Statement of Changes in Beneficial Ownership (4)
January 29 2018 - 11:48AM
Edgar (US Regulatory)
FORM 4
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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).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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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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1. Name and Address of Reporting Person
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Von Allmen Linda
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2. Issuer Name
and
Ticker or Trading Symbol
GREEN EARTH TECHNOLOGIES, INC
[
GETG
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
__
X
__ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
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(Last)
(First)
(Middle)
9 ISLA BAHIA
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3. Date of Earliest Transaction
(MM/DD/YYYY)
1/1/2018
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(Street)
FT LAUDERDALE, FL 33316
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
___ 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
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. 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
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V
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Amount
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(A) or (D)
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Price
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Common Stock
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1/1/2018
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J
(2)
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4863081
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A
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$0.01
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49464923
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I
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See Footnotes
(1)
(2)
(3)
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. 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
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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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Explanation of Responses:
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(1)
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This Form 4 is filed jointly by D&L Partners, L.P. ("D&L Partners"), D&L Management Corp. ("D&L Management Corp.") and Linda Von Allmen (collectively, the "Reporting Persons"). Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of her or its pecuniary interest therein. The filing of this Form 4 shall not be deemed an admission that the Reporting Persons are, for purposes of Section 16 or for any other purpose, the beneficial owners of any securities of the Issuer she or it does not directly own.
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(2)
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Represents securities directly owned by D&L Partners. D&L Management Corp., as the general partner of D&L Partners, may be deemed to beneficially own the securities owned directly by D&L Partners. As a controlling shareholder of D&L Management Corp., Mrs. Von Allmen may be deemed to beneficially own the securities owned directly by D&L Partners.
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(3)
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These shares were issued to D&L Partners as payment in kind for interest amounts due under a (i) 6% secured convertible debenture issued by Issuer on October 2, 2012, in an original principal amount of $1,000,000, with a maturity date of March 31, 2018; (ii) 6% secured convertible debenture issued by Issuer on March 28, 2013, in an original principal amount of $625,000, with a maturity date of March 31, 2018; (iii) 6% secured convertible debenture issued by Issuer on March 11, 2015, in an original principal amount of $50,000, with a maturity date of March 31, 2018; and (iv) 6% secured convertible debenture issued by Issuer on May 14, 2015, in an original principal amount of $70,000, with a maturity date of March 31, 2018.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Von Allmen Linda
9 ISLA BAHIA
FT LAUDERDALE, FL 33316
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X
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D & L Partners, L.P.
9 ISLA BAHIA
FT LAUDERDALE, FL 33316
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X
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D & L Management Corp
9 ISLA BAHIA
FT LAUDERDALE, FL 33316
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X
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Signatures
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Michael Rennock, By Power of Attorney
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1/26/2018
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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 control number.
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