SEC Form 4 · accession 0001013762-15-001200
Workhorse Group Inc. · WKHS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joseph Theodore Lukens Jr.
10% Owner
Period of report
Dec 9, 2015
Accepted (ET)
Dec 23, 2015 · 1:14 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001425287
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| COMMON STOCK, $0.001 PAR VALUE PER SHARE | Dec 9, 2015 | C | 25,000 | $4.00 | A | 1,229,260 | D | |
| COMMON STOCK, $0.001 PAR VALUE PER SHARE | holding | — | — | — | 154,870 | I | The Joe & Kim Lukens Foundation | |
| COMMON STOCK, $0.001 PAR VALUE PER SHARE | holding | — | — | — | 2,697,147 | I | US Trust Company of Delaware Administrative Trustee of the Joe & Kim Lukens Dynasty Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| COMMON STOCK PURCHASE WARRANT | $5.28 | holding | — | — | — | Nov 25, 2015 | Nov 25, 2020 | COMMON STOCK, PAR VALUE $0.001 | 571,429 | 5,714,286 | D |
| 6% CONVERTIBLE PROMISSORY NOTE | $3.50 | holding | — | — | — | Nov 25, 2015 | Nov 25, 2017 | COMMON STOCK, PAR VALUE $0.001 | 571,429 | 5,714,286 | D |
| COMMON STOCK PURCHASE WARRANT | $1.50 | holding | — | — | — | May 23, 2014 | May 22, 2017 | COMMON STOCK, PAR VALUE $0.001 | 900,000 | 900,000 | D |
| COMMON STOCK PURCHASE WARRANT | $1.50 | holding | — | — | — | Mar 18, 2014 | Mar 17, 2017 | COMMON STOCK, PAR VALUE $0.001 | 600,000 | 600,000 | D |
| COMMON STOCK PURCHASE WARRANT | $4.00 | holding | — | — | — | Mar 13, 2013 | Mar 12, 2016 | COMMON STOCK, PAR VALUE $0.001 | 250,000 | 250,000 | D |
Remarks
All prices and amounts are revised to reflect the 10:1 reverse split effective December 11, 2015.