SEC Form 4 · accession 0001615594-18-000023
SUNation Energy, Inc. · SUNE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Roger HD Lacey
Director
Period of report
Mar 9, 2018
Accepted (ET)
Mar 13, 2018 · 2:00 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 | — | — | — | 56,323 | 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 | $3.61 | Mar 9, 2018 | A | 61,875 | A | Mar 9, 2019 | Mar 9, 2025 | Common Stock | 61,875 | 61,875 | D |
Explanation of responses
- F1Reflects all Employee Stock Purchase Plan and shares purchased through a broker-sponsored Dividend Reinvestment Plan (160.406 shares at $3,8001 on 1/2/2018) through March 9, 2018.
- F2Option vests as to 25% on each of the first four anniversaries of the date of grant.