SEC Form 4 · accession 0000315449-18-000034
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, 2018
Accepted (ET)
Jul 16, 2018 · 7:45 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 | Jul 12, 2018 | F | 2,501 | $0.97 | D | 86,254 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| call optionsF2 | — | Jul 12, 2018 | P | 0 | A | — | — | common stock | 441,147 | 441,147 | D |
Explanation of responses
- F1Payment of tax liability by withholding securities incident to the vesting of a security issued in accordance with rule 16b-3.
- F2Various