SEC Form 4 · accession 0001065949-15-000167
Sunworks, Inc. · SUNW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark J Richardson
Director
Period of report
Jun 26, 2015
Accepted (ET)
Jun 29, 2015 · 6:15 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001172631
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jun 26, 2015 | P | 12,521 | $4.35 | A | 32,625 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Options | $0.468 | holding | — | — | — | Aug 1, 2014 | Sep 30, 2023 | Common Stock | 75,056 | 75,056 | D |
Explanation of responses
- F1Shares issued directly by Issuer for services rendered at $4.35 per share.