SEC Form 4 · accession 0000315449-15-000066
UQM TECHNOLOGIES INC · UQM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David Rosenthal
Officer — Treasurer and Secretary
Period of report
Sep 24, 2015
Accepted (ET)
Oct 2, 2015 · 1:52 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 stock | holding | — | — | — | 49,090 | 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 | $0.66 | Sep 24, 2015 | A | 28,612 | A | Sep 24, 2016 | Sep 23, 2025 | common stock | 28,612 | 83,263 | D |
| call options | $0.66 | Sep 24, 2015 | A | 28,612 | A | Sep 24, 2017 | Sep 23, 2025 | common stock | 28,612 | 111,875 | D |
| call options | $0.66 | Sep 24, 2015 | A | 28,612 | A | Sep 24, 2018 | Sep 23, 2025 | common stock | 28,612 | 140,487 | D |
Explanation of responses
- F1Shares granted under equity plan.