Filing Details
- Accession Number:
- 0001104659-12-062882
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-09-11 20:17:56
- Reporting Period:
- 2012-09-07
- Filing Date:
- 2012-09-11
- Accepted Time:
- 2012-09-11 20:17:56
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1167178 | A123 Systems Inc. | AONE | Miscellaneous Electrical Machinery, Equipment & Supplies (3690) | 043583876 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1472755 | P Jeffrey Mccarthy | C/O A123 Systems, Inc. 200 West Street Waltham MA 02451 | Yes | No | No | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock, $0.001 Par Value | Disposition | 2012-09-07 | 557,768 | $0.20 | 398,677 | No | 4 | S | Indirect | By North Bridge Venture Partners IV-A, L.P. |
Common Stock, $0.001 Par Value | Disposition | 2012-09-07 | 264,772 | $0.20 | 189,249 | No | 4 | S | Indirect | By North Bridge Venture Partners IV-B, L.P. |
Common Stock, $0.001 Par Value | Disposition | 2012-09-07 | 790,072 | $0.20 | 564,721 | No | 4 | S | Indirect | By North Bridge Venture Partners V-A, L.P. |
Common Stock, $0.001 Par Value | Disposition | 2012-09-07 | 387,388 | $0.20 | 276,897 | No | 4 | S | Indirect | By North Bridge Venture Partners V-B, L.P. |
Common Stock, $0.001 Par Value | Disposition | 2012-09-10 | 398,677 | $0.22 | 0 | No | 4 | S | Indirect | By North Bridge Venture Partners IV-A, L.P. |
Common Stock, $0.001 Par Value | Disposition | 2012-09-10 | 189,249 | $0.22 | 0 | No | 4 | S | Indirect | By North Bridge Venture Partners IV-B, L.P. |
Common Stock, $0.001 Par Value | Disposition | 2012-09-10 | 564,721 | $0.22 | 0 | No | 4 | S | Indirect | By North Bridge Venture Partners V-A, L.P. |
Common Stock, $0.001 Par Value | Disposition | 2012-09-10 | 276,897 | $0.22 | 0 | No | 4 | S | Indirect | By North Bridge Venture Partners V-B, L.P. |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | S | Indirect | By North Bridge Venture Partners IV-A, L.P. |
No | 4 | S | Indirect | By North Bridge Venture Partners IV-B, L.P. |
No | 4 | S | Indirect | By North Bridge Venture Partners V-A, L.P. |
No | 4 | S | Indirect | By North Bridge Venture Partners V-B, L.P. |
No | 4 | S | Indirect | By North Bridge Venture Partners IV-A, L.P. |
No | 4 | S | Indirect | By North Bridge Venture Partners IV-B, L.P. |
No | 4 | S | Indirect | By North Bridge Venture Partners V-A, L.P. |
No | 4 | S | Indirect | By North Bridge Venture Partners V-B, L.P. |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock, $0.001 Par Value | 10,000 | Direct |
Footnotes
- Includes 7,500 restricted stock units ("RSUs"). Upon vesting thereof, the Reporting Person is entitled to receive one (1) share of common stock for each one (1) RSU.
- The transaction was executed in multiple trades in prices ranging from $0.1950 to $0.2129, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer, or a stockholder of the Issuer, information regarding the number of shares and prices at which the transaction was effected.
- The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.
- The transaction was executed in multiple trades in prices ranging from $0.2000 to $0.5150, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer, or a stockholder of the Issuer, information regarding the number of shares and prices at which the transaction was effected.