SEC Form 3 · accession 0001209191-15-030263
Enerpulse Technologies, Inc. · ENPT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
F. Henry Habicht II
Director · 10% Owner
Period of report
Mar 18, 2015
Accepted (ET)
Mar 30, 2015 · 6:51 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001495899
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | holding | — | — | — | 3,638,186 | I | By SAIL Exit Partners, LLC | |
| Common StockF2 | holding | — | — | — | 437,624 | I | By SAIL Co-Investment Partners Cayman, LP |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series B Warrant (Right to Buy)F1,F3 | $2.01 | holding | — | — | — | Sep 4, 2013 | — | Common Stock | 515,944 | — | I |
| Series C Warrant (Right to Buy)F1,F3 | $2.74 | holding | — | — | — | Sep 4, 2013 | — | Common Stock | 109,406 | — | I |
| Series C Warrant (Right to Buy)F2,F3 | $2.74 | holding | — | — | — | Sep 4, 2013 | — | Common Stock | 218,812 | — | I |
| Series D Warrant (Right to Buy)F1 | $2.66 | holding | — | — | — | Sep 4, 2013 | Dec 31, 2017 | Common Stock | 315,409 | — | I |
Explanation of responses
- F1The Reporting Person is a partner at SAIL Capital Partners, an investment firm which holds securities of the Issuer through SAIL Exit Partners, LLC, which it manages. The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.
- F2The Reporting Person is 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.
- F3The warrant does not have an expiration date.