SEC Form 5 · accession 0001437749-17-005758

Bulova Technologies Group, Inc. · BTGI

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — President of Subsidiary · 10% Owner

Period of report

Sep 30, 2016

Accepted (ET)

Mar 31, 2017 · 3:03 pm EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0000317889

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
preferred stock^F1	Feb 25, 2013	P	800,000,000	$0.0001	A	800,000,000	I	See footnote
common stock^F2	Apr 25, 2014	P	3,000,000	$0.0119	A	3,000,000	I	See footnote
common stock^F3	Apr 25, 2014	P	3,000,000	$0.0119	A	3,000,000	I	See footnote
common stock^F11	Sep 6, 2016	P	550,000	$0.004	A	550,000	I	See Footnote
common stock^F11	Sep 7, 2016	P	400,000	$0.0037	A	400,000	I	See Footnote

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Warrants^F5,F4	$0.02	Sep 1, 2013	P	3,166,667	A	—	Aug 31, 2023	common stock	3,166,667	3,166,667	D
Warrants^F5,F6,F4	$0.02	Sep 1, 2013	P	3,166,667	A	—	Aug 31, 2023	common stock	3,166,667	3,166,667	I
Warrants^F7,F8,F4	$0.02	Oct 3, 2014	P	1,980,851	A	—	Feb 27, 2023	common stock	1,980,851	1,980,851	I
Warrants^F7,F9,F4	$0.02	Oct 3, 2014	P	1,980,851	A	—	Feb 27, 2023	common stock	1,980,851	1,980,851	I
Warrants^F10,F8,F4	$0.02	Sep 3, 2014	P	5,000,000	A	—	Sep 2, 2024	common stock	5,000,000	5,000,000	I
Warrants^F10,F9,F4	$0.02	Sep 3, 2014	P	5,000,000	A	—	Sep 2, 2024	common stock	5,000,000	5,000,000	I
Warrants^F10,F8,F4	$0.02	Aug 29, 2014	P	10,000,000	A	—	Aug 28, 2024	common stock	10,000,000	10,000,000	I
Warrants^F10,F9,F4	$0.02	Aug 29, 2014	P	10,000,000	A	—	Aug 28, 2024	common stock	10,000,000	10,000,000	I

F1Owned through Fieldstone Affiliates LLC.
F10Warrants were issued in connection with loans to the Issuer.
F11Owned indirectly through wife's Trust
F2Indirect ownership through NuView IRA, Inc. FBO Gary Shapiro IRA.
F3Indirect ownership through IRA for benefit of wife.
F4Present
F5Warrants were issued in connection with a loan made to the issuer. No separate valuation of the warrants was made.
F6Owned indirectly through wife's ownership.
F7Warrants were originally issued in connection with a loan made to the issuer. They were assigned to Reporting Person at no cost.
F8Owned through NuView IRA, Inc. FBO Gary Shapiro IRA.
F9Owned indirectly through IRA for benefit of wife.