SEC Form 4 · accession 0001493152-16-015358
Sunworks, Inc. · SUNW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Paul Clayton McDonnel
Officer — Chief Financial Officer
Period of report
Nov 17, 2016
Accepted (ET)
Nov 21, 2016 · 5:09 pm EST
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 | $2.39 | Nov 17, 2016 | A | 50,000 | A | — | Nov 17, 2021 | Common Stock | 50,000 | 50,000 | D |
Explanation of responses
- F1The Option was issued pursuant to the Company's 2016 Equity Incentive Plan and shall vest and become exercisable in 1/36 increments over a three year period commencing on the date of the grant.