SEC Form 4 · accession 0001185185-15-000478
Sunworks, Inc. · SUNW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James B Nelson
Officer — President and CEO · Director
Period of report
Mar 9, 2015
Accepted (ET)
Mar 10, 2015 · 8:48 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 StockF1,F2 | Mar 9, 2015 | P | 6,000 | $4.15 | A | 170,400 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrant to Purchase Common StockF1 | $4.15 | Mar 9, 2015 | P | 6,000 | A | Mar 9, 2015 | Mar 9, 2020 | Common Stock | 6,000 | 6,000 | D |
Explanation of responses
- F1Such shares of the Issuer's common stock and warrants to purchase shares of the issuer's common stock were purchased in units ("Units") each of which consisted of (i) one share of the Issuer's common stock, and (ii) one warrant to purchase one share of the Issuer's common stock at an exercise price of $4.15. Reporting Person purchased 6,000 Units at a purchase price of $4.15 per Unit.
- F2Includes 4,400 shares of the Issuer's common stock upon the conversion of 4,400 shares of the Issuer's Series A Convertible Preferred Stock.