SEC Form 4 · accession 0000315449-17-000022
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, 2017
Accepted (ET)
Jul 18, 2017 · 6:39 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 stock | Jul 12, 2017 | A | 0 | $0.00 | A | 60,043 | 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 | $0.87 | Jul 12, 2017 | A | 24,933 | A | Jul 12, 2018 | Jul 11, 2027 | common stock | 24,933 | 263,137 | D |
| call options | $0.87 | Jul 12, 2017 | A | 24,933 | A | Jul 12, 2019 | Jul 11, 2027 | common stock | 24,933 | 288,070 | D |
| call options | $0.87 | Jul 12, 2017 | A | 24,934 | A | Jul 12, 2020 | Jul 11, 2027 | common stock | 24,934 | 313,004 | D |
Explanation of responses
- F1Shares granted under equity plan.