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Documents (2):
rrd323820.xml
SEC FORM
4
SEC Form 4
| FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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| OMB APPROVAL |
| OMB Number: |
3235-0287 |
| Estimated average burden |
| hours per response: |
0.5 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
Abtech Holdings, Inc.
[ ABHD ]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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Director |
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10% Owner |
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Officer (give title below) |
X |
Other (specify below) |
| former 10% Owner |
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3. Date of Earliest Transaction
(Month/Day/Year) 10/06/2011
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4. If Amendment, Date of Original Filed
(Month/Day/Year)
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Form filed by One Reporting Person |
| X |
Form filed by More than One Reporting Person |
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| Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned |
| 1. Title of Security (Instr.
3)
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2. Transaction Date
(Month/Day/Year) |
2A. Deemed Execution Date, if any
(Month/Day/Year) |
3. Transaction Code (Instr.
8)
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4. Securities Acquired (A) or Disposed Of (D) (Instr.
3, 4 and 5)
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5.
Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr.
3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr.
4)
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7. Nature of Indirect Beneficial Ownership (Instr.
4)
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| Code |
V |
Amount |
(A) or (D) |
Price |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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| 1. Title of Derivative Security (Instr.
3)
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2. Conversion or Exercise Price of Derivative Security
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3. Transaction Date
(Month/Day/Year) |
3A. Deemed Execution Date, if any
(Month/Day/Year) |
4. Transaction Code (Instr.
8)
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5.
Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr.
3, 4 and 5)
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6. Date Exercisable and Expiration Date
(Month/Day/Year) |
7. Title and Amount of Securities Underlying Derivative Security (Instr.
3 and 4)
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8. Price of Derivative Security (Instr.
5)
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9.
Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr.
4)
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10. Ownership Form: Direct (D) or Indirect (I) (Instr.
4)
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11. Nature of Indirect Beneficial Ownership (Instr.
4)
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| Code |
V |
(A) |
(D) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
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Warrant to Purchase Series A Preferred Stock of Subsidiary
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$3.75
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10/06/2011 |
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J
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974,252 |
10/06/2006 |
10/06/2011 |
Common Stock of Issuer |
974,252 |
$3.75
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3,698,560 |
I |
Warrant owner
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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| Explanation of Responses: |
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/s/ David A. Magers, Chief Financial Officer, COUNTRY Life Insurance Company |
10/14/2011 |
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/s/ David A. Magers, Chief Financial Officer, COUNTRY Mutual Insurance Company |
10/14/2011 |
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** Signature of Reporting Person |
Date |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
| * If the form is filed by more than one reporting person,
see
Instruction
4
(b)(v). |
| ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure. |
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |
rrd290197_327534.htm
rrd290197_327534.html
Exhibit 99.1 ------------
Statement Relating to the Filing of Joint Report of Change 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 4. 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: October 14, 2011 COUNTRY MUTUAL INSURANCE COMPANY By: David A. Magers, Chief Financial Officer By: /s/ David A. Magers ------------------- COUNTRY LIFE INSURANCE COMPANY
By: David A. Magers, Chief Financial Officer By: /s/ David A. Magers -------------------
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