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
  1. Shares of common stock received in lieu of cash for Convertible Preferred Stock
  2. 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.
  3. 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.
  4. 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.
  5. The warrants are immediately exercisable for a term of 10 years from date of grant.