SEC Form 4/A · accession 0001493152-16-009541
Sunworks, Inc. · SUNW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Franklin L Hunt
Director
Period of report
Apr 13, 2016
Accepted (ET)
May 9, 2016 · 3:53 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001172631
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Option to Purchase Common StockF1 | $2.68 | Apr 13, 2016 | A | 5,000 | A | — | Apr 13, 2021 | Common Stock | 5,000 | 53,642 | D |
Explanation of responses
- F1On April 15, 2016, the Reporting Person filed a Form 4 with the Commission. The Form 4 included an option to purchase 10,000 shares of common stock of the Issuer (the "Common Stock"); however, the grant was for an option to purchase 15,000 shares of Common Stock. Accordingly, the previously filed Form 4 omitted the option to purchase an additional 5,000 shares of Common Stock. The option to purchase an aggregate of 15,000 shares of Common Stock shall vest in 1/3 increments over a three year period commencing on the date the Issuer receives shareholder approval of the Issuer's 2016 Equity Incentive Plan.