SEC Form 5 · accession 0001209191-15-016909

Enerpulse Technologies, Inc. · ENPT

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Michael J Hammons

Director

Period of report

Dec 31, 2014

Accepted (ET)

Feb 20, 2015 · 6:36 pm EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001495899

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	D/I	Nature of ownership
Common Stock^F1,F2	Nov 18, 2013	J	2,378,529	$0.00	D	I	By SAIL Venture Partners II, LP
Common Stock^F1,F3,F4	Nov 18, 2013	J	2,378,529	$0.00	A	I	By SVP II Xtreme Power Joint Venture, LP
Common Stock^F3,F5	holding	—	—		—	I	By SAIL Venture Partners, LP
Common Stock^F3,F6	holding	—	—		—	I	By SAIL 2010 Co-Investment Partners, LP
Common Stock^F3,F7	holding	—	—		—	I	By SAIL Pre-Exit Acceleration Fund, LP
Common Stock^F3,F8	holding	—	—		—	I	By SAIL Pre-Exit Acceleration Fund II, LP
Common Stock^F3,F9	holding	—	—		—	I	By SAIL Sustainable Louisiana II, LP

Table II — derivative securities

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	D/I
Series B Warrant (Right to Buy)^F1,F2,F10	$2.01	Nov 18, 2013	J	515,944	D	Sep 4, 2013	—	Common Stock	515,944	I
Series C Warrant (Right to Buy)^F1,F2,F10	$2.74	Nov 18, 2013	J	82,054	D	Sep 4, 2013	—	Common Stock	82,054	I
Series D Warrant (Right to Buy)^F1,F2	$2.66	Nov 18, 2013	J	123,911	D	Sep 4, 2013	Dec 31, 2017	Common Stock	123,911	I
Series B Warrant (Right to Buy)^F1,F3,F4,F10	$2.01	Nov 18, 2013	J	515,944	A	Sep 4, 2013	—	Common Stock	515,944	I
Series C Warrant (Right to Buy)^F1,F3,F4,F10	$2.74	Nov 18, 2013	J	82,054	A	Sep 4, 2013	—	Common Stock	82,054	I
Series D Warrant (Right to Buy)^F1,F3,F4	$2.66	Nov 18, 2013	J	123,911	A	Sep 4, 2013	Dec 31, 2017	Common Stock	123,911	I
Series C Warrant (Right to Buy)^F3,F6,F10	$2.74	holding	—	—	—	Sep 4, 2013	—	Common Stock	0	I
Series C Warrant (Right to Buy)^F3,F11,F10	$2.74	holding	—	—	—	Sep 4, 2013	—	Common Stock	0	I
Series D Warant (Right to Buy)^F3,F8	$2.66	holding	—	—	—	Sep 4, 2013	Dec 31, 2017	Common Stock	0	I
Series D Warant (Right to Buy)^F3,F7	$2.66	holding	—	—	—	Sep 4, 2013	Dec 31, 2017	Common Stock	0	I
Series D Warant (Right to Buy)^F3,F9	$2.66	holding	—	—	—	Sep 4, 2013	Dec 31, 2017	Common Stock	0	I

Explanation of responses

F1The securities were transferred by SAIL Venture Partners II, LP to SVP II Xtreme Power Joint Venture, LP, an affiliate of SAIL Venture Partners II, LP, in exchange for Class A Membership interests in SVP II Xtreme Power Joint Venture, LP.
F10The warrant does not have an expiration date.
F11At the time of the transaction the Reporting Person was a partner at SAIL Capital Partners, an investment firm which holds securities of the Issuer through SAIL Co-Investment Partners Cayman, LP which it manages. The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.
F2At the time of the transaction the Reporting Person was a partner at SAIL Capital Partners, an investment firm which holds securities of the Issuer through SAIL Venture Partners II, LP which it manages. The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.
F3The reporting person ceased to be a partner at SAIL Capital Partners in February 2014 and no longer holds an indirect ownership in these securities.
F4At the time of the transaction the Reporting Person was a partner at SAIL Capital Partners, an investment firm which holds securities of the Issuer through SVP II Xtreme Power Joint Venture, LP which it manages. The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.
F5At the time of the transaction the Reporting Person was a partner at SAIL Capital Partners, an investment firm which holds securities of the Issuer through SAIL Venture Partners, LP which it manages. At the time of the transaction the Reporting Person disclaimed beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.
F6At the time of the transaction the Reporting Person was a partner at SAIL Capital Partners, an investment firm which holds securities of the Issuer through SAIL 2010 Co-Investment Partners, LP which it manages. The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.
F7At the time of the transaction the Reporting Person was a partner at SAIL Capital Partners, an investment firm which holds securities of the Issuer through SAIL Pre-Exit Acceleration Fund, LP which it manages. The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.
F8At the time of the transaction the Reporting Person was a partner at SAIL Capital Partners, an investment firm which holds securities of the Issuer through SAIL Pre-Exit Acceleration Fund II, LP which it manages. The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.
F9At the time of the transaction the Reporting Person was a partner at SAIL Capital Partners, an investment firm which holds securities of the Issuer through SAIL Sustainable Louisiana II, LP which it manages. The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.