Filing Details
- Accession Number:
- 0000940148-17-000002
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-03-17 17:02:03
- Reporting Period:
- 2016-01-08
- Filing Date:
- 2017-03-17
- Accepted Time:
- 2017-03-17 17:02:03
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
932699 | American Power Group Corp | APGI | Engines & Turbines (3510) | 710724248 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
940148 | K Neil Braverman | C/O Pathstone Famly Office 1 Bridge Plaza Suite 550 Fort Lee NJ 07024 | Yes | No | Yes | 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 | 2016-06-30 | 438,715 | $0.14 | 462,532 | No | 4 | J | Indirect | Member of Entity |
Common Stock | Acquisiton | 2016-06-30 | 24,032 | $0.14 | 486,564 | No | 4 | J | Indirect | Member of Entity |
Common Stock | Acquisiton | 2016-07-11 | 716,071 | $0.14 | 1,202,635 | No | 4 | P | Indirect | Member of Entity |
Common Stock | Acquisiton | 2016-08-24 | 476,190 | $0.21 | 1,678,825 | No | 4 | P | Indirect | Member of Entity |
Common Stock | Acquisiton | 2016-08-30 | 217,391 | $0.23 | 1,896,216 | No | 4 | P | Indirect | Member of Entity |
Common Stock | Acquisiton | 2016-12-31 | 441,583 | $0.13 | 2,337,799 | No | 4 | J | Indirect | Member of Entity |
Common Stock | Acquisiton | 2016-12-31 | 6,109 | $0.13 | 2,343,908 | No | 4 | J | Indirect | Member of Entity |
Common Stock | Acquisiton | 2017-02-03 | 1,026,132 | $0.13 | 3,370,040 | No | 4 | J | Indirect | Member of Entity |
Common Stock | Acquisiton | 2017-03-16 | 500,000 | $0.10 | 3,870,040 | No | 4 | P | Indirect | Member of Entity |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | J | Indirect | Member of Entity |
No | 4 | J | Indirect | Member of Entity |
No | 4 | P | Indirect | Member of Entity |
No | 4 | P | Indirect | Member of Entity |
No | 4 | P | Indirect | Member of Entity |
No | 4 | J | Indirect | Member of Entity |
No | 4 | J | Indirect | Member of Entity |
No | 4 | J | Indirect | Member of Entity |
No | 4 | P | Indirect | Member of Entity |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | 10% Convertible Preferred Stock | Acquisiton | 2016-01-08 | 5 | $0.10 | 5,000,000 | $0.00 |
Common Stock | Common Stock Purchase Warrant | Acquisiton | 2016-01-08 | 10,000,000 | $0.10 | 10,000,000 | $0.10 |
Common Stock | Common Stock Purchase Warrant | Acquisiton | 2016-07-11 | 716,071 | $0.14 | 716,071 | $0.14 |
Common Stock | Common Stock Purchase Warrant | Acquisiton | 2016-08-24 | 476,190 | $0.21 | 476,190 | $0.21 |
Common Stock | Common Stock Purchase Warrant | Acquisiton | 2016-08-30 | 217,391 | $0.23 | 217,391 | $0.23 |
Common Stock | Common Stock Purchase Warrants | Acquisiton | 2016-09-13 | 6,950,000 | $0.20 | 6,950,000 | $0.20 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
9,712,296 | No | 4 | P | Indirect | ||
14,631,621 | No | 4 | P | Indirect | ||
15,347,694 | No | 4 | P | Indirect | ||
15,823,884 | No | 4 | P | Indirect | ||
16,041,275 | No | 4 | P | Indirect | ||
22,991,275 | No | 4 | P | Direct |
Footnotes
- Shares of common stock received in lieu of cash for Convertible Preferred Stock
- The reported securities are owned directly by Associated Private Equity, LLC of which Mr. Braverman is a member. Mr. Braverman disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.
- The reported securities are owned by North Military, Ltd of which Mr. Braverman is a member. Mr. Braverman disclaims beneficially ownership of the reported securities except to the extent of his pecuniary interest therein.
- The Preferred Stock is convertible at any time, at the holder's election and has no expiration date. Each share of Preferred Stock has a fair value of $100,000 and is convertible into shares of Common Stock at a conversion price of $.10 per share.
- The warrants are immediately exercisable for a term of 10 years from date of grant.