SEC Form 4 · accession 0000315449-18-000011
UQM TECHNOLOGIES INC · UQM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stephen J Roy
Director
Period of report
Apr 20, 2018
Accepted (ET)
Apr 27, 2018 · 1:51 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 | Apr 20, 2018 | A | 11,200 | $1.25 | A | 92,877 | D | |
| common stock | Apr 20, 2018 | A | 0 | $0.00 | A | 5,000 | I | Retirement account for the benefit of Stephen J. Roy |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| call optionsF1,F2 | $1.25 | Apr 20, 2018 | A | 20,000 | A | Apr 20, 2018 | Apr 19, 2028 | common stock | 20,000 | 155,171 | D |
Explanation of responses
- F1Shares granted under equity plan
- F2Various