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Cross River Capital Management LLC, et al. – ‘4’ for 11/11/19 re: Enservco Corp.

On:  Thursday, 9/17/20, at 5:34pm ET   ·   For:  11/11/19   ·   Accession #:  1450103-20-4   ·   File #:  1-36335

Previous ‘4’:  ‘4’ on 8/1/19 for 7/30/19   ·   Latest ‘4’:  This Filing

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  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 9/17/20  Cross River Capital Mgmt LLC      4                      1:12K  Enservco Corp.                    Murphy Richard
          Cross River Management LLC
          Cross River Partners LP
          Murphy Richard

Statement of Changes in Beneficial Ownership of Securities by an Insider   —   Form 4   —   SEA’34
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 4           Statement of Changes in Beneficial Ownership of     HTML      3K 
                Securities by an Insider -- primary_doc.xml/3.6


        

This ‘4’ Document is an XML Data File that may be rendered in various formats:

  Form 4    –   Plain Text   –  SEC Website  –  EDGAR System  –    XML Data    –  <?xml?> File
 
 
SEC Info℠ rendering:  Statement of Changes in Beneficial Ownership of Securities by an Insider
 
FORM 4UNITED 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
OMB APPROVAL
OMB Number:3235-0287
Estimated average burden
hours per response:0.5
  
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*
CROSS RIVER CAPITAL MANAGEMENT LLC
(Last)(First)(Middle)
31 BAILEY AVENUE
UNIT D
(Street)
RIDGEFIELDCT06877
(City)(State)(Zip)
2. Issuer Name and Ticker or Trading Symbol
Enservco Corp [ ensv ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
DirectorX10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
11/11/19
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
Form filed by One Reporting Person
XForm filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year)2A. Deemed Execution Date, if any (Month/Day/Year)3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeVAmount(A) or (D)Price
Common Stock 9/15/20 J 6,054,022 (1)A$0.2518,346,914 (2)D
Common Stock 73,900D (3)
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year)3A. Deemed Execution Date, if any (Month/Day/Year)4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year)7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Warrants$0.2 11/11/19 P 625,000 11/11/19 11/11/24Common Stock625,000$0 (4)625,000D
1. Name and Address of Reporting Person*
CROSS RIVER CAPITAL MANAGEMENT LLC
(Last)(First)(Middle)
31 BAILEY AVENUE
UNIT D
(Street)
RIDGEFIELDCT06877
(City)(State)(Zip)
1. Name and Address of Reporting Person*
Cross River Management LLC
(Last)(First)(Middle)
31 BAILEY AVENUE
UNIT D
(Street)
RIDGEFIELDCT06877
(City)(State)(Zip)
1. Name and Address of Reporting Person*
Cross River Partners LP
(Last)(First)(Middle)
C/O CROSS RIVER MANAGEMENT LLC
31 BAILEY AVENUE, SUITE D
(Street)
RIDGEFIELDCT06877
(City)(State)(Zip)
1. Name and Address of Reporting Person*
MURPHY RICHARD
(Last)(First)(Middle)
C/O CROSS RIVER CAPITAL MANAGEMENT LLC
31 BAILEY AVENUE, UNIT D
(Street)
RIDGEFIELDCT06877
(City)(State)(Zip)
Explanation of Responses:
(1)  The reported transaction is in connection with the conversion of $1,514,737 of principal and accrued interest owed by the Issuer to Cross River Partners LP pursuant to certain subordinated promissory notes.
(2)  The reported securities are directly owned by Cross River Partners LP (the "Partnership"), a limited partnership whose general partner is Cross River Capital Management LLC (the "General Partner"), and may be deemed indirectly beneficially owned by the General Partner and by Cross River Management LLC, as the investment manager of the Partnership (the "Investment Manager"). The reported securities may also be deemed indirectly beneficially owned by Richard Murphy, as Managing Member of both the General Partner and the Investment Manager. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
(3)  These securities are directly owned by Richard Murphy, who is a Reporting Person.
(4)  The Warrants were issued to the Partnership in connection with a financing between the Partnership and the Issuer.
Cross River Capital Management LLC, By: /s/ Richard Murphy, Managing Member 9/17/20
Cross River Partners L.P. By: /s/ Richard Murphy, Managing Member of Cross River Capital 9/17/20
Cross River Management LLC By: /s/ Richard Murphy, Managing Member 9/17/20
/s/ Richard Murphy 9/17/20
** Signature of Reporting PersonDate
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.
____________
Transaction Codes:
    J    Other acquisition or disposition.
    P    Open market or private purchase of non-derivative or derivative security.

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