-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, CDlzSJ2obNrYaR10JwEGfgP+IHjRrk1KYwTQFMfP/wQQys32I3LHoA4G61xN9/Zz x/eS1vjLQRMhhG7/Fs4Gpg== 0000315449-00-000002.txt : 20000313 0000315449-00-000002.hdr.sgml : 20000313 ACCESSION NUMBER: 0000315449-00-000002 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20000229 FILED AS OF DATE: 20000310 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: UNIQUE MOBILITY INC CENTRAL INDEX KEY: 0000315449 STANDARD INDUSTRIAL CLASSIFICATION: MOTORS & GENERATORS [3621] IRS NUMBER: 840579156 STATE OF INCORPORATION: CO FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: 4 SEC ACT: SEC FILE NUMBER: 001-10869 FILM NUMBER: 566507 BUSINESS ADDRESS: STREET 1: 425 CORPORATE CIRCLE CITY: GOLDEN STATE: CO ZIP: 80401 BUSINESS PHONE: 3032782002 MAIL ADDRESS: STREET 1: 425 CORPORATE CIRCLE CITY: GOLDEN STATE: CO ZIP: 80401 COMPANY DATA: COMPANY CONFORMED NAME: GEDDES RAY A CENTRAL INDEX KEY: 0000928825 STANDARD INDUSTRIAL CLASSIFICATION: [] DIRECTOR FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 425 CORPORATE CIRCLE CITY: GOLDEN STATE: CO ZIP: 80401 MAIL ADDRESS: STREET 1: 425 CORPORATE CIRCLE CITY: GOLDEN STATE: CO ZIP: 80401 4 1 FORM 4 U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 ____Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b) 1. Name and Address of Reporting Person Geddes, Ray Arthur 425 Corporate Circle Golden, CO 80401 2. Issuer Name and Ticker or Trading Symbol Unique Mobility, Inc. (UQM) 3. IRS or Social Security Number of Reporting Person (Voluntary) ###-##-#### 4. Statement for Month/Year February, 2000 5. If Amendment, Date of Original (Month/Year) N/A 6. Relationship of Reporting Person to Issuer Director TABLE I-Non-Derivative Securities Acquired, Disposed Of, or Beneficially Owned 1. Title of Security (Instr. 3) Line 1 - Common Stock Line 2 - Common Stock Line 3 - Common Stock Line 4 - Common Stock Line 5 - Common Stock Line 6 - Common Stock Line 7 - Common Stock Line 8 - Common Stock Line 9 - Common Stock Line 10 - Common Stock Line 11 - Common Stock Line 12 - Common Stock Line 13 - Common Stock 2. Transaction Date (Month/Day/Year) Line 1 - February 17, 2000 Line 2 - February 17, 2000 Line 3 - February 17, 2000 Line 4 - February 17, 2000 Line 5 - February 17, 2000 Line 6 - February 17, 2000 Line 7 - February 22, 2000 Line 8 - February 23, 2000 Line 9 - February 23, 2000 Line 10 - February 23, 2000 Line 11 - February 28, 2000 Line 12 - February 28, 2000 Line 13 - February 28, 2000 3. Transaction Code (Instr. 8) Line 1 - Code: S Line 2 - Code: S Line 3 - Code: S Line 4 - Code: S Line 5 - Code: S Line 6 - Code: S Line 7 - Code: S Line 8 - Code: S Line 9 - Code: S Line 10 - Code: S Line 11 - Code: M Line 12 - Code: M Line 13 - Code: M 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) Line 1 - Amount: 1,500 Shares;(A)or(D):Disposed;Price: $9.19 Per Share Line 2 - Amount: 1,500 Shares;(A)or(D):Disposed;Price: $9.25 Per Share Line 3 - Amount: 2,500 Shares;(A)or(D):Disposed;Price: $9.38 Per Share Line 4 - Amount: 8,200 Shares;(A)or(D):Disposed;Price: $9.50 Per Share Line 5 - Amount: 3,200 Shares;(A)or(D):Disposed;Price: $9.63 Per Share Line 6 - Amount: 3,100 Shares;(A)or(D):Disposed;Price: $9.69 Per Share Line 7 - Amount: 600 Shares;(A)or(D):Disposed;Price: $9.00 Per Share Line 8 - Amount: 1,000 Shares;(A)or(D):Disposed;Price: $9.06 Per Share Line 9 - Amount: 3,000 Shares;(A)or(D):Disposed;Price: $9.13 Per Share Line 10 - Amount: 2,000 Shares;(A)or(D):Disposed;Price: $9.19 Per Share Line 11 - Amount:30,200 Shares;(A)or(D):Acquired;Price; $3.31 Per Share Line 12 - Amount;28,000 Shares;(A)or(D):Acquired;Price; $3.50 Per Share Line 13 - Amount;24,200 Shares;(A)or(D):Acquired;Price; $4.13 Per Share 5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4) 603,412 Shares 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 9,411 Shares Direct 594,001 Shares Indirect 7. Nature of Indirect Beneficial Ownership (Instr. 4) 594,001 Shares Indirectly by a Limited Partnership of which Mr. Geddes is the General Partner TABLE II-Derivative Securities Acquired, Disposed Of, or Beneficially Owned (e.g., Puts, Calls, Warrants, Options, Convertible Securities) 1. Title of Derivative Security (Instr. 3) Line 1 - Call Option Line 2 - Call Option Line 3 - Call Option 2. Conversion or Exercise Price of Derivative Security Line 1 - $3.31 Per Share Line 2 - $3.50 Per Share Line 3 - $4.13 Per Share 3. Transaction Date (Month/Day/Year) Line 1 - February 28, 2000 Line 2 - February 28, 2000 Line 3 - February 28, 2000 4. Transaction Code (Instr. 8) Line 1 - Code: M Line 2 - Code: M Line 3 - Code: M 5. Number of Derivative Securities Acquired (A) or Disposed of(D) (Instr. 3, 4 and 5) Line 1 - Exercised Call Option on 30,200 Shares of Common Stock Line 2 - Exercised Call Option on 28,000 Shares of Common Stock Line 3 - Exercised Call Option on 24,200 Shares of Common Stock 6. Date Exercisable and Expiration Date (Month/Day/Year) Line 1 - Date Exercisable: January 2, 1998 Line 1 - Expiration Date: January 1, 2007 Line 2 - Date Exercisable: July 15, 1993 Line 2 - Expiration Date: July 14, 2002 Line 3 - Date Exercisable: December 8, 1996 Line 3 - Expiration Date: December 7, 2005 7. Title and Amount of Underlying Securities (Instr. 3 and 4) Line 1 - Title: Common Stock; Amount: 30,200 Shares Line 2 - Title: Common Stock; Amount: 28,000 Shares Line 3 - Title: Common Stock; Amount: 24,200 Shares 8. Price of Derivative Security (Instr. 5) N/A 9. Number of Derivative Securities Beneficially Owned at End of Month (Instr. 4) Call Options on 488,993 Shares 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) 488,993 Shares Direct 11. Nature of Indirect Beneficial Ownership (Instr. 4) N/A Explanation of Responses: N/A **Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a) /s/Ray A. Geddes March 10, 2000 **Signature of Reporting Person Date -----END PRIVACY-ENHANCED MESSAGE-----