SEC Form 4 · accession 0000315449-16-000130
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
Jul 12, 2016
Accepted (ET)
Jul 18, 2016 · 3:25 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 stockF2,F1 | Jul 12, 2016 | A | 20,287 | $0.00 | A | 64,966 | 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 | $0.68 | Jul 12, 2016 | A | 32,572 | A | Jul 12, 2017 | Jul 11, 2026 | common stock | 32,572 | 173,059 | D |
| call options | $0.68 | Jul 12, 2016 | A | 32,572 | A | Jul 12, 2018 | Jul 11, 2026 | common stock | 32,572 | 205,631 | D |
| call options | $0.68 | Jul 12, 2016 | A | 32,573 | A | Jul 12, 2019 | Jul 11, 2026 | common stock | 32,573 | 238,204 | D |
Explanation of responses
- F1Shares granted under equity plan.
- F2The shares granted vest ratably over a three year period.