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Workhorse Group Inc. — Director's Dealing 2016
Aug 31, 2016
34980_dirs_2016-08-31_abb9a25f-2149-4892-b654-bcf06825bc41.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Workhorse Group Inc. (WKHS)
CIK: 0001425287
Period of Report: 2016-06-30
Reporting Person: LUKENS JOSEPH THEODORE JR (10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2016-08-30 | Common Stock, $0.001 par value per share | G | 10000 | — | Disposed | 2654690 | Direct |
| 2016-08-24 | Common Stock, $0.001 par value per share | X | 600000 | $1.50 | Acquired | 2664690 | Direct |
| 2016-08-24 | Common Stock, $0.001 par value per share | X | 67000 | $1.50 | Acquired | 2064690 | Direct |
| 2016-06-30 | Common Stock, $0.001 par value per share | X | 667000 | $1.50 | Acquired | 1997690 | Direct |
| 2016-03-02 | Common Stock, $0.001 par value per share | G | 570000 | — | Disposed | 1330690 | Direct |
| 2016-03-02 | Common Stock, $0.001 par value per share | G | 570000 | — | Acquired | 570000 | Indirect |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock, $0.001 par value per share | 154871 | Indirect |
| Common Stock, $0.001 par value per share | 2697147 | Indirect |
| Common Stock, $0.001 par value per share | 25000 | Indirect |
| Common Stock, $0.001 par value per share | 25000 | Indirect |
| Common Stock, $0.001 par value per share | 25000 | Indirect |
| Common Stock, $0.001 par value per share | 25000 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Common Stock Purchase Warrant | $5.28 | 2020-11-25 | Common Stock, Par Value $0.001 (571429) | 571429 | Direct |
| Common Stock Purchase Warrant | $1.50 | 2017-05-22 | Common Stock, Par Value $0.001 (166000) | 233000 | Direct |
Footnotes
F1: Mr. Lukens assigned an aggregate of 100,000 shares to various family trusts on March 9, 2016.
F2: Joseph T Lukens, Jr. and Gerald Budde, Co-Trustee of the Joseph T. Lukens, Jr. Irrevocable Trust for Heidi H. Lukens U/T/A Dated 2/23/2016
F3: Joseph T Lukens, Jr. and Gerald Budde, Co-Trustee of the Joseph T. Lukens, Jr. Irrevocable Trust for Chelsey L. Lukens U/T/A Dated 2/23/2016
F4: Joseph T Lukens, Jr. and Gerald Budde, Co-Trustee of the Joseph T. Lukens, Jr. Irrevocable Trust for Nathan J. Lukens U/T/A Dated 2/23/2016
F5: Joseph T Lukens, Jr. and Gerald Budde, Co-Trustee of the Joseph T. Lukens, Jr. Irrevocable Trust for Roman E. Lukens U/T/A Dated 2/23/2016
F6: Mr. Lukens assigned 570,000 shares to Our Lady of America Ministries Inc., a Ohio 501(c)(3) charity controlled by Mr. Lukens.
F7: Mr. Lukens assigned an aggregate of 10,000 shares of common stock to two individuals.