Tecogen (TGEN) Form 3 TECOGEN / JOHN HATSOPOULOS ownership change

SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

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^*

HATSOPOULOS JOHN

(Last) (First) (Middle)

45 FIRST AVENUE

(Street)

WALTHAM MA 02451

(City) (State) (Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
03/09/2022

3. Issuer Name and Ticker or Trading Symbol
TECOGEN INC. [ TGEN ]

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director	10% Owner
	Officer (give title below)	Other (specify below)

5. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock	268,088	D
Common Stock	2,122,972	I	See footnote(1)

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Stock Option (Right to Buy)	05/12/2016(2)	05/12/2026	Stock Option (Right to Buy)	12,723	3.93	D

Explanation of Responses:

1. Includes 2,078,960 shares held by the Nia M. Hatsopoulos 2011 Irrevocable Trust of which John Hatsopoulos is the trustee, and 44,012 shares held by Pat, Ltd. of which Mr. Hatsopoulos is a shareholder together with his wife Patricia Hatsopoulos. Excludes, and Mr. Hatsopoulos disclaims beneficial ownership of, shares held by the following irrevocable trusts: (1) the John N. Hatsopoulos Family Trust 2007, of which Mr. Yiannis Monovoukas is the trustee, and (2) the John Hatsopoulos 1989 Family Trust, of which Mrs. Ann Marie Pacheco is the trustee.

2. Converted from options to acquire shares of American DG Energy Inc.; vested in connection with merger of American DG Energy Inc. with a subsidiary of Tecogen Inc.

Remarks:

	/s/ John N. Hatsopoulos	03/11/2022
	** 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 5 (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).
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