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Workhorse Group Inc. — Director's Dealing 2016
Feb 24, 2016
34980_dirs_2016-02-24_75728111-6945-4c12-af1d-931309c94741.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: 2015-12-04
Reporting Person: BAKSA STEPHEN D (10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2016-02-21 | COMMON STOCK, $0.001 PAR VALUE PER SHARE | X | 25000 | $100000 | Acquired | 2552513 | Direct |
| 2016-01-07 | COMMON STOCK, $0.001 PAR VALUE PER SHARE | P | 981 | $6641 | Acquired | 2527513 | Direct |
| 2015-12-04 | COMMON STOCK, $0.001 PAR VALUE PER SHARE | P | 91624 | $320684 | Acquired | 2526532 | Direct |
| 2015-11-09 | COMMON STOCK, $0.001 PAR VALUE PER SHARE | P | 142857 | $500000 | Acquired | 2434908 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2015-12-04 | COMMON STOCK PURCHASE WARRANT | $5.28 | P | 91624 | Acquired | 2020-12-04 | COMMON STOCK, PAR VALUE $0.001 (91624) | Direct |
| 2015-11-09 | COMMON STOCK PURCHASE WARRANT | $5.28 | P | 142857 | Acquired | 2020-11-09 | COMMON STOCK, PAR VALUE $0.001 (142857) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| COMMON STOCK, $0.001 PAR VALUE PER SHARE | 31000 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| COMMON STOCK PURCHASE WARRANT | $1.40 | 2017-12-07 | COMMON STOCK, PAR VALUE $0.001 (71429) | 71429 | Direct |
| COMMON STOCK PURCHASE WARRANT | $1.50 | 2017-03-27 | COMMON STOCK, PAR VALUE $0.001 (375000) | 375000 | Direct |
| COMMON STOCK PURCHASE WARRANT | $4.00 | 2016-03-13 | COMMON STOCK, PAR VALUE $0.001 (125000) | 125000 | Direct |
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