SEC Form 3 · accession 0001044321-15-000044
Ideal Power Inc. · IPWR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
MARXE AUSTIN W & GREENHOUSE DAVID M
10% Owner
Period of report
Jan 30, 2015
Accepted (ET)
Jan 30, 2015 · 2:33 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001507957
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | holding | — | — | — | 1,146,935 | I | By Limited Partnerships |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This is a joint filing by Austin W. Marxe (Marxe), David M. Greenhouse (Greenhouse) and Adam C. Stettner (Stettner). Special Situations Fund III QP, L.P. (SSFQP), Special Situations Cayman Fund, L.P. (CAYMAN), Special Situations Technology Fund, L.P. (TECH) and Special Situations Technology Fund II, L.P. (TECH II and together with SSFQP, CAYMAN and TECH, the Funds) hold shares of Common Stock of the Issuer (the Shares). AWM Investment Company, Inc. (AWM), the investment adviser to the Funds, holds the power to vote and the power to dispose of the Shares held by each of the Funds.
- F2Marxe, Greenhouse and Stettner are the controlling principals of AWM. While the Shares held by each of the Funds were previously reported by Marxe, Greenhouse and Stettner on Form 3, reference should be made to AWM (CIK #0001002856) for any future filings with the Securities and Exchange Commission relating to the Shares held by each of the Funds. Marxe, Greenhouse and Stettner disclaim beneficial ownership of the Shares, except to the extent of their pecuniary interest therein. This report shall not be deemed an admission that Marxe, Greenhouse and Stettner are the beneficial owners of the Shares of the Issuer held by the Funds for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.