SEC Form 4 · accession 0000940148-17-000002

AMERICAN POWER GROUP Corp · APGI

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

Reporting owner

Director · 10% Owner

Period of report

Jan 8, 2016

Accepted (ET)

Mar 17, 2017 · 5:02 pm EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0000932699

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock^F2	Jun 30, 2016	J	438,715	$0.14	A	462,532	I	Member of Entity
Common Stock^F3	Jun 30, 2016	J	24,032	$0.14	A	486,564	I	Member of Entity
Common Stock^F2	Jul 11, 2016	P	716,071	$0.14	A	1,202,635	I	Member of Entity
Common Stock^F2	Aug 24, 2016	P	476,190	$0.21	A	1,678,825	I	Member of Entity
Common Stock^F2	Aug 30, 2016	P	217,391	$0.23	A	1,896,216	I	Member of Entity
Common Stock^F2	Dec 31, 2016	J	441,583	$0.13	A	2,337,799	I	Member of Entity
Common Stock^F3	Dec 31, 2016	J	6,109	$0.13	A	2,343,908	I	Member of Entity
Common Stock^F2	Feb 3, 2017	J	1,026,132	$0.13	A	3,370,040	I	Member of Entity
Common Stock^F3	Mar 16, 2017	P	500,000	$0.10	A	3,870,040	I	Member of Entity

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
10% Convertible Preferred Stock^F2,F4	—	Jan 8, 2016	P	5	A	—	—	Common Stock	5,000,000	9,712,296	I
Common Stock Purchase Warrant^F2,F5	$0.10	Jan 8, 2016	P	10,000,000	A	—	—	Common Stock	10,000,000	14,631,621	I
Common Stock Purchase Warrant^F2,F5	$0.14	Jul 11, 2016	P	716,071	A	—	—	Common Stock	716,071	15,347,694	I
Common Stock Purchase Warrant^F2,F5	$0.21	Aug 24, 2016	P	476,190	A	—	—	Common Stock	476,190	15,823,884	I
Common Stock Purchase Warrant^F2,F5	$0.23	Aug 30, 2016	P	217,391	A	—	—	Common Stock	217,391	16,041,275	I
Common Stock Purchase Warrants^F5	$0.20	Sep 13, 2016	P	6,950,000	A	—	—	Common Stock	6,950,000	22,991,275	D

F1Shares of common stock received in lieu of cash for Convertible Preferred Stock
F2The reported securities are owned directly by Associated Private Equity, LLC of which Mr. Braverman is a member. Mr. Braverman disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.
F3The reported securities are owned by North Military, Ltd of which Mr. Braverman is a member. Mr. Braverman disclaims beneficially ownership of the reported securities except to the extent of his pecuniary interest therein.
F4The Preferred Stock is convertible at any time, at the holder's election and has no expiration date. Each share of Preferred Stock has a fair value of $100,000 and is convertible into shares of Common Stock at a conversion price of $.10 per share.
F5The warrants are immediately exercisable for a term of 10 years from date of grant.