SEC Form 4 · accession 0001493152-17-006984
Sunworks, Inc. · SUNW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Period of report
Jun 19, 2017
Accepted (ET)
Jun 21, 2017 · 7:00 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 | Jun 19, 2017 | P | 9,035 | $1.5798 | D | 808,232 | D | |
| Common StockF3,F1 | Jun 20, 2017 | P | 10,085 | $1.5462 | D | 798,147 | D | |
| Common StockF4,F1 | Jun 21, 2017 | P | 6,675 | $1.53 | D | 791,472 | 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
- F2This sales price reflects a weighted average of multiple prices ranging from $1.57 to $1.60. Full information regarding the number of shares acquired at each price will be provided to the Securities and Exchange Commission staff, the Issuer or any security holder of the Issuer upon request.
- F3This sales price reflects a weighted average of multiple prices ranging from $1.53 to $1.5901. Full information regarding the number of shares acquired at each price will be provided to the Securities and Exchange Commission staff, the Issuer or any security holder of the Issuer upon request.
- F4This sales price reflects a weighted average of multiple prices ranging from $1.53 to $1.5301. Full information regarding the number of shares acquired at each price will be provided to the Securities and Exchange Commission staff, the Issuer or any security holder of the Issuer upon request.