Filing Details
- Accession Number:
- 0001181431-11-042818
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-07-28 16:04:44
- Reporting Period:
- 2011-07-27
- Filing Date:
- 2011-07-28
- Accepted Time:
- 2011-07-28 16:04:44
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1424640 | Arista Power Inc. | OTCBB:ASPW | Engines & Turbines (3510) | 000000000 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1245197 | A William Schmitz | C/O Arista Power, Inc. 1999 Mt. Read Boulevard Rochester NY 14615 | Chief Executive Officer | Yes | Yes | 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 | Acquisiton | 2011-07-27 | 12,500,000 | $0.04 | 12,500,000 | No | 4 | P | Indirect | by IRA |
| Common Stock | Acquisiton | 2011-07-27 | 5,500,000 | $0.04 | 6,476,648 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Indirect | by IRA |
| No | 4 | P | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Warrant | Acquisiton | 2011-07-27 | 437,500 | $0.00 | 437,500 | $0.50 |
| Common Stock | Warrant | Acquisiton | 2011-07-27 | 192,500 | $0.00 | 192,500 | $0.50 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 437,500 | 2013-07-27 | 2021-07-27 | No | 4 | P | Indirect |
| 192,500 | 2013-07-27 | 2021-07-27 | No | 4 | P | Direct |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Option | $0.29 | 2010-11-15 | 2019-11-15 | 250,000 | 250,000 | Direct |
| Common Stock | Option | $0.29 | 2019-11-15 | 1,250,000 | 1,250,000 | Direct | |
| Common Stock | Warrant | $0.25 | 2010-10-26 | 2020-04-26 | 575,000 | 575,000 | Direct |
| Common Stock | Warrant | $0.25 | 2011-04-26 | 2020-04-26 | 575,000 | 575,000 | Direct |
| Common Stock | Warrant | $0.25 | 2020-04-26 | 1,150,000 | 1,150,000 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2019-11-15 | 250,000 | 250,000 | Direct |
| 2019-11-15 | 1,250,000 | 1,250,000 | Direct |
| 2020-04-26 | 575,000 | 575,000 | Direct |
| 2020-04-26 | 575,000 | 575,000 | Direct |
| 2020-04-26 | 1,150,000 | 1,150,000 | Direct |
Footnotes
- Includes 851,648 shares of common stock that vest in full on March 1, 2012.
- The options vest on November 15, 2011 with respect to 250,000 options and on November 15, 2012 with respect to 1,000,000 options.
- The Warrant vests in equal installments on October 26, 2011 and April 26, 2012.
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