Report of Proposed Sale of Securities (144)
July 21 2014 - 6:01AM
Edgar (US Regulatory)
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UNITED STATES
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OMB APPROVAL
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SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 144
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OMB Number:
3235-0101
Expires:
May 31, 2014
Estimated average burden
hours per response ........... 1.00
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NOTICE OF PROPOSED SALE OF SECURITIES
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SEC USE ONLY
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PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
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DOCUMENT SEQUENCE NO.
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ATTENTION:
Transmi
t
fo
r
filin
g
3
copie
s
o
f
thi
s
for
m
concurrentl
y
wit
h
eithe
r
placin
g
a
n
orde
r
wit
h
a
broke
r
t
o
execut
e
sale o
r
executin
g
a
sal
e
directl
y
wit
h
a
marke
t
maker.
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CUSIP NUMBER
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1
(a)
NAM
E
O
F
ISSUE
R
(Pleas
e
typ
e
o
r
print)
NEAH POWER SYSTEMS, INC.
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(b)
IRS IDENT. NO.
88-0418806
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(c)
S.E.C. FILE NO.
000-49962
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WORK LOCATION
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1
(d
)
ADDRES
S
O
F
ISSUE
R
STREET
CITY
STATE
ZIP CODE
22118 20TH AVE SE BOTHELL WA 98021
(b)
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(e)
TELEPHONE NO.
AREA CODE NUMBER
425 424-3324
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2
(a)
NAM
E
O
F
PERSO
N
FO
R
WHOS
E
ACCOUN
T
TH
E
SECURITIES AR
E
T
O
B
E
SOLD
CLEAN TECH INVESTORS LLC
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RELATIONSHIP TO ISSUER
AFFILIATE
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(c)
ADDRESS STREET
CITY
STATE
ZIP CODE
88
INVERNESS CIR EAST #2107 ENGLEWOOD
CO
80112
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INSTRUCTION:
Th
e
perso
n
filin
g
thi
s
notic
e
shoul
d
contac
t
th
e
issue
r
t
o
obtai
n
th
e
I.R.S
.
Identificatio
n
Numbe
r
an
d
th
e
S.E.C
.
Fil
e
Number.
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3
(a)
Title of the Class of Securities To Be Sold
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(b)
Name and Address of Each Broker Through Whom the Securities are to be Offered or Each Market Maker who is Acquiring the Securities
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SEC USE ONLY
Broker-Dealer
File Number
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(c)
Number of Shares or Other Units To Be Sold
(See instr. 3(c))
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(d)
Aggregate Market Value
(See instr. 3(d))
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(e)
Number of Shares or Other Units Outstanding
(See instr. 3(e))
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(f)
Approximate
Date of Sale
(See instr. 3(f))
(MO. DAY YR.)
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(g)
Name of Each Securities Exchange
(See instr. 3(g))
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COMMON
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VANGUARD
455 DEVON PARK DRIVE
VALLEY FORGE PA 19482-1110
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9,600,000
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$145,000
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963,222,784
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8/17/14
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OTCBB
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INSTRUCTIONS
:
3 . (a) Title of the class of securities to be sold
1. (a) Name of issuer
(b) Name and address of each broker through whom the securities are intended to be sold
(b) Issuer
’
s I.R.S. Identification Number
(c) Number of shares or other units to be sold (if debt securities, give the aggregate face amount)
(c) Issuer
’
s S.E.C. file number, if any
(d) Aggregate market value of the securities to be sold as of a specified date within 10 days prior to the filing of this notice
(d) Issuer
’
s address, including zip code
(e) Number of shares or other units of the class outstanding, or if debt securities the face amount thereof outstanding, as shown
(e) Issuer
’
s telephone number, including area code
by the most recent report or statement published by the issuer
(f) Approximate date on which the securities are to be sold
2 . (a) Name of person for whose account the securities are to be sold
(g) Name of each securities exchange, if any, on which the securities are intended to be sold
(b) Such person
’
s relationship to the issuer (e.g., officer, director, 10%
stockholder, or member of immediate family of any of the foregoing) (c) Such person
’
s address, including zip code
Potential persons who are to respond to the collection of information contained in this form are not
required to respond unless the form displays a currently valid OMB control number.
SEC 1147 (08-07
)
TABLE I
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SECURITIES TO BE SOLD
Furnish the following information with respect to the acquisition of the securities to be sold
and with respect to the payment of all or any part of the purchase price or other consideration therefor:
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Title of the Class
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Date you
Acquired
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Nature of Acquisition Transaction
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Name of Person from Whom Acquired
(If gift, also give date donor acquired)
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Amount of
Securities Acquired
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Date of
Payment
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Nature of Payment
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COMMON
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11/15/13
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PURCHASE
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COMPANY
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36,901,400
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11/15/13
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CASH
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INSTRUCTIONS:
I
f
th
e
securitie
s
wer
e
purchase
d
an
d
ful
l
paymen
t
therefo
r
wa
s
no
t
mad
e
i
n
cas
h
at th
e
tim
e
o
f
purchase
,
explai
n
i
n
th
e
tabl
e
o
r
i
n a
not
e
theret
o
th
e
natur
e
o
f
the consideratio
n
given
.
I
f
th
e
consideratio
n
consiste
d
o
f
an
y
not
e
o
r
othe
r
obligation, o
r
i
f
paymen
t
wa
s
mad
e
i
n
installment
s
describ
e
th
e
arrangemen
t
an
d
stat
e
when th
e
not
e
o
r
othe
r
obligatio
n
wa
s
discharge
d
i
n
ful
l
o
r
th
e
las
t
installmen
t
paid.
TABLE II
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–
SECURITIES SOLD DURING THE PAST 3 MONTHS
Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.
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Name and Address of Seller
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Title of Securities Sold
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Date of Sale
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Amount of
Securities Sold
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Gross Proceeds
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REMARKS:
INSTRUCTIONS:
See the definition of “person” in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.
ATTENTION:
Th
e
perso
n
fo
r
whos
e
accoun
t
th
e
securitie
s
t
o
whic
h
thi
s
notic
e
relate
s
ar
e
t
o
b
e
sold hereb
y
represent
s
b
y
signin
g
thi
s
notic
e
tha
t
h
e
doe
s
no
t
kno
w
an
y
materia
l
advers
e
informatio
n
i
n
regar
d
to th
e
curren
t
an
d
prospectiv
e
operation
s
o
f
th
e
Issue
r
o
f
th
e
securitie
s
t
o
b
e
sol
d
whic
h
ha
s
no
t
bee
n
publicly disclosed
.
I
f
suc
h
perso
n
ha
s
adopte
d
a
writte
n
tradin
g
pla
n
o
r
give
n
tradin
g
instruction
s
t
o
satisf
y
Rule
10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the
instruction given, that person makes such representation as of the plan adoption or instruction date.
7-14-14
/S/ William M. Shenkin
DATE OF NOTICE
(SIGNATURE)
7-16-14
DATE OF PLAN ADOPTION OR GIVING OF INSTRUCTION,
The notice shall be signed by the person for whose account the securities are to be sold. At least one copy
IF RELYING ON RULE 10B5-1
of the notice shall be manually signed.Any copies not manually signed shall bear typed or printed signatures.
ATTENTION:
Intentiona
l
misstatement
s
o
r
omissio
n
o
f
fact
s
constitut
e
Federa
l
Crimina
l
Violation
s
(Se
e
1
8
U.S.C
.
1001)
SEC 1147 (02-08)