SEC Form 4 · accession 0001615594-16-000174
SUNation Energy, Inc. · SUNE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Scott Gregory Otis
Officer — VP
Period of report
Mar 15, 2016
Accepted (ET)
Mar 17, 2016 · 2:46 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000022701
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | holding | — | — | — | 3,316 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right-to-Buy)F2 | $6.85 | Mar 15, 2016 | A | 21,069 | A | Mar 15, 2017 | Mar 15, 2023 | Common Stock | 21,069 | 21,069 | D |
Explanation of responses
- F1Reflects all Employee Stock Purchase Plan and ESOP issuances through 3/17/2016.
- F2Option vests as to 25% on each of the first four anniversaries of the date of grant.