SEC Form 3 · accession 0001683168-17-002154
Ocean Thermal Energy Corp · CPWR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Antoinette R. Hempstead
Director
Period of report
Feb 24, 2017
Accepted (ET)
Aug 15, 2017 · 6:34 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000827099
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | holding | — | — | — | 452 | D | ||
| Common StockF2 | holding | — | — | — | 114,699 | I | See footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The amount of shares reported have been adjusted to reflect the reverse stock split that occurred on December 31, 2016 and the forward stock split that occurred on May 8, 2017.
- F2The securities are directly owned by A.R. Hempstead Revocable Trust. Antoinette Hempstead is the owner of A.R.Hempstead Revocable Trust.