Filing Details
- Accession Number:
- 0001181431-14-025463
- Form Type:
- 4/A
- Zero Holdings:
- No
- Publication Time:
- 2014-07-01 16:30:47
- Reporting Period:
- 2014-06-24
- Filing Date:
- 2014-07-01
- Accepted Time:
- 2014-07-01 16:30:47
- Original Submission Date:
- 2014-06-26
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1140310 | Zbb Energy Corp | ZBB | Electric Services (4911) | 391987014 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1480366 | C Eric Apfelbach | N93 W14475 Whittaker Way Menomonee Falls WI 53051 | Chief Executive Officer | Yes | Yes | 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 | Acquisiton | 2014-06-24 | 200,000 | $0.00 | 230,162 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2014-06-24 | 23,989 | $1.70 | 206,173 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2014-06-25 | 23,989 | $1.67 | 182,184 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2014-06-26 | 23,990 | $1.70 | 158,194 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2014-06-27 | 4,830 | $1.75 | 153,364 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Restricted Stock Units | Disposition | 2014-06-24 | 200,000 | $0.00 | 200,000 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | No | 4 | M | Direct |
Footnotes
- Represents shares of common stock received upon vesting of a restricted stock unit award.
- Represents shares sold pursuant to a Sell-to-Cover Rule 10b5-1 Plan to pay withholding taxes due in connection with the settlement of a restricted stock unit award.
- The price reported in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $1.67 to $1.80, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- The price reported in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $1.65 to $1.7014, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- The price reported in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $1.63 to $1.7818, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- Each restricted stock unit represents a contingent right to receive one share of common stock.
- Represents a restricted stock unit award granted on April 9, 2014 that was settled on June 24, 2014.
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