SEC Form 4 · accession 0000315449-15-000033
UQM TECHNOLOGIES INC · UQM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joshua Marc Ley
Officer — Vice President of Engineering
Period of report
Jul 9, 2015
Accepted (ET)
Jul 13, 2015 · 4:12 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000315449
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| common stockF1 | Jul 9, 2015 | F | 955 | $0.85 | D | 10,218 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| call options | $0.94 | Jul 9, 2015 | J | 4,654 | D | Jun 30, 2015 | Jun 30, 2015 | common stock | 4,654 | 65,697 | D |
| call options | $0.67 | Jul 9, 2015 | A | 6,529 | A | Sep 30, 2015 | Sep 30, 2015 | common stock | 6,529 | 72,226 | D |
Explanation of responses
- F1Payment of tax liability by withholding securities incident to the vesting of a security issued in accordance with rule 16b-3.
- F2Expiration of out-of-the-money call options under the Company's Employee Stock Purchase Plan.