SEC Form 4 · accession 0001515971-15-000402
HydroPhi Technologies Group, Inc. · HPTG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Roger M Slotkin
Officer — Chief Executive Officer · Director
Period of report
Nov 23, 2015
Accepted (ET)
Dec 2, 2015 · 6:37 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001496741
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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series A Convertible Preferred StockF2,F1 | — | Nov 23, 2015 | J | 1,000,000 | A | — | — | Common Stock | — | 1,000,000 | D |
Explanation of responses
- F1The reported securities will be convertible into 4% of the issued and outstanding common stock of the Issuer on a fully-diluted basis, beginning on May 23, 2016, and have no expiration date.
- F2The Reporting Person received the reported securities at no cost in connection with a Stock Purchase Agreement, dated November 23, 2015, by and among Pro Star Freight Systems Inc., Pro Star Truck Center Inc., Prostar Holdings Trust and the Issuer.