Filing Details
- Accession Number:
- 0001628280-20-012938
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-08-20 17:02:14
- Reporting Period:
- 2020-08-18
- Accepted Time:
- 2020-08-20 17:02:14
- 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 |
|---|---|---|---|---|---|---|---|
| 1661669 | Benjamin H. Samuels | C/O Workhorse Group Inc., 100 Commerce Drive Loveland OH 45140 | 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 Per Share | Acquisiton | 2020-08-20 | 95,254 | $5.28 | 645,419 | No | 4 | X | Indirect | See Footnote |
| Common Stock, $0.001 Par Value Per Share | Acquisiton | 2020-08-20 | 285,071 | $5.28 | 550,165 | No | 4 | X | Indirect | See Footnote |
| Common Stock, $0.001 Par Value Per Share | Disposition | 2020-08-18 | 300,000 | $16.54 | 265,094 | No | 4 | S | Indirect | See Footnote |
| Common Stock, $0.001 Par Value Per Share | Disposition | 2020-08-18 | 100,000 | $16.62 | 565,094 | No | 4 | S | Indirect | See Footnote |
| Common Stock, $0.001 Par Value Per Share | Disposition | 2020-08-18 | 100,000 | $16.80 | 665,094 | No | 4 | S | Indirect | See Footnote |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | X | Indirect | See Footnote |
| No | 4 | X | Indirect | See Footnote |
| No | 4 | S | Indirect | See Footnote |
| No | 4 | S | Indirect | See Footnote |
| No | 4 | S | Indirect | See Footnote |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock, $0.001 Par Value Per Share | Common Stock Purchase Warrant | Disposition | 2020-08-20 | 95,254 | $5.28 | 95,254 | $5.28 |
| Common Stock, $0.001 Par Value Per Share | Common Stock Purchase Warrant | Disposition | 2020-08-20 | 285,071 | $5.28 | 285,071 | $5.28 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2015-11-09 | 2020-11-07 | No | 4 | X | Indirect |
| 0 | 2015-11-09 | 2020-11-07 | No | 4 | X | Indirect |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock, $0.001 Par Value Per Share | 533,701 | Direct | |
| Common Stock, $0.001 Par Value Per Share | 420,964 | Indirect | See Footnote |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock, $0.001 Par Value Per Share | Stock Options | $7.21 | 2016-08-16 | 2021-08-15 | 10,000 | 10,000 | Direct |
| Common Stock, $0.001 Par Value Per Share | Stock Options | $7.01 | 2015-12-17 | 2020-12-17 | 50,000 | 50,000 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2021-08-15 | 10,000 | 10,000 | Direct |
| 2020-12-17 | 50,000 | 50,000 | Direct |
Footnotes
- The securities are held by the Samuels 2012 Children's Trust UAD 10/28/12. H. Benjamin Samuels, a director of Workhorse Group Inc., is a trustee and beneficiary of Samuels 2012 Children's Trust UAD 10/28/12.
- The shares of common stock are held by the Marci Rosenberg 2012 Family Trust. Marci Rosenberg is the trustee of such trust. Mrs. Rosenberg is the wife of H. Benjamin Samuels, a director of Workhorse Group Inc.
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