SEC Form 4 · accession 0001019687-15-003214
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
Aug 18, 2015
Accepted (ET)
Aug 19, 2015 · 9:30 pm EDT
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 |
|---|---|---|---|---|---|---|---|---|
| HPEV, Inc. Common StockF1,F2,F4 | Aug 18, 2015 | M | 200,000 | — | A | 200,000 | D | |
| HPEV, Inc, Common Stock | Aug 19, 2015 | S | 15,000 | $0.3633 | D | 185,000 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| HPEV Series A PreferredF4,F2,F3,F1 | — | Aug 18, 2015 | M | 4 | D | Dec 14, 2012 | — | HPEV Common $.001 par value/share | 200,000 | 136 | D |
Explanation of responses
- F1Reporting person converted 4 shares of Series A Preferred Stock into 200,000 shares of common stock
- F2Each share of Series A Preferred is convertible to 50,000 common shares
- F3There is no expiration date
- F4Not applicable