SEC Form 4/A · accession 0001214659-16-012806
POWIN ENERGY CORP · PWON
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Joseph Lu
Officer — President/CEO · Director · 10% Owner
Period of report
Jun 30, 2016
Accepted (ET)
Jul 27, 2016 · 5:54 pm 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 | 13,399,090 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These shares are held by the Joseph Lu Trust and by the Mei Yi Lu Living Trust, respectivey.
- F2The previous Forms 4 filed from 8/07/2015 through 7/01/2016 incorrectly disclosed Joseph Lu as holding convertible preferred shares which were convertible into common stock of Powin Corporation. The rights, preferences and limitations pertaining to the convertible preferred shares, including the conversion features thereof, were transferred and assumed by Q Pacific Corporation, a wholly-owned subsidiary of Powin Corporation, effective as of August 5, 2015.