SEC Form 5 · accession 0001214659-17-002250
ZAP · ZAAP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Priscilla M Lu
Director · 10% Owner · Other
Cathaya Capital LP
10% Owner · Other
China Electric Vehicle Corp
10% Owner · Other
Better World International Ltd
10% Owner · Other
Period of report
Dec 31, 2016
Accepted (ET)
Mar 31, 2017 · 10:59 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001024628
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Jul 28, 2016 | P | 8,872,602 | $0.05 | A | 178,502,878 | I | See Footnote |
| Common StockF1,F2 | Jul 27, 2016 | P | 18,399,316 | $0.067 | A | 178,059,248 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The shares were issued in lieu of cash payment of accrued interest on the Issuer's Senior Convertible Note held by China Electric Vehicle Corporation and on indebtedness owed by the Issuer to Cathaya Management Co. Limited. Each of China Electric Vehicle Corporation and Cathaya Management Co. Limited are affiliates of the Reporting Person.
- F2Priscilla M. Lu disclaims beneficial ownership of the Issuer's securities reported herein except to the extent of her pecuniary interest.