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Workhorse Group Inc. — Director's Dealing 2016
Mar 22, 2016
34980_dirs_2016-03-22_4a1c1a13-185d-460f-b18e-6076acc54b0e.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: 2016-03-09
Reporting Person: LUKENS JOSEPH THEODORE JR (10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2016-03-09 | Common Stock, $0.001 par value per share | G | 150000 | $4.00 | Disposed | 1900689 | Direct |
| 2016-03-09 | Common Stock, $0.001 par value per share | X | 250000 | $4.00 | Acquired | 2050689 | Direct |
| 2016-01-05 | Common Stock, $0.001 par value per share | C | 571429 | $3.50 | Acquired | 1800629 | Direct |
| 2016-03-09 | Common Stock, $0.001 par value per share | A | 25000 | $4.00 | Acquired | 25000 | Indirect |
| 2016-03-09 | Common Stock, $0.001 par value per share | A | 25000 | $4.00 | Acquired | 25000 | Indirect |
| 2016-03-09 | Common Stock, $0.001 par value per share | A | 25000 | $4.00 | Acquired | 25000 | Indirect |
| 2016-03-09 | Common Stock, $0.001 par value per share | A | 25000 | $4.00 | Acquired | 25000 | Indirect |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock, $0.001 par value per share | 154870 | Indirect |
| Common Stock, $0.001 par value per share | 2697147 | 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 (900000) | 900000 | Direct |
| Common Stock Purchase Warrant | $1.50 | 2017-03-17 | Common Stock, Par Value $0.001 (600000) | 600000 | Direct |
Footnotes
F1: Mr. Lukens assigned an aggregate of 150,000 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