SEC Form 4 · accession 0001214659-16-012543
POWIN ENERGY CORP · PWON
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Joseph Lu
Officer — President/CEO · Director · 10% Owner
Period of report
Jun 30, 2016
Accepted (ET)
Jul 5, 2016 · 6:05 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001468780
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Jun 30, 2016 | A | 500 | $0.30 | A | 19,351,036 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Convertible Preferred StockF1,F3 | $0.56 | Aug 5, 2015 | P | 5,951,946 | A | Aug 5, 2016 | — | Common Stock | 591,946 | 5,951,946 | D |
Explanation of responses
- F1The Preferred Stock and underlying Common Stock was issued in exchange for, and in satisfaction of, outstanding debt of the Issuer held by the Reporting Person.
- F2A portion of the Common Stock is held in the name of Joseph Lu Trust and the Mei Yi Lu Living Trust, respectively.
- F3There is no expiration date for the conversion rights under the Convertible Preferred Stock.