SEC Form 4 · accession 0001209191-15-030033
Enerpulse Technologies, Inc. · ENPT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John R Novak
Officer — VP - OEM Sales
Period of report
Oct 15, 2013
Accepted (ET)
Mar 27, 2015 · 7:15 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001495899
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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy)F1 | $3.00 | Oct 15, 2013 | A | 5,135 | A | — | Oct 15, 2023 | Common Stock | 5,135 | 5,135 | D |
| Employee Stock Option (Right to Buy)F3,F2 | $0.75 | Jun 30, 2014 | A | 9,944 | A | — | Feb 21, 2023 | Common Stock | 9,944 | 9,944 | D |
| Employee Stock Option (Right to Buy)F3,F4 | $0.9051 | Jun 30, 2014 | D | 9,944 | D | — | Feb 21, 2023 | Common Stock | 9,944 | 0 | D |
| Employee Stock Option (Right to Buy)F5,F2 | $0.75 | Jun 30, 2014 | A | 5,135 | A | — | Oct 15, 2023 | Common Stock | 5,135 | 5,135 | D |
| Employee Stock Option (Right to Buy)F5,F1 | $3.00 | Jun 30, 2014 | D | 5,135 | D | — | Oct 15, 2023 | Common Stock | 5,135 | 0 | D |
Explanation of responses
- F1The shares subject to the option shall vest and become exercisable ratably in annual installments over three years beginning on October 15, 2014 until fully vested on October 15, 2016.
- F2The shares subject to the option are 100% vested and excercisable.
- F3The reporting person agreed to cancellation of an option issued to him on September 4, 2013, in exchange for a new option having a lower exercise price.
- F4The shares subject to the option shall vest and become exercisable ratably in annual installments over three years beginning on February 21, 2013 until fully vested on February 21, 2016.
- F5The reporting person agreed to cancellation of an option granted to him on October 15, 2013, in exchange for a new option having a lower exercise price.