SEC Form 4 · accession 0001213900-16-019675
Workhorse Group Inc. · WKHS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Julio C. Rodriguez
Officer — Chief Financial Officer
Period of report
Feb 3, 2016
Accepted (ET)
Dec 23, 2016 · 3:44 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001425287
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionsF2 | $7.21 | Aug 16, 2016 | A | 22,000 | A | Aug 16, 2016 | Aug 16, 2021 | Common Stock, Par Value $0.001 | 22,000 | 22,000 | D |
| Stock OptionsF1 | $4.99 | Feb 3, 2016 | A | 25,000 | A | Feb 3, 2016 | Feb 3, 2021 | Common Stock, Par Value $0.001 | 25,000 | 25,000 | D |
| Stock Options | $1.75 | holding | — | — | — | Aug 13, 2015 | Aug 11, 2020 | Common Stock | 25,000 | 25,000 | D |
| Stock Options | $1.50 | holding | — | — | — | Dec 19, 2014 | Dec 18, 2019 | Common Stock | 15,000 | 15,000 | D |
| Stock Options | $0.10 | holding | — | — | — | Jul 1, 2014 | Jun 30, 2019 | Common Stock | 73,433 | 73,433 | D |
| Stock Options | $4.00 | holding | — | — | — | Aug 7, 2013 | Aug 7, 2018 | Common Stock | 30,000 | 30,000 | D |
Explanation of responses
- F16,250 of the options vested on February 3, 2016 and an additional 6,250 will vest every six months thereafter.
- F25,500 of the options vested on August 16, 2016 and an additional 5,500 will vest every six months thereafter.