SEC Form 4 · accession 0001019687-15-000725
COOL TECHNOLOGIES, INC. · WARM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Spirit Bear Ltd
10% Owner
Period of report
Feb 23, 2015
Accepted (ET)
Feb 26, 2015 · 8:23 am EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001399352
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| W-C-1 WarrantsF1,F2 | Feb 23, 2015 | M | 1,091,054 | — | A | 1,091,054 | D | |
| HPEV, Inc. common stockF1 | Feb 23, 2015 | C | 500,931 | $0.35 | D | 0 | D | |
| Penalty WarrantsF3,F2 | Feb 23, 2015 | M | 591,054 | — | D | 500,000 | D | |
| HPEV, Inc. common stock | Feb 23, 2015 | C | 288,968 | $0.35 | A | 288,968 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| W-C-1 WarrantsF1,F2 | — | Sep 18, 2014 | C | 1,091,054 | A | Dec 14, 2012 | Jan 29, 2015 | HPEV Common $.001 par value/sh | 1,091,054 | 0 | D |
| Penalty WarrantsF2,F3 | — | Feb 23, 2015 | C | 591,054 | D | Jan 28, 2015 | Dec 14, 2015 | HPEV Common $.001 par value/sh | 288,968 | 500,000 | D |
Explanation of responses
- F1Reversal of warrant exercise reported on Form 4 filed on 9.23.14 by reporting person as shares in connection with the warrant exercise reported thereon have not been delivered.
- F2Not applicable.
- F3Cashless conversion of 591,054 warrants to 288,968 shares of common