Filing Details
- Accession Number:
- 0001213900-20-017835
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-07-17 17:13:37
- Reporting Period:
- 2020-07-15
- Accepted Time:
- 2020-07-17 17:13:37
- 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 |
|---|---|---|---|---|---|---|---|
| 1593040 | Joseph Raymond Chess | 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 | Disposition | 2020-07-15 | 27,365 | $16.34 | 157,243 | No | 4 | S | Direct | |
| Common Stock, $0.001 Par Value Per Share | Disposition | 2020-07-15 | 1,096 | $15.97 | 184,608 | No | 4 | F | Direct | |
| Common Stock, $0.001 Par Value Per Share | Acquisiton | 2020-07-15 | 10,000 | $1.75 | 185,704 | No | 4 | M | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct | |
| No | 4 | F | Direct | |
| No | 4 | M | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock, $0.001 Par Value Per Share | Stock Options | Acquisiton | 2020-07-15 | 10,000 | $1.75 | 10,000 | $1.75 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 10,000 | 2015-08-13 | 2020-08-11 | No | 4 | M | Direct |
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 | 2021-08-16 | 10,000 | 10,000 | Direct |
| Common Stock, $0.001 Par Value Per Share | Stock Options | $4.99 | 2016-02-03 | 2021-02-01 | 10,000 | 10,000 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2021-08-16 | 10,000 | 10,000 | Direct |
| 2021-02-01 | 10,000 | 10,000 | Direct |
Footnotes
- The sales reported on this Form 4 were effected pursuant to a Rule 10b-5 trading plan.
- Represents the exercise of a stock option pursuant to which the Reporting Person received an aggregate of 10,000 shares by means of a cashless exercise. A cashless exercise is a method of exercising a stock option in which the option holder pays the exercise price to Workhorse Group Inc. using shares of common stock the Reporting Person would have received pursuant to the option exercise. As a result of this cashless exercise, the Reporting Person, on a net basis, acquired ownership of a net amount of 8,904 shares of common stock.
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