SEC Form 4 · accession 0001013762-16-001408
Workhorse Group Inc. · WKHS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stephen D Baksa
10% Owner
Period of report
Mar 9, 2016
Accepted (ET)
Mar 22, 2016 · 3:53 pm EDT
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 | Mar 9, 2016 | X | 125,000 | $500,000.00 | A | 2,677,513 | D | |
| COMMON STOCK, $0.001 PAR VALUE PER SHARE | holding | — | — | — | — | I | N/A |
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 | — | — | — | Dec 4, 2015 | Dec 4, 2020 | COMMON STOCK, PAR VALUE $0.001 | 91,624 | 91,624 | D |
| COMMON STOCK PURCHASE WARRANT | $5.28 | holding | — | — | — | Nov 9, 2015 | Nov 9, 2020 | COMMON STOCK, PAR VALUE $0.001 | 142,857 | 142,857 | D |
| COMMON STOCK PURCHASE WARRANT | $1.40 | holding | — | — | — | Dec 8, 2014 | Dec 7, 2017 | COMMON STOCK, PAR VALUE $0.001 | 71,429 | 71,429 | D |
| COMMON STOCK PURCHASE WARRANT | $1.50 | holding | — | — | — | Mar 27, 2014 | Mar 27, 2017 | COMMON STOCK, PAR VALUE $0.001 | 375,000 | 375,000 | D |