ENOC » Topics » Item 9.01. Financial Statements and Exhibits.

This excerpt taken from the ENOC 8-K filed Aug 6, 2009.

Item 9.01.             Financial Statements and Exhibits.

 

(d)           The following exhibits are filed with this report:

 

Exhibit

 

 

Number

 

Description

 

 

 

1.1

 

Underwriting Agreement by and among the Company, the Underwriters and the Selling Stockholders, dated August 5, 2009.

5.1

 

Opinion of Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C. regarding the validity of the Common Stock being offered.

23.1

 

Consent of Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C. (included in Exhibit 5.1).

99.1

 

Press release issued by the Company on August 6, 2009.

 

1



 

SIGNATURES

 

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

 

ENERNOC, INC.

 

 

 

 

Date: August 6, 2009

By:

/s/ Timothy G. Healy

 

Name:

Timothy G. Healy

 

Title:

Chairman and Chief Executive Officer

 

 

(Principal Executive Officer)

 

2


This excerpt taken from the ENOC 8-K filed May 6, 2009.
Financial Statements and Exhibits.

 

(d)           Exhibits

 

The following exhibit relating to Item 2.02 shall be deemed to be furnished, and not filed:

 

99.1         Press release issued by the Company on May 6, 2009.

 

1



 

This excerpt taken from the ENOC 8-K filed Jan 26, 2009.

Item 9.01. Financial Statements and Exhibits

 

 (d)  Exhibits

 

Exhibit No.

 

Description of Exhibit

10.1@

 

Form of Executive Non-Qualified Stock Option Agreement for Exchanged Option Grants under the EnerNOC, Inc. 2007 Employee, Director and Consultant Stock Plan for January 21, 2009 grants.

 


@ Management contract, compensatory plan or arrangement.

 

2



 

EXHIBIT INDEX

 

Exhibit Number

 

Description

10.1@

 

Form of Executive Non-Qualified Stock Option Agreement for Exchanged Option Grants under the EnerNOC, Inc. 2007 Employee, Director and Consultant Stock Plan for January 21, 2009 grants.

 


@ Management contract, compensatory plan or arrangement.

 

3



 

SIGNATURES

 

Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned, hereunto duly authorized.

 

 

 

 

ENERNOC, INC.

 

 

 

 

 

 

 

 

 

Date: January 26, 2009

 

 

By:

/s/ Neal C. Isaacson

 

 

 

Name:

Neal C. Isaacson

 

 

 

Title:

Chief Financial Officer

 

 

 

 

(Principal Financial Officer)

 

4


This excerpt taken from the ENOC 8-K filed Aug 20, 2008.
Financial Statements and Exhibits.

 

(d)                                           Exhibits

 

10.1

 

Amended and Restated Office Lease, dated as of August 15, 2008, between Transwestern Federal, L.L.C. and EnerNOC, Inc.

 

3



 

This excerpt taken from the ENOC 8-K filed Aug 8, 2008.
Financial Statements and Exhibits.

 

 

 

(d)

Exhibits

 

 

 

 

 

 

 

10.1

Loan and Security Agreement by and among EnerNOC, Inc., EnerNOC Securities Corporation and Silicon Valley Bank, dated as of August 5, 2008.

 

2



 

This excerpt taken from the ENOC 8-K filed Jun 26, 2008.

Item 9.01               Financial Statements and Exhibits.

 

(d)           Exhibits

 

99.1         Press release issued by the Company on June 26, 2008, furnished herewith.

 

2



 

SIGNATURES

 

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

 

 

ENERNOC, INC.

 

 

 

 

 

 

Date: June 26, 2008

 

By:

/s/ Neal C. Isaacson

 

 

Name:

Neal C. Isaacson

 

 

Title:

Chief Financial Officer

 

 

 

(Principal Financial Officer)

 

3



 

EXHIBIT INDEX

 

Exhibit Number

 

Description

 

 

 

99.1

 

Press release issued by the Company on June 26, 2008, furnished herewith.

 

4


This excerpt taken from the ENOC 8-K filed May 7, 2008.

Item 9.01.              Financial Statements and Exhibits.

 

(d)           Exhibits

 

The following exhibit relating to Item 2.02 shall be deemed to be furnished, and not filed:

 

99.1         Press release issued by the Company on May 7, 2008.

 

1



 

SIGNATURES

 

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

 

ENERNOC, INC.

 

 

 

 

 

 

 

Date: May 7, 2008

By:

/s/ Neal C. Isaacson

 

Name:

Neal C. Isaacson

 

Title:

Chief Financial Officer

 

 

(Principal Financial Officer)

 

2



 

EXHIBIT INDEX

 

Exhibit No.

 

Description

99.1

 

Press release issued by the Company on May 7, 2008.

 

3


This excerpt taken from the ENOC 8-K filed Mar 14, 2008.

Item 9.01.              Financial Statements and Exhibits.

 

(d)                           Exhibits

 

                                The exhibits listed in the accompanying Exhibit Index are filed as part of this Current Report on Form 8-K.

 

CAUTION REGARDING FORWARD-LOOKING STATEMENTS

 

Statements in this Current Report on Form 8-K regarding management’s future expectations, beliefs, intentions, goals, strategies, plans or prospects, including, without limitation, statements relating to the future growth and success of the Company’s demand response and energy management solutions and the outcome of any lawsuit, may constitute forward-looking statements within the meaning of the Private Securities Litigation Reform Act of 1995. In addition, certain of the Company’s contracts and expansion of existing contracts may be subject to approval of state or local regulatory agencies. There can be no assurance that such approvals will be obtained. Forward-looking statements can be identified by terminology such as “anticipate,” “believe,” “could,” “could increase the likelihood,” “estimate,” “expect,” “intend,” “is planned,” “may,” “should,” “will,” “will enable,” “would be expected,” “look forward,” “may provide,” “would” or similar terms, variations of such terms or the negative of those terms. Such forward-looking statements involve known and unknown risks, uncertainties and other factors including those risks, uncertainties and factors referred to under the section “Risk Factors” in EnerNOC’s final prospectus, as filed with the Securities and Exchange Commission on November 14, 2007, as well as other documents that may be filed by EnerNOC from time to time with the Securities and Exchange Commission. As a result of such risks, uncertainties and factors, the Company’s actual results may differ materially from any future results, performance or achievements discussed in or implied by the forward-looking statements contained herein. EnerNOC is providing the information in this Current Report on Form 8-K as of this date and assumes no obligations to update the information included in this Current Report on Form 8-K or revise any forward-looking statements, whether as a result of new information, future events or otherwise.

 

 

2



 

 

SIGNATURES

 

Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

 

ENERNOC, INC.

 

 

Date: March 14, 2008

By:

/s/ Neal C. Isaacson

 

 

 

Name:

Neal C. Isaacson

 

Title:

Chief Financial Officer

 

 

(Principal Financial Officer)

 

 

 

 

3



 

 

EXHIBIT INDEX

 

Exhibit No.

 

Description

 

 

 

99.1

 

Press Release issued by the Company on March 13, 2008

 

 

 

 

4


This excerpt taken from the ENOC 8-K filed Feb 27, 2008.

Item 9.01.              Financial Statements and Exhibits.

 

                                (d)           Exhibits

 

                                The following exhibit relating to Item 2.02 shall be deemed to be furnished, and not filed:

 

                                99.1         Press release issued by the Company on February 27, 2008.

 

 

1



 

SIGNATURES

 

                Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

 

 

 

ENERNOC, INC.

 

 

 

 

 

Date: February 27, 2008

 

 

By:

/s/ Neal C. Isaacson

 

 

 

Name:

 Neal C. Isaacson

 

 

 

Title:

 Chief Financial Officer

 

 

 

 

 (Principal Financial Officer)

 

 

2



 

EXHIBIT INDEX

 

Exhibit No.

 

 

 

Description

 

99.1

 

 

 

Press release issued by the Company on February 27, 2008.

 

 

 

 

3


This excerpt taken from the ENOC 8-K filed Jan 24, 2008.

Item 9.01.         Financial Statements and Exhibits.

 

(d)                      Exhibits

 

The exhibits listed in the accompanying Exhibit Index are filed as part of this Current Report on Form 8-K.

 

2



 

SIGNATURES

 

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

 

 

ENERNOC, INC.

 

 

 

 

 

 

Date: January 24, 2008

 

By:

/s/

Neal C. Isaacson

 

 

 

Name:

Neal C. Isaacson

 

 

Title:

Chief Financial Officer

 

 

 

(Principal Financial Officer)

 

3



 

EXHIBIT INDEX

 

Exhibit No.

 

Description

 

 

 

10.1

 

Severance Agreement, dated as of January 22, 2008, by and between EnerNOC, Inc. and Darren P. Brady.

 


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