SEC Form 4
FORM 4 UNITED 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
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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).
1. Name and Address of Reporting Person*
CROSS RIVER CAPITAL MANAGEMENT LLC

(Last) (First) (Middle)
31 BAILEY AVENUE
UNIT D

(Street)
RIDGEFIELD CT 06877

(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)
Director X 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
11/11/2019
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
X Form 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)
Code V Amount (A) or (D) Price
Common Stock 09/15/2020 J 6,054,022(1) A $0.25 18,346,914(2) D
Common Stock 73,900 D(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)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Warrants $0.2 11/11/2019 P 625,000 11/11/2019 11/11/2024 Common Stock 625,000 $0(4) 625,000 D
1. Name and Address of Reporting Person*
CROSS RIVER CAPITAL MANAGEMENT LLC

(Last) (First) (Middle)
31 BAILEY AVENUE
UNIT D

(Street)
RIDGEFIELD CT 06877

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Cross River Management LLC

(Last) (First) (Middle)
31 BAILEY AVENUE
UNIT D

(Street)
RIDGEFIELD CT 06877

(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)
RIDGEFIELD CT 06877

(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)
RIDGEFIELD CT 06877

(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 09/17/2020
Cross River Partners L.P. By: /s/ Richard Murphy, Managing Member of Cross River Capital 09/17/2020
Cross River Management LLC By: /s/ Richard Murphy, Managing Member 09/17/2020
/s/ Richard Murphy 09/17/2020
** 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 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.
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