SEC Form 4 · accession 0001631311-16-000006

AMERICAN POWER GROUP Corp · APGI

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

Reporting owner

Director · 10% Owner

Period of report

Mar 31, 2016

Accepted (ET)

Aug 16, 2016 · 4:45 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, par value $.01 per share^F2	Mar 31, 2016	J	661,919	$0.1352	A	7,022,208	I	See Footnote 2
Common Stock, par value $.01 per share^F4	Jun 30, 2016	J	268,817	$0.1395	A	7,686,022	I	See Footnote 4
Common Stock, par value $.01 per share^F6	Jun 30, 2016	J	394,997	$0.1395	A	7,686,022	I	See Footnote 6
Common Stock, par value $.01 per share	Jul 5, 2016	J	4,604,722	$0.14	A	12,290,744	D
Common Stock, par value $.01 per share^F9	Jul 12, 2016	J	1,209,857	$0.14	A	13,500,601	I	See Footnote 9
Common Stock, par value $.01 per share^F11	Aug 12, 2016	J	589,688	$0.17	A	14,090,289	I	See Footnote 11

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Common Stock Warrants^F7	$0.14	Jul 5, 2016	P	4,604,722	A	Jul 5, 2016	Jul 5, 2021	Common Stock, par value $.01 per share	4,604,722	17,485,154	D
Common Stock Warrants (right to buy)^F10,F12	$0.17	Aug 12, 2016	P	589,688	A	Aug 12, 2016	Aug 12, 2021	Common Stock, par value $.01 per share	589,688	19,874,387	I

F1Dividend of $89,491.45 from Arrow, LLC's Series D holdings, paid in common stock.
F10Issued in connection with the conversion of a $100,000 loan payable to The Matthew Donald Van Steenwyk GST Trust.
F11Issued to The Matthew Donald Van Steenwyk GST Trust. Mr. Van Steenwyk is the trustee of said Trust.
F12Issued to The Matthew David Van Steenwyk GST Trust. Mr. Van Steenwyk is the trustee of said Trust.
F2By Arrow, LLC. Matthew Van Steenwyk is Director of Arrow, LLC, direct owner of shares.
F3Dividend of $37,500 from Arrow, LLC's Series D holdings, paid in common stock.
F4By Arrow, LLC. Matthew Van Steenwyk is Director of Arrow, LLC, direct owner of shares.
F5Dividend of $55,102 from Arrow, LLC's Series D-2 holdings, paid in common stock.
F6By Arrow, LLC. Matthew Van Steenwyk is Director of Arrow, LLC, direct owner of shares.
F7Issued in connection with the conversion of $644,661 (including $4,661 of interest) due under four term loans, aggregating to $640,000 at a price of $.14 per share, along with an equal number of Common Stock warrants shown in Table II.
F8Issued in connection with the conversion of an amount payable to Arrow, LLC of $169,380 (comprising $99,672 of interest and $69,708 of principal) under the WPU Leasing Loan agreement.
F9By Arrow, LLC. Matthew Van Steenwyk is Director of Arrow, LLC, direct owner of shares.