SEC Form 4 · accession 0001493152-16-014142
Sunworks, Inc. · SUNW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Period of report
Oct 17, 2016
Accepted (ET)
Oct 19, 2016 · 6:00 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 StockF2,F1 | Oct 17, 2016 | S | 33,216 | $3.0951 | D | 680,105 | D | |
| Common StockF2,F1 | Oct 18, 2016 | S | 24,000 | $3.0249 | D | 656,105 | D | |
| Common StockF2,F1 | Oct 19, 2016 | S | 23,463 | $3.0005 | D | 632,642 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These shares were sold pursuant to a Rule 10b5-1 Trading Plan
- F2Represents the average price of the shares sold