (State or Other Jurisdiction of Incorporation) (Commission File Numb |
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| December 30, 2014 |
Exhibit 99.1 Lime Energy Raises $10 Million to Fund Growth Company plans continued development of innovative products and services. December 30, 2014: Huntersville, NC: Lime Energy Co. (NASDAQ: LIME), a leading provider of energy services to utilities and their commercial customers, announced today that the company has completed a capital raise for $10 million in gross proceeds before offering exp |
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| December 30, 2014 |
Exhibit 10.1 EXECUTION VERSION SECURITIES PURCHASE AGREEMENT by and between LIME ENERGY CO. and BISON CAPITAL PARTNERS IV, L.P. Dated as of December 23, 2014 TABLE OF CONTENTS Page ARTICLE 1 DEFINITIONS 1 1.1 Definitions 1 1.2 Index of Defined Terms 9 1.3 General Construction 10 ARTICLE 2 PURCHASE AND SALE OF THE SECURITIES 11 2.1 Purchase and Sale of the Securities 11 2.2 Fees at Closing 11 2.3 C |
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| December 30, 2014 |
SHAREHOLDER AND INVESTOR RIGHTS AGREEMENT Exhibit 10.2 EXECUTION VERSION SHAREHOLDER AND INVESTOR RIGHTS AGREEMENT SHAREHOLDER AND INVESTOR RIGHTS AGREEMENT, dated as of December 23, 2014, by and among Lime Energy Co., a Delaware corporation (the “Company”), Bison Capital Partners IV, L.P., a Delaware limited partnership or its permitted assigns (“Purchaser”), and the Existing Shareholders (as defined below). WITNESSETH WHEREAS, the Compa |
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| December 30, 2014 |
Exhibit 10.3 EXECUTION VERSION REGISTRATION RIGHTS AGREEMENT This REGISTRATION RIGHTS AGREEMENT (this “Agreement”) is made and entered into as of December 23, 2014, by and among Lime Energy Co., a Delaware corporation (the “Company”), Bison Capital Partners IV, L.P., a Delaware limited partnership (including its successors and assigns, the “Investor”) and each of the Holders of Permissible Piggyba |
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| December 30, 2014 |
AMENDED AND RESTATED BY-LAWS OF LIME ENERGY CO. ARTICLE I Exhibit 3.2 AMENDED AND RESTATED BY-LAWS OF LIME ENERGY CO. ARTICLE I OFFICES Section 1. Registered Office and Agent. The registered office of Lime Energy Co. (the “Corporation”) in the State of Delaware shall be located at Corporation Trust Center, 1209 Orange Street, Wilmington, Delaware 19801, County of Newcastle. The name of the Corporation’s registered agent at such address shall be Corporati |
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| November 12, 2014 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 (Date of earliest event reported): November 12, 2014 LIME ENERGY CO. (Exact name of registrant as specified in its charter) DELAWARE (State or other jurisdiction of incorporation or organization 001-16265 (Commission File #) 36-41973 |
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| November 12, 2014 |
Lime Energy Co. Reports Results for Three and Nine Month Period Ended September 30, 2014 Exhibit 99.1 Lime Energy Co. Reports Results for Three and Nine Month Period Ended September 30, 2014 HUNTERSVILLE, NC, November 12, 2014—Lime Energy Co. (NASDAQ: LIME), a leader in designing and implementing demand-side energy efficiency programs for utilities, today announced its results for the three-month and nine-month periods ended September 30, 2014. “Lime Energy continued our progress duri |
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| September 29, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): September 23, 2014 LIME ENERGY CO. (Exact Name of Registrant as Specified in Charter) DELAWARE 001-16265 36-4197337 (State or Other Jurisdiction of Incorporation) (Commission File Num |
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| August 14, 2014 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 (Date of earliest event reported): August 14, 2014 LIME ENERGY CO. (Exact name of registrant as specified in its charter) DELAWARE 001-16265 36-4197337 (State or other jurisdiction of incorporation or organization (Commission File #) |
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| August 14, 2014 |
Lime Energy Co. Reports Results for Three and Six Month Period Ended June 30, 2014 Exhibit 99.1 Lime Energy Co. Reports Results for Three and Six Month Period Ended June 30, 2014 HUNTERSVILLE, NC, August 14, 2014—Lime Energy Co. (NASDAQ: LIME), a leader in designing and implementing demand-side energy efficiency programs for utilities, today announced its results for the three-month and six-month periods ended June 30, 2014. “Lime Energy’s ability to deliver cost effective energ |
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| August 7, 2014 |
LIME ENERGY CO. SUBSCRIPTION AGREEMENT Exhibit 10.1 LIME ENERGY CO. SUBSCRIPTION AGREEMENT Recitals THE SECURITIES HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933 OR THE SECURITIES LAWS OF ANY STATE OR ANY OTHER JURISDICTION. THERE ARE FURTHER RESTRICTIONS ON THE TRANSFERABILITY OF THE SECURITIES DESCRIBED HEREIN. THE PURCHASE OF THE SECURITIES INVOLVES A HIGH DEGREE OF RISK AND SHOULD BE CONSIDERED ONLY BY PERSONS WHO CAN BE |
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| August 7, 2014 |
Exhibit 10.2 Schedule Prepared in Accordance with Instruction 2 to Item 601 of Regulation S-K The 2014 Subordinated Secured Convertible Pay-In-Kind Notes due August 4, 2024 dated August 4, 2014 are substantially identical in all material respects except as to the noteholder and the principal amount. Holder Principal Amount Richard Kiphart $ 750,000 John Thomas Hurvis Revocable Trust $ 250,000 FORM |
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| August 7, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 (Date of earliest event reported): August 4, 2014 LIME ENERGY CO. (Exact name of registrant as specified in charter) DELAWARE 001-16265 36-4197337 (State or other jurisdiction of incorporation) (Commission File Number) (IRS Employer |
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| August 4, 2014 |
Exhibit 10.1 LETTER OF CREDIT AGREEMENT This Letter of Credit Agreement (this “Agreement”) is made as of August 1, 2014, between Lime Energy Co., a Delaware corporation (“Lime”) and Richard P. Kiphart (“Guarantor”). Recitals A. Lime is in need of letters of credit (“Letters of Credit”) guaranteeing certain future liabilities of Lime in connection with Lime’s performance under that certain Master C |
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| August 4, 2014 |
LIME ENERGY CO. WARRANT TO PURCHASE COMMON STOCK Exhibit 4.1 WARRANT NEITHER THIS WARRANT NOR THE SECURITIES INTO WHICH THIS WARRANT IS EXERCISABLE HAVE BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR APPLICABLE STATE SECURITIES LAWS. THE SECURITIES MAY NOT BE OFFERED FOR SALE, SOLD, TRANSFERRED OR ASSIGNED (I) IN THE ABSENCE OF (A) AN EFFECTIVE REGISTRATION STATEMENT FOR THE SECURITIES UNDER THE SECURITIES ACT OF 1933, AS AMEND |
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| August 4, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 (Date of earliest event reported): July 29, 2014 LIME ENERGY CO. (Exact name of registrant as specified in its charter) DELAWARE 001-16265 36-4197337 (State or other jurisdiction of incorporation or organization (Commission File #) ( |
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| July 1, 2014 |
LIME ENERGY CO. 2014 EMPLOYEE STOCK PURCHASE PLAN Exhibit 99.1 LIME ENERGY CO. 2014 EMPLOYEE STOCK PURCHASE PLAN The following constitutes the provisions of the 2013 Employee Stock Purchase Plan of Lime Energy Co., as established effective June 25, 2014. 1. PURPOSE. The purpose of the Plan is to provide employees of the Company and its Affiliates with an opportunity to purchase Common Stock of the Company. It is the intention of the Company that |
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| July 1, 2014 |
LIME / Lime Energy Co. S-8 - - S-8 As filed with the Securities and Exchange Commission on July 01, 2014 Registration No. |
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| July 1, 2014 |
LIME / Lime Energy Co. S-8 - - S-8 As filed with the Securities and Exchange Commission on July 1, 2014 Registration No. |
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| July 1, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 (Date of earliest event reported): June 25, 2014 LIME ENERGY CO. (Exact name of registrant as specified in its charter) DELAWARE 001-16265 36-4197337 (State or other jurisdiction of incorporation) (Commission File #) (IRS Employer Id |
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| June 30, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 (Date of earliest event reported): June 30, 2014 LIME ENERGY CO. (Exact name of registrant as specified in its charter) DELAWARE 001-16265 36-4197337 (State or other jurisdiction of (Commission File #) (IRS Employer Identification No |
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| June 13, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 (Date of earliest event reported): June 04, 2014 LIME ENERGY CO. (Exact name of registrant as specified in its charter) DELAWARE (State or other jurisdiction of incorporation or organization 001-16265 (Commission File #) 36-4197337 ( |
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| May 14, 2014 |
Lime Energy Co. Reports Results for Three-Month Period Ended March 31, 2014 Exhibit 99.1 Lime Energy Co. Reports Results for Three-Month Period Ended March 31, 2014 HUNTERSVILLE, NC, March 14, 2014—Lime Energy Co. (NASDAQ: LIME), a leader in designing and implementing demand-side energy efficiency programs for utilities, today announced its results for the three-month period ended March 31, 2014. “We continued our trends toward lower operating costs and higher gross profi |
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| May 14, 2014 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 (Date of earliest event reported): May 14, 2014 LIME ENERGY CO. (Exact name of registrant as specified in its charter) DELAWARE 001-16265 36-4197337 (State or other jurisdiction of incorporation or organization (Commission File #) (I |
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| April 30, 2014 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (RULE 14a-101) SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the |
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| April 24, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 (Date of earliest event reported): April 23, 2014 LIME ENERGY CO. (Exact name of registrant as specified in its charter) DELAWARE (State or other jurisdiction of incorporation or organization 001-16265 (Commission File #) 36-4197337 |
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| April 24, 2014 |
Exhibit 10.1 EMPLOYMENT AGREEMENT This Employment Agreement (“Agreement”) is entered into as of April 23, 2014, between Lime Energy Services Co. (the “Company”), which is a Massachusetts corporation and a wholly-owned subsidiary of Lime Energy Co., a Delaware corporation (“Lime”), and Mary Colleen Brennan (the “Executive”). WHEREAS, the Company and the Executive knowingly and voluntarily desire to |
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| April 11, 2014 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (RULE 14a-101) SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: x Preliminary Proxy Statement o Confidential, for Use of the |
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| April 9, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 (Date of earliest event reported): April 9, 2014 LIME ENERGY CO. (Exact name of registrant as specified in its charter) DELAWARE (State or other jurisdiction of incorporation or organization 001-16265 (Commission File #) 36-4197337 ( |
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| March 31, 2014 |
Financial Statements and Exhibits, Results of Operations and Financial Condition - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 (Date of earliest event reported): March 31, 2014 LIME ENERGY CO. (Exact name of registrant as specified in its charter) DELAWARE 001-16265 36-4197337 (State or other jurisdiction of incorporation or organization (Commission File #) |
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| March 31, 2014 |
Lime Energy Co. Reports Results for Twelve-Month Period Ended December 31, 2013 Exhibit 99.1 Lime Energy Co. Reports Results for Twelve-Month Period Ended December 31, 2013 HUNTERSVILLE, NC, March 31, 2014 - Lime Energy Co. (NASDAQ: LIME), a leader in designing and implementing demand-side energy efficiency programs for utilities, today announced its results for the twelve month period ended December 31, 2013. “Having completed an important year of sharpening focus, dramatic |
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| March 31, 2014 |
Lime Energy 10-K (Annual Report) Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended: December 31, 2013 o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-16265 LIME ENERG |
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| March 26, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 (Date of earliest event reported): March 25, 2014 LIME ENERGY CO. (Exact name of registrant as specified in its charter) DELAWARE (State or other jurisdiction of incorporation or organization 001-16265 (Commission File #) 36-4197337 |
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| February 28, 2014 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 (Date of earliest event reported): February 26, 2014 LIME ENERGY CO. (Exact name of registrant as specified in its charter) DELAWARE 001-16265 36-4197337 (State or other jurisdiction of incorporation or organization (Commission File |
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| February 28, 2014 |
Transcription — C. Adam Procell/John Downey Exhibit 99.1 Transcription — C. Adam Procell/John Downey Downey: …started. (Unintelligible) Okay, well, first of all, thanks, and I appreciate this. Been wanting to sit down. We’ve been interested in your company, as you know, since you got here. This last wrinkle has been difficult for y’all, I know, and I — Procell: Sure has. Downey: I need to talk to you some about that. But I actually did want |
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| February 20, 2014 |
Submission of Matters to a Vote of Security Holders - 8-K/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 (Date of earliest event reported): December 3, 2013 LIME ENERGY CO. (Exact name of registrant as specified in its charter) DELAWARE 001-16265 36-4197337 (State or other jurisdiction of incorporation) (Commission File #) (IRS Employ |
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| February 3, 2014 |
Lime Energy Raises $2 Million Through Sale of Convertible Preferred Stock Exhibit 99.1 Lime Energy Raises $2 Million Through Sale of Convertible Preferred Stock HUNTERSVILLE, NC, February 3, 2014—Lime Energy Co. (NASDAQ: LIME), the nation’s leading provider of energy efficiency for small businesses, announced that on January 29, 2013, it entered into a Preferred Stock and Warrant Purchase Agreement (the “Purchase Agreement”) with Greener Capital Partners Fund II, L.P. ( |
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| February 3, 2014 |
LIME ENERGY CO. PREFERRED STOCK AND WARRANT PURCHASE AGREEMENT EX-10.1 2 a14-48281ex10d1.htm EX-10.1 Exhibit 10.1 LIME ENERGY CO. PREFERRED STOCK AND WARRANT PURCHASE AGREEMENT This Preferred Stock And Warrant Purchase Agreement (this “Agreement”) is dated and effective as of January 29, 2014, by and among Lime Energy Co., a Delaware corporation (the “Company”), and the investors listed on Schedule 2.2 of this Agreement (each, a “Purchaser” and collectively, |
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| February 3, 2014 |
Exhibit 10.2 LIME ENERGY LETTERHEAD EFW PARTNERS Re: Purchase of Shares of Series B Preferred Stock Ladies and Gentlemen: This letter will confirm our agreement that pursuant to and effective as of your purchase of shares of Series B Preferred Stock (the “Shares”) of Lime Energy, Inc., a Delaware corporation (the “Company”), EFW Partners, L.L.C., a Delaware limited liability company (the “Investor |
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| February 3, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 (Date of earliest event reported): January 29, 2014 LIME ENERGY CO. (Exact name of registrant as specified in its charter) DELAWARE 001-16265 36-4197337 (State or other jurisdiction of incorporation or organization (Commission File # |
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| January 30, 2014 |
Regulation FD Disclosure - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 (Date of earliest event reported): January 28, 2014 LIME ENERGY CO. (Exact name of registrant as specified in its charter) DELAWARE (State or other jurisdiction of incorporation or organization 001-16265 (Commission File #) 36-419733 |
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| January 30, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 (Date of earliest event reported): January 29, 2014 LIME ENERGY CO. (Exact name of registrant as specified in its charter) DELAWARE (State or other jurisdiction of incorporation or organization 001-16265 (Commission File #) 36-419733 |
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| January 8, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 (Date of earliest event reported): January 7, 2014 LIME ENERGY CO. (Exact name of registrant as specified in its charter) DELAWARE (State or other jurisdiction of incorporation) 001-16265 (Commission File #) 36-4197337 (IRS Employer |
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| January 2, 2014 |
LIME / Lime Energy Co. / Hurvis John Thomas - SC 13D/A Activist Investment SC 13D/A United States Securities and Exchange Commission Washington, D.C. 20549 Schedule 13D Under the Securities Exchange Act of 1934 (Amendment No. 1)* Lime Energy Co. (Name of Issuer) Common Stock $0.0001 par value (Title of Class of Securities) 53261U304 (CUSIP Number) Bryon C. Stanislaw Chief Investment Officer The Hurvis Group, LLC 4065 Commercial Ave. Northbrook, IL 60062 Phone (847) 559-2 |
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| December 31, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 (Date of earliest event reported): December 30, 2013 LIME ENERGY CO. (Exact name of registrant as specified in its charter) DELAWARE 001-16265 36-4197337 (State or other jurisdiction of incorporation or organization (Commission File |
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| December 31, 2013 |
Exhibit 3.1 CERTIFICATE OF DESIGNATION OF LIME ENERGY CO. (Pursuant to Section 151 of the General Corporation Law of the State of Delaware) The undersigned, Chief Financial Officer of Lime Energy Co., a Delaware corporation (the “Corporation”), hereby certifies that pursuant to authority granted to and vested in the Board of Directors (the “Board of Directors”) of the Corporation by the provisions |
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| December 31, 2013 |
LIME ENERGY CO. PREFERRED STOCK AND WARRANT PURCHASE AGREEMENT Exhibit 10.1 LIME ENERGY CO. PREFERRED STOCK AND WARRANT PURCHASE AGREEMENT This Preferred Stock And Warrant Purchase Agreement (this “Agreement”) is dated and effective as of December 30, 2013, by and among Lime Energy Co., a Delaware corporation (the “Company”), and the investors listed on Schedule 2.2 of this Agreement (each, a “Purchaser” and collectively, the “Purchasers”). Recitals A. The Co |
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| December 31, 2013 |
Exhibit 4.1 Schedule Prepared in Accordance with Instruction 2 to Item 601 of Regulation S-K The Warrants dated December 30, 2013 are substantially identical in all material respects except as to the holder and the number of shares for which the Warrants may be exercised. Holder Underlying Common Shares Richard P. Kiphart 282,686 The John Hurvis Revocable Trust 282,686 WARRANT NEITHER THIS WARRANT |
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| December 18, 2013 |
As filed with the Securities and Exchange Commission on December 18, 2013 Registration No. |
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| December 18, 2013 |
LIME ENERGY CO. 2013 EMPLOYEE STOCK PURCHASE PLAN EX-99.1 4 a13-265231ex99d1.htm EX-99.1 Exhibit 99.1 LIME ENERGY CO. 2013 EMPLOYEE STOCK PURCHASE PLAN The following constitutes the provisions of the 2013 Employee Stock Purchase Plan of Lime Energy Co., as established effective December 3, 2013. 1. PURPOSE. The purpose of the Plan is to provide employees of the Company and its Affiliates with an opportunity to purchase Common Stock of the Company |
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| December 4, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 (Date of earliest event reported): December 3, 2013 LIME ENERGY CO. (Exact name of registrant as specified in its charter) DELAWARE 001-16265 36-4197337 (State or other jurisdiction of incorporation) (Commission File #) (IRS Employer |
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| November 26, 2013 |
Lime Energy Board Makes Change at Chief Executive Officer Exhibit 99.1 Lime Energy Board Makes Change at Chief Executive Officer Huntersville, North Carolina, November 26, 2013 — Lime Energy Co. (NASDAQ: LIME), the nation’s leading provider of energy efficiency for small businesses, announced today that on November 25, 2013, its Board of Directors (the “Board”) terminated the employment of John O’Rourke, the Company’s Chief Executive Officer and simultan |
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| November 26, 2013 |
Exhibit 10.1 EMPLOYMENT AGREEMENT This Employment Agreement (“Agreement”) is entered into as of March 7, 2009, between Applied Energy Management Energy Consulting, LLC, a North Carolina limited liability company (the “Company”) and Adam Procell (the “Employee”). WHEREAS, the Company and the Employee knowingly and voluntarily desire to enter into an employment relationship on and subject to the ter |
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| November 26, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 (Date of earliest event reported): November 25, 2013 LIME ENERGY CO. (Exact name of registrant as specified in its charter) DELAWARE (State or other jurisdiction of incorporation or organization 001-16265 (Commission File #) 36-41973 |
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| November 19, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (RULE 14a-101) SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (a |
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| November 14, 2013 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 (Date of earliest event reported): November 14, 2013 LIME ENERGY CO. (Exact name of registrant as specified in its charter) DELAWARE 001-16265 36-4197337 (State or other jurisdiction of incorporation or organization (Commission File |
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| November 14, 2013 |
Lime Energy Co. Reports Results for Three-Month and Nine-Month Periods Ended September 30, 2013 Exhibit 99.1 Lime Energy Co. Reports Results for Three-Month and Nine-Month Periods Ended September 30, 2013 HUNTERSVILLE, NC, November 14, 2013—Lime Energy Co. (NASDAQ: LIME), a leader in designing and implementing energy efficiency programs for utilities, today announced its results for the three-month and nine-month periods ended September 30, 2013. “We are very pleased with the continued growt |
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| November 12, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 (Date of earliest event reported): November 12, 2013 LIME ENERGY CO. (Exact name of registrant as specified in its charter) DELAWARE 001-16265 36-4197337 (State or other jurisdiction of incorporation or organization (Commission File |
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| November 8, 2013 |
Regulation FD Disclosure, Financial Statements and Exhibits - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 (Date of earliest event reported): November 6, 2013 LIME ENERGY CO. (Exact name of registrant as specified in its charter) DELAWARE 001-16265 36-4197337 (State or other jurisdiction of incorporation or organization (Commission File # |
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| November 8, 2013 |
LIME ENERGY SELLS MECHANICAL SERVICE BUSINESS TO WORTH & COMPANY, INC. Exhibit 99.1 LIME ENERGY SELLS MECHANICAL SERVICE BUSINESS TO WORTH & COMPANY, INC. Huntersville, N.C. — November 6, 2013 — Lime Energy (NASDAQ: LIME) today announced that it has sold the assets of Landmark Service Company, LLC, to Worth & Company, Inc. Landmark Service focuses on providing mechanical servicing to commercial and industrial customers in Pennsylvania and surrounding regions. Worth i |
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| November 6, 2013 |
PROMISSORY NOTE Up to $3,300,000 November 1, 2013 Exhibit 2.2 PROMISSORY NOTE Up to $3,300,000 November 1, 2013 Lime Energy Asset Development, LLC 16810 Kenton Drive Suite 240 Huntersville, NC 28078 Attn: John O’Rourke and Larry Ostema (“Obligor”) Green Gas Americas, Inc. 4251 SW High Meadow Avenue Palm City, Florida 34990 Attn: Duncan Cox (“Payee”) Whereas, Payee has purchased from Obligor all of the membership interests of GES-Port Charlotte, L |
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| November 6, 2013 |
Exhibit 2.1 MEMBERSHIP INTEREST PURCHASE AGREEMENT by and between LIME ENERGY ASSET DEVELOPMENT, LLC, as Seller and GREEN GAS AMERICAS, INC., as Buyer Dated as of November 1, 2013 TABLE OF CONTENTS Page ARTICLE 1 DEFINITIONS AND CONSTRUCTION 1 1.1 Specific Definitions 1 1.2 Construction 10 ARTICLE 2 PURCHASE AND SALE OF MEMBERSHIP INTERESTS 11 2.1 Purchase and Sale 11 2.2 Purchase Price and Closin |
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| November 6, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 (Date of earliest event reported): November 1, 2013 LIME ENERGY CO. (Exact name of registrant as specified in its charter) DELAWARE 001-16265 36-4197337 (State or other jurisdiction of incorporation or organization (Commission File # |
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| November 6, 2013 |
GREEN GAS AMERICAS INC. ACQUIRES LANDFILL-GAS-TO ENERGY PROJECT FROM LIME ENERGY Exhibit 99.1 GREEN GAS AMERICAS INC. ACQUIRES LANDFILL-GAS-TO ENERGY PROJECT FROM LIME ENERGY Huntersville, N.C. and Palm City, FL.— November 4, 2013 — Lime Energy (NASDAQ: LIME) and Green Gas Americas, Inc., today announced that Green Gas has acquired Lime Energy’s 2.8 MW landfill-gas-to-energy project located in Charlotte County, Florida, through the acquisition of Lime Energy’s subsidiary, GES- |
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| October 29, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 (Date of earliest event reported): October 28, 2013 LIME ENERGY CO. (Exact name of registrant as specified in its charter) DELAWARE 001-16265 36-4197337 (State or other jurisdiction of incorporation or organization (Commission File # |
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| October 29, 2013 |
Lime Energy Regains Compliance with NASDAQ Requirements for Continued Listing Exhibit 99.1 Lime Energy Regains Compliance with NASDAQ Requirements for Continued Listing Huntersville, NC — October 29, 2013 — Lime Energy Co. (NASDAQ: LIME) (the “Company”) today announced that on October 28, 2013, it received notice from the NASDAQ Hearing Panel (the “Panel”) informing it that the Panel had determined that the Company was in compliance with all its requirements for continued l |
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| October 28, 2013 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (RULE 14a-101) SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the |
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| October 21, 2013 |
LIME / Lime Energy Co. / Hurvis John Thomas - SC 13D Activist Investment SC 13D United States Securities and Exchange Commission Washington, D.C. 20549 Schedule 13D Under the Securities Exchange Act of 1934 (Amendment No. )* Lime Energy Co. (Name of Issuer) Common Stock $0.0001 par value (Title of Class of Securities) 53261U304 (CUSIP Number) Bryon C. Stanislaw Chief Investment Officer The Hurvis Group, LLC 4065 Commercial Ave. Northbrook, IL 60062 Phone (847) 559-2031 |
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| October 17, 2013 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (RULE 14a-101) SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: x Preliminary Proxy Statement o Confidential, for Use of the |
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| October 10, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 (Date of earliest event reported): October 10, 2013 LIME ENERGY CO. (Exact name of registrant as specified in its charter) DELAWARE 001-16265 36-4197337 (State or other jurisdiction of incorporation or organization (Commission File # |
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| October 10, 2013 |
Lime Energy Co. CERTIFICATE OF AMENDMENT FIRST RESTATED CERTIFICATE OF INCORPORATION Exhibit 3.1 Lime Energy Co. CERTIFICATE OF AMENDMENT OF FIRST RESTATED CERTIFICATE OF INCORPORATION Lime Energy Co., a corporation organized and existing under and by virtue of the provisions of the General Corporation Law of the State of Delaware (the “Corporation”), does hereby certify as follows: FIRST: Article 4 of the Corporation’s Certificate of Incorporation shall be amended by adding the f |
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| October 10, 2013 |
Lime Energy Files Certificate of Amendment to Effect 1 for 7 Reverse Split Exhibit 99.1 Lime Energy Files Certificate of Amendment to Effect 1 for 7 Reverse Split Huntersville, NC, October 10, 2013 — Lime Energy Co. (NASDAQ: LIME), a leading provider of energy efficiency for small businesses, announced today that it has filed a Certificate of Amendment to its Restated Certificate of Incorporation (the “Certificate of Amendment”), with the Secretary of State of the State |
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| September 27, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 (Date of earliest event reported): September 23, 2013 LIME ENERGY CO. (Exact name of registrant as specified in its charter) DELAWARE 001-16265 36-4197337 (State or other jurisdiction of incorporation) (Commission File #) (IRS Employ |
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| September 27, 2013 |
EX-10.1 2 a13-213961ex10d1.htm EX-10.1 Exhibit 10.1 EMPLOYMENT AGREEMENT This Employment Agreement (“Agreement”) is entered into as of March 7, 2009, between Applied Energy Management Energy Consulting, LLC, a North Carolina limited liability company (the “Company”) and Adam Procell (the “Employee”). WHEREAS, the Company and the Employee knowingly and voluntarily desire to enter into an employment |
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| September 27, 2013 |
Lime Energy Names Adam Procell President and Chief Operating Officer Exhibit 99.1 Lime Energy Names Adam Procell President and Chief Operating Officer Huntersville, North Carolina, September 26, 2013 — Lime Energy Co. (NASDAQ: LIME), the nation’s leading provider of energy efficiency for small businesses, announced today the promotion of Adam Procell to President and Chief Operating Officer. He will report to John O’Rourke, Lime’s Chief Executive Officer. Mr. Proce |
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| September 23, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 (Date of earliest event reported): September 23, 2013 LIME ENERGY CO. Exact name of registrant as specified in its charter) DELAWARE (State or other jurisdiction of incorporation or organization 001-16265 (Commission File #) 36-41973 |
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| September 23, 2013 |
Exhibit 3.1 CERTIFICATE OF DESIGNATION OF LIME ENERGY CO. (Pursuant to Section 151 of the General Corporation Law of the State of Delaware) The undersigned, Chief Financial Officer of Lime Energy Co., a Delaware corporation (the “Corporation”), hereby certifies that pursuant to authority granted to and vested in the Board of Directors (the “Board of Directors”) of the Corporation by the provisions |
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| September 23, 2013 |
LIME ENERGY CO. WARRANT TO PURCHASE COMMON STOCK Exhibit 4.1 Schedule Prepared in Accordance with Instruction 2 to Item 601 of Regulation S-K The Warrants dated October 22, 2012 are substantially identical in all material respects except as to the holder and the number of shares for which the Warrants may be exercised. Holder Underlying Common Shares Richard P. Kiphart 1,481,481 The John Hurvis Revocable Trust 370,370 WARRANT NEITHER THIS WARRAN |
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| September 23, 2013 |
LIME ENERGY CO. PREFERRED STOCK AND WARRANT PURCHASE AGREEMENT Exhibit 10.1 LIME ENERGY CO. PREFERRED STOCK AND WARRANT PURCHASE AGREEMENT This Preferred Stock And Warrant Purchase Agreement (this “Agreement”) is dated and effective as of September 23, 2013, by and among Lime Energy Co., a Delaware corporation (the “Company”), and the investors listed on Schedule 2.2 of this Agreement (each, a “Purchaser” and collectively, the “Purchasers”). Recitals A. The C |
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| September 20, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14C INFORMATION Proxy Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 (Amendment No. ) Check the appropriate box: o Preliminary Information Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14c-5(d)(2)) x Definitive Information Statement LIME ENERGY CO. (Name of |
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| September 10, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14C INFORMATION Proxy Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 (Amendment No. ) Check the appropriate box: x Preliminary Information Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14c-5(d)(2)) o Definitive Information Statement LIME ENERGY CO. (Name of |
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| August 30, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 (Date of earliest event reported): August 27, 2013 LIME ENERGY CO. (Exact name of registrant as specified in its charter) DELAWARE 001-16265 36-4197337 (State or other jurisdiction of incorporation or organization (Commission File #) |
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| August 23, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 (Date of earliest event reported): August 19, 2013 LIME ENERGY CO. (Exact name of registrant as specified in its charter) DELAWARE 001-16265 36-4197337 (State or other jurisdiction of incorporation or organization (Commission File #) |
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| August 19, 2013 |
Lime Energy Co. Reports Results for Three-Month and Six-Month Periods Ended June 30, 2013 EX-99.1 2 a13-189361ex99d1.htm EX-99.1 Exhibit 99.1 Lime Energy Co. Reports Results for Three-Month and Six-Month Periods Ended June 30, 2013 HUNTERSVILLE, NC, August 19, 2013—Lime Energy Co. (NASDAQ: LIME), a leader in designing and implementing energy efficiency programs for utilities, today announced its results for the three-month and six-month periods ended June 30, 2013. “Results for the qua |
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| August 19, 2013 |
Financial Statements and Exhibits, Results of Operations and Financial Condition - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 (Date of earliest event reported): August 19, 2013 LIME ENERGY CO. (Exact name of registrant as specified in its charter) DELAWARE 001-16265 36-4197337 (State or other jurisdiction of incorporation or organization (Commission File #) |
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| August 15, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING Commission File Number 001-16265 (Check one): o Form 10-K o Form 20-F o Form 11-K x Form 10-Q o Form 10-D o Form N-SAR o Form N-CSR For Period Ended: June 30, 2013 o Transition Report on Form 10-K o Transition Report on Form 20-F o Transition Report on Form 11-K o Transition Report on Fo |
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| August 9, 2013 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 (Date of earliest event reported): August 9, 2013 LIME ENERGY CO. (Exact name of registrant as specified in its charter) DELAWARE 001-16265 36-4197337 (State or other jurisdiction of incorporation or organization (Commission File #) |
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| August 9, 2013 |
Lime Energy Co. Reports Results for Three-Month Period Ended March 31, 2013 Exhibit 99.1 Lime Energy Co. Reports Results for Three-Month Period Ended March 31, 2013 HUNTERSVILLE, NC, August 9, 2013—Lime Energy Co. (NASDAQ: LIME), a leader in designing and implementing energy efficiency programs for utilities, today announced its results for the three-month period ended March 31, 2013. “As we continue to execute against our business initiatives we are realizing improved fi |
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| July 31, 2013 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 (Date of earliest event reported): July 31, 2013 LIME ENERGY CO. (Exact name of registrant as specified in its charter) DELAWARE 001-16265 36-4197337 (State or other jurisdiction of incorporation or organization (Commission File #) ( |
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| July 31, 2013 |
Exhibit 99.1 Lime Energy Co. Files 2012 Annual Report on Form 10-K and Quarterly Report on Form 10-Q for the Period Ended September 30, 2012 HUNTERSVILLE, NC, July 31, 2013 - Lime Energy Co. (NASDAQ: LIME) today will file its Annual Report on Form 10-K for the year ended December 31, 2012 (the “10-K”), and its Quarterly Report on Form 10-Q (the “10-Q”) for the period ended September 30, 2012. The |
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| July 31, 2013 |
As filed with the Securities and Exchange Commission on July 31, 2013 Registration No. |
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| July 31, 2013 |
Exhibit 99.2 John O’Rourke: Thank you and good afternoon everyone. I will begin by conveying our sincere thanks to investors, employees, and supply chain partners, as well as to our utility clients for their patience and continued commitment to our partnerships throughout the special committee investigation and restatement process. Lime Energy has turned a corner today. The restatement of our fisc |
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| July 5, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 (Date of earliest event reported): July 2, 2013 LIME ENERGY CO. (Exact name of registrant as specified in its charter) DELAWARE 001-16265 36-4197337 (State or other jurisdiction of incorporation or organization (Commission File #) (I |
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| July 3, 2013 |
Regulation FD Disclosure, Financial Statements and Exhibits - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 (Date of earliest event reported): July 2, 2013 LIME ENERGY CO. (Exact name of registrant as specified in its charter) DELAWARE 001-16265 36-4197337 (State or other jurisdiction of incorporation or organization (Commission File #) (I |
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| July 3, 2013 |
NASDAQ Grants Lime Energy’s Request for Revised Filing Schedule Exhibit 99.1 NASDAQ Grants Lime Energy’s Request for Revised Filing Schedule Huntersville, NC — July 2nd, 2013 — On July 2, 2013, Lime Energy Co. (the “Company”) announced that the NASDAQ Hearings Panel (the “Panel”) granted the Company’s request to modify the conditions of the Panel’s March 6, 2013 decision to allow the continued listing of the Company’s common stock on the NASDAQ Stock Market no |
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| June 27, 2013 |
Regulation FD Disclosure, Financial Statements and Exhibits - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 (Date of earliest event reported): June 26, 2013 LIME ENERGY CO. (Exact name of registrant as specified in its charter) DELAWARE 001-16265 36-4197337 (State or other jurisdiction of incorporation or organization (Commission File #) ( |
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| June 27, 2013 |
Lime Energy Co. Announces Revised Filing Schedule Exhibit 99.1 Lime Energy Co. Announces Revised Filing Schedule Huntersville, NC — June 26, 2013 — Lime Energy Co. (NASDAQ: LIME) (the “Company”) today announced a revised schedule for filing its delinquent periodic reports and its restatement of the years ended December 31, 2008, December 31, 2009, December 3, 2010 and December 31, 2011 and the quarter ended March 31, 2012 (the “Affected Periods”) |
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| May 28, 2013 |
Lime Energy Co. Receives NASDAQ Notice Regarding Delinquent Filing of Quarterly Report Exhibit 99.1 Lime Energy Co. Receives NASDAQ Notice Regarding Delinquent Filing of Quarterly Report Huntersville, NC — May 28, 2013 — Lime Energy Co. (NASDAQ: LIME) (the “Company”) today announced that on May 22, 2013, it received a letter from The NASDAQ Stock Market LLC (“NASDAQ”) notifying it that it was not in compliance with NASDAQ Listing Rule 5250(c)(1) because it had not yet filed its Quar |
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| May 28, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 (Date of earliest event reported): May 22, 2013 LIME ENERGY CO. (Exact name of registrant as specified in its charter) DELAWARE (State or other jurisdiction of incorporation or organization 001-16265 (Commission File #) 36-4197337 (I |
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| May 16, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING Commission File Number 001-16265 (Check one): o Form 10-K o Form 20-F o Form 11-K x Form 10-Q o Form 10-D o Form N-SAR o Form N-CSR For Period Ended: March 31, 2013 o Transition Report on Form 10-K o Transition Report on Form 20-F o Transition Report on Form 11-K o Transition Report on F |
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| April 23, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 (Date of earliest event reported): April 17, 2013 LIME ENERGY CO. (Exact name of registrant as specified in its charter) DELAWARE (State or other jurisdiction of incorporation or organization 001-16265 (Commission File #) 36-4197337 |
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| April 23, 2013 |
Lime Energy Co. Receives NASDAQ Notice Regarding Delinquent Form 10-K Filing Exhibit 99.1 Lime Energy Co. Receives NASDAQ Notice Regarding Delinquent Form 10-K Filing Huntersville, NC — April 22, 2013 — Lime Energy Co. (NASDAQ: LIME) (the “Company”) today announced that on April 17, 2013, it received a letter from The NASDAQ Stock Market LLC (“NASDAQ”) notifying it that it was not in compliance with NASDAQ Listing Rule 5250(c)(1) because it had not yet filed its Annual Rep |
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| April 2, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING Commission File Number 001-16265 (Check one): x Form 10-K o Form 20-F o Form 11-K o Form 10-Q o Form 10-D o Form N-SAR o Form N-CSR For Period Ended: December 31, 2012 o Transition Report on Form 10-K o Transition Report on Form 20-F o Transition Report on Form 11-K o Transition Report o |
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| March 7, 2013 |
Lime Energy Receives Additional Time To Comply With Minimum Bid Price Requirement Exhibit 99.2 Lime Energy Receives Additional Time To Comply With Minimum Bid Price Requirement Huntersville, NC, March 4th, 2013 — Lime Energy Co. (NASDAQ: LIME) today announced that, On March 1, 2013, Lime Energy Co. (NASDAQ: LIME ) (the “Company”) received a second compliance notice from The NASDAQ Stock Market (“NASDAQ”) Market indicating that it has not regained compliance with the minimum bid |
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| March 7, 2013 |
Hearings Panel Decision to Allow Continued Listing of Lime Energy’s Common Stock Exhibit 99.1 Hearings Panel Decision to Allow Continued Listing of Lime Energy’s Common Stock Huntersville, NC, March 6, 2013 — Lime Energy Co. (NASDAQ: LIME) (the “Company”) today announced that, on March 6, 2013, it received a letter from The NASDAQ Stock Market LLC (“NASDAQ”) notifying the Company that a NASDAQ Listing Qualifications Panel (the “Panel”) granted the Company’s request for continu |
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| March 7, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 (Date of earliest event reported): March 1, 2013 LIME ENERGY CO. (Exact name of registrant as specified in its charter) DELAWARE 001-16265 36-4197337 (State or other jurisdiction of incorporation or organization (Commission File #) ( |
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| March 1, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 (Date of earliest event reported): February 28, 2013 LIME ENERGY CO. (Exact name of registrant as specified in its charter) DELAWARE (State or other jurisdiction of incorporation or organization 001-16265 (Commission File #) 36-41973 |
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| March 1, 2013 |
EX-2.1 2 a13-63561ex2d1.htm EX-2.1 EXHIBIT 2.1 ASSET PURCHASE AND SALE AGREEMENT By And Among LIME ENERGY SERVICES CO. As Seller, LIME ENERGY CO. - And - POWERSECURE, INC. As Purchaser Dated: February 28, 2013 TABLE OF CONTENTS Section 1. Purchase and Sale of the Assets 1 Section 1.1 Purchase and Sale 1 Section 1.2 Excluded Assets 4 Section 1.3 Liabilities 5 Section 1.4 Accounts Receivable 8 Secti |
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| March 1, 2013 |
Exhibit 99.1 Lime Energy Sells ESCO Services Business Unit to PowerSecure Focusing on Next-Generation Utility Energy Efficiency Programs March 1st, 2013: Huntersville, NC: Lime Energy Co. (NASDAQ: LIME) announced today that Lime has sold certain assets of its wholly owned subsidiary, Lime Energy Service Company, constituting its energy service companies (ESCO) subcontracting business to PowerSecur |
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| January 31, 2013 |
Lime Energy Receives NASDAQ Extended Stay EX-99.1 2 a13-40581ex99d1.htm EX-99.1 Exhibit 99.1 Lime Energy Receives NASDAQ Extended Stay Huntersville, NC, January 30, 2013 — Lime Energy Co. (NASDAQ: LIME) today announced that, by letter dated January 30, 2013, the NASDAQ Listing Qualifications Hearings Panel (the “Panel”) has granted the Company’s request to extend the stay of suspension of trading in the Company’s common stock pending comp |
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| January 31, 2013 |
Regulation FD Disclosure, Financial Statements and Exhibits - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 (Date of earliest event reported): January 30, 2013 LIME ENERGY CO. (Exact name of registrant as specified in its charter) DELAWARE (State or other jurisdiction of incorporation or organization 001-16265 (Commission File #) 36-419733 |
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| January 15, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 (Date of earliest event reported): January 9, 2013 LIME ENERGY CO. (Exact name of registrant as specified in its charter) DELAWARE 001-16265 36-4197337 (State or other jurisdiction of incorporation or organization (Commission File #) |
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| January 15, 2013 |
Lime Energy Receives NASDAQ Notification Letter Exhibit 99.1 Lime Energy Receives NASDAQ Notification Letter Huntersville, NC, January 14, 2013 — Lime Energy Co. (NASDAQ: LIME) today announced that that on January 9, 2012 it received a determination letter from the Listing Qualifications Department of The Nasdaq Stock Market LLC (“Nasdaq”). The letter advises that because the Company remains noncompliant with the filing requirements for continu |
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| December 28, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 (Date of earliest event reported): December 21, 2012 LIME ENERGY CO. (Exact name of registrant as specified in its charter) DELAWARE 001-16265 36-4197337 (State or other jurisdiction of (Commission File #) (IRS Employer Identificatio |
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| December 28, 2012 |
Lime Energy Announces Expansion of Internal Review Exhibit 99.1 Lime Energy Announces Expansion of Internal Review Huntersville, NC, December 27, 2012 — Lime Energy Co. (NASDAQ: LIME) today announced that on December 21, 2012, the Audit Committee of the Board of Directors of Lime Energy Co. (the “Company”) determined that the Company’s consolidated financial statements on Form 10-K for the years ended December 31, 2008 and December 31, 2009 (the “ |
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| December 12, 2012 |
Exhibit 10.1 LETTER OF CREDIT AGREEMENT This Letter of Credit Agreement (this “Agreement”) is made as of December 7, 2012, between Lime Energy Co., a Delaware corporation (“Lime”) and Richard P. Kiphart (“Guarantor”). Recitals A. Lime is in need of letters of credit (“Letters of Credit”) guaranteeing certain future liabilities of Lime to construction surety bonding companies (each a “Bonding Compa |
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| December 12, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 (Date of earliest event reported): December 7, 2012 LIME ENERGY CO. (Exact name of registrant as specified in its charter) DELAWARE 001-16265 36-4197337 (State or other jurisdiction of incorporation or organization (Commission File # |
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| December 12, 2012 |
LIME ENERGY CO. WARRANT TO PURCHASE COMMON STOCK Exhibit 4.1 WARRANT NEITHER THIS WARRANT NOR THE SECURITIES INTO WHICH THIS WARRANT IS EXERCISABLE HAVE BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR APPLICABLE STATE SECURITIES LAWS. THE SECURITIES MAY NOT BE OFFERED FOR SALE, SOLD, TRANSFERRED OR ASSIGNED (I) IN THE ABSENCE OF (A) AN EFFECTIVE REGISTRATION STATEMENT FOR THE SECURITIES UNDER THE SECURITIES ACT OF 1933, AS AMEND |
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| November 26, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 (Date of earliest event reported): November 19, 2012 LIME ENERGY CO. (Exact name of registrant as specified in its charter) DELAWARE (State or other jurisdiction of incorporation or organization 001-16265 (Commission File #) 36-41973 |
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| November 26, 2012 |
Lime Energy Co. Receives NASDAQ Notice Regarding Late Form 10-Q Filing Exhibit 99.1 Lime Energy Co. Receives NASDAQ Notice Regarding Late Form 10-Q Filing Huntersville, NC — November 26, 2012 — Lime Energy Co. (NASDAQ: LIME) today announced that the filing of its Quarterly Report on Form 10-Q for the quarter ended September 30, 2012 (the “Form 10-Q”) has been delayed because of its previously disclosed internal investigation of its recording of certain revenue and it |
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| November 19, 2012 |
Benjamin M. Alexander D: 310.201.7522 F: 310.201.2313 [email protected] File Number: 52547.00003 November 19, 2012 FILED BY EDGAR Mr. John Cash Accounting Branch Chief U.S. Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Re: Lime Energy Co. Form 10-K For The Fiscal Year Ended December 31, 2011 Filed March 16, 2012 File No. 1-16265 Dear Mr. Cash: On behalf of |
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| November 15, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING (Check one): o Form 10-K o Form 20-F o Form 11-K x Form 10-Q o Form 10-D o Form N-SAR o Form N-CSR For Period Ended: September 30, 2012 o Transition Report on Form 10-K o Transition Report on Form 20-F o Transition Report on Form 11-K o Transition Report on Form 10-Q o Transition Report |
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| October 23, 2012 |
Exhibit 10.4 COLLATERAL AGENCY AGREEMENT This Collateral Agency Agreement (this “Agreement”), dated as of October 22, 2012, is made among each of the Purchasers listed on the signature pages hereto (each a “Purchaser” and, collectively, the “Purchasers”) and Richard P. Kiphart, as collateral agent for the Purchasers (in such capacity, the “Collateral Agent”). RECITALS A. The Purchasers and Lime En |
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| October 23, 2012 |
Exhibit 10.3 SECURITY AGREEMENT THIS SECURITY AGREEMENT (this “Agreement”), dated as of October 22, 2012, is made between Lime Energy Co., a Delaware corporation (“Debtor”), and Richard P. Kiphart, as collateral agent for the Purchasers (in such capacity, “Secured Party”). RECITALS A. Debtor is a party to that certain Convertible Note and Warrant Purchase Agreement, dated as of October 22, 2012 (t |
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| October 23, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 (Date of earliest event reported): October 22, 2012 LIME ENERGY CO. (Exact name of registrant as specified in its charter) DELAWARE 001-16265 36-4197337 (State or other jurisdiction of incorporation) (Commission File #) (IRS Employer |
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| October 23, 2012 |
Exhibit 10.2 Schedule Prepared in Accordance with Instruction 2 to Item 601 of Regulation S-K The 2012 Subordinated Secured Convertible Pay-In-Kind Notes due October 22, 2017 dated October 22, 2012 are substantially identical in all material respects except as to the noteholder and the principal amount. Holder Principal Amount Richard Kiphart $ 2,500,000 John Thomas Hurvis Revocable Trust $ 2,500, |
