SEC Form 4 · accession 0000315449-16-000131
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 12, 2016
Accepted (ET)
Jul 18, 2016 · 3:39 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 | Jul 12, 2016 | A | 11,002 | $0.00 | A | 21,220 | 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 | 17,664 | A | Jul 12, 2017 | Jul 11, 2026 | common stock | 17,664 | 137,835 | D |
| call options | $0.68 | Jul 12, 2016 | A | 17,664 | A | Jul 12, 2018 | Jul 11, 2026 | common stock | 17,664 | 155,499 | D |
| call options | $0.68 | Jul 12, 2016 | A | 17,664 | A | Jul 12, 2019 | Jul 11, 2026 | common stock | 17,664 | 173,163 | D |
Explanation of responses
- F1Shares granted under equity plan.
- F2The shares granted vest ratably over a three year period.