SEC Form 4 · accession 0000315449-18-000014
UQM TECHNOLOGIES INC · UQM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joseph R Mitchell
Officer — President and CEO
Period of report
Apr 20, 2018
Accepted (ET)
Apr 27, 2018 · 2:16 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 | 56,000 | $1.25 | A | 173,822 | D |
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 | 98,246 | A | Apr 19, 2019 | Apr 19, 2028 | common stock | 98,246 | 570,381 | D |
| call optionsF1,F2 | $1.25 | Apr 20, 2018 | A | 98,246 | A | Apr 19, 2020 | Apr 19, 2028 | common stock | 98,246 | 668,627 | D |
| call optionsF1,F2 | $1.25 | Apr 20, 2018 | A | 98,245 | A | Apr 19, 2021 | Apr 19, 2028 | common stock | 98,245 | 766,872 | D |
Explanation of responses
- F1Shares granted under equity plan.
- F2Various