COUNTRY Mutual Insurance Co SEC Form 3/A Filed March 28, 2011 Last Updated February 10, 2021 at 6:45 PM EST
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SEC FORM 3/A SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0104
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hours per response: 0.5
1. Name and Address of Reporting Person*
COUNTRY LIFE INSURANCE CO

(Last) (First) (Middle)
1701 N TOWANDA AVENUE

(Street)
BLOOMINGTON IL 61701

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
02/10/2011
3. Issuer Name and Ticker or Trading Symbol
Abtech Holdings, Inc. [ ABHD ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director X 10% Owner
Officer (give title below) Other (specify below)
5. If Amendment, Date of Original Filed (Month/Day/Year)
03/14/2011
6. Individual or Joint/Group Filing (Check Applicable Line)
Form filed by One Reporting Person
X Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Series A Preferred Stock of Issuer's subsidiary AbTech Ind 10/06/2006 10/06/2011 Common Stock of the Issuer 3,263,197 0(3) D
Warrant to Purchase Series A Pref. Stock of Sub. 10/06/2006 10/06/2011 Common Stock 974,252 0.7045 D
Warrant to Purchase Series A Pref. Stock of Sub. 06/26/2009 (1) Common Stock of the Issuer 236,610 0.7045 D
Warrant to Purchase Common Stock of the Sub 12/29/2009 12/29/2014 Common Stock of the Issuer 198,753 0.7045 D
Note dated June 26, 2009 convertible to Series A 06/26/2009 (2) Common Stock of the Issuer 709,838 0.7045 D
1. Name and Address of Reporting Person*
COUNTRY LIFE INSURANCE CO

(Last) (First) (Middle)
1701 N TOWANDA AVENUE

(Street)
BLOOMINGTON IL 61701

(City) (State) (Zip)
1. Name and Address of Reporting Person*
COUNTRY Mutual Insurance Co

(Last) (First) (Middle)
1701 N TOWANDA AVENUE

(Street)
BLOOMINGTON IL 61701

(City) (State) (Zip)
Explanation of Responses:
1. Expires five years from the date that the 2009 Senior Promissory Note dated June 26, 2009, held by Reporting Persons, matures or is converted into shares of Series A Preferred Stock.
2. Expiration date is not specified in the note.
3. Conversion is at ratio of 1:5.323783238 without payment of additional consideration.
/s/ David A. Magers, Executive Vice President/Chief Financial Officer, COUNTRY Mutual Insurance Company and COUNTRY Life Insurance Company 03/28/2011
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.

EXHIBIT 99.1

rrd274587_310401.html


                                                             Exhibit 99.1
                                                             ------------

    Statement Relating to the Filing of Joint Initial Report of Beneficial
      Ownership of Securities Pursuant to Rules 16a-1(a)(4) and 16a-3(j)
      ------------------------------------------------------------------

       The Reporting Persons, COUNTRY Mutual Insurance Company and
   COUNTRY Life Insurance Company, are affiliated insurance companies
   that jointly own investments in the subsidiary (AbTech Industries,
   Inc.) of the Issuer (AbTech Holdings, Inc.) as reflected in the
   attached SEC Form 3/A. The Reporting Persons maintain offices at 1701
   N Towanda Avenue, Bloomington, Illinois 61701. Pursuant to Rule
   16a-1(a)(4), this report shall not be deemed to be an admission that
   the Reporting Persons are the beneficial owners of securities of the
   Issuer. The Reporting Persons file this joint report in accordance
   with Rules 16a-1(a)(4) and 16a-3(j).

   Dated: March 28, 2011

   COUNTRY MUTUAL INSURANCE COMPANY

       By: David A. Magers, Executive Vice President and Chief
             Financial Officer

                  By: /s/ David A. Magers
                      -------------------

   COUNTRY LIFE INSURANCE COMPANY

       By: David A. Magers, Executive Vice President and Chief
             Financial Officer

                  By: /s/ David A. Magers
                      -------------------

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