SEC Form 4 · accession 0001493152-17-007804
Sunworks, Inc. · SUNW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Period of report
Jul 11, 2017
Accepted (ET)
Jul 13, 2017 · 9:48 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 StockF2,F1 | Jul 11, 2017 | S | 8,000 | $1.7916 | D | 684,046 | D | |
| Common StockF3,F1 | Jul 12, 2017 | S | 34,500 | $1.7897 | D | 649,546 | D | |
| Common StockF4,F1 | Jul 13, 2017 | S | 2,241 | $1.8512 | D | 647,305 | 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 $1.79to $1.81. 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 $1.77 to $1.835. 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 $1.82 to $1.89. 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.