Filing Details
- Accession Number:
- 0001213900-20-017160
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-07-10 10:56:26
- Reporting Period:
- 2018-04-30
- Accepted Time:
- 2020-07-10 10:56:26
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1425287 | Workhorse Group Inc. | WKHS | Motor Vehicles & Passenger Car Bodies (3711) | 261394771 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1607972 | Jr Theodore Joseph Lukens | C/O Workhorse Group Inc., 100 Commerce Drive Loveland OH 45140 | No | 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 | 2018-04-30 | 36,765 | $2.82 | 7,007,048 | No | 4 | P | Indirect | See Footnotes |
| Common Stock | Acquisiton | 2018-06-14 | 410,155 | $0.00 | 7,417,203 | No | 4 | M | Indirect | See Footnotes |
| Common Stock | Disposition | 2019-07-16 | 267,356 | $3.60 | 7,149,847 | No | 4 | S | Indirect | See Footnotes |
| Common Stock | Disposition | 2019-07-22 | 109,000 | $3.48 | 7,040,847 | No | 4 | S | Indirect | See Footnotes |
| Common Stock | Disposition | 2020-02-18 | 83,644 | $3.36 | 6,957,203 | No | 4 | S | Indirect | See Footnotes |
| Common Stock | Disposition | 2020-02-21 | 4,946 | $3.90 | 6,952,257 | No | 4 | S | Indirect | See Footnotes |
| Common Stock | Disposition | 2020-02-25 | 200 | $3.70 | 6,952,057 | No | 4 | S | Indirect | See Footnotes |
| Common Stock | Disposition | 2020-02-26 | 61,700 | $3.62 | 6,890,357 | No | 4 | S | Indirect | See Footnotes |
| Common Stock | Disposition | 2020-03-03 | 100,000 | $2.99 | 6,790,357 | No | 4 | S | Indirect | See Footnotes |
| Common Stock | Disposition | 2020-03-11 | 15,000 | $2.36 | 6,775,357 | No | 4 | S | Indirect | See Footnotes |
| Common Stock | Disposition | 2020-04-05 | 18,154 | $3.24 | 6,757,203 | No | 4 | S | Indirect | See Footnotes |
| Common Stock | Disposition | 2020-05-20 | 654,781 | $0.00 | 6,102,422 | No | 4 | J | Indirect | See Footnotes |
| Common Stock | Disposition | 2020-06-30 | 500,000 | $18.40 | 5,602,422 | No | 4 | S | Indirect | See Footnotes |
| Common Stock | Disposition | 2020-07-01 | 100,000 | $20.00 | 5,502,422 | No | 4 | S | Indirect | See Footnotes |
| Common Stock | Disposition | 2020-07-07 | 1,500,000 | $0.00 | 4,002,422 | No | 4 | J | Indirect | See Footnotes |
| Common Stock | Acquisiton | 2020-07-07 | 1,500,000 | $0.00 | 1,500,000 | No | 4 | J | Direct | |
| Common Stock | Disposition | 2019-09-03 | 77,436 | $0.00 | 77,435 | No | 4 | G | Indirect | The Joe & Kim Lukens Foundation |
| Common Stock | Disposition | 2019-12-23 | 77,435 | $0.00 | 0 | No | 4 | G | Indirect | The Joe & Kim Lukens Foundation |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Indirect | See Footnotes |
| No | 4 | M | Indirect | See Footnotes |
| No | 4 | S | Indirect | See Footnotes |
| No | 4 | S | Indirect | See Footnotes |
| No | 4 | S | Indirect | See Footnotes |
| No | 4 | S | Indirect | See Footnotes |
| No | 4 | S | Indirect | See Footnotes |
| No | 4 | S | Indirect | See Footnotes |
| No | 4 | S | Indirect | See Footnotes |
| No | 4 | S | Indirect | See Footnotes |
| No | 4 | S | Indirect | See Footnotes |
| No | 4 | J | Indirect | See Footnotes |
| No | 4 | S | Indirect | See Footnotes |
| No | 4 | S | Indirect | See Footnotes |
| No | 4 | J | Indirect | See Footnotes |
| No | 4 | J | Direct | |
| No | 4 | G | Indirect | The Joe & Kim Lukens Foundation |
| No | 4 | G | Indirect | The Joe & Kim Lukens Foundation |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Common Stock Purchase Warrant | Disposition | 2018-06-14 | 585,936 | $0.00 | 585,936 | $3.80 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2017-09-18 | 2022-09-18 | No | 4 | M | Indirect |
Footnotes
- Held by New Era Capital Fund L.P. of which New Era Capital LLC is the General Partner, of which the reporting person is the managing member. The reporting person disclaims beneficial ownership of these securities except to the extent of her 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.
- New Era Capital Fund L.P. exchanged warrants to purchase 585,936 shares of common stock of the issuer for 410,155 shares of common stock of the issuer.
- In-kind distribution by New Era Capital Fund L.P. of the issuer's common stock to New Era Capital Fund L.P.'s partners.
Billionaire Hedge Funds
