-----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, DdyFBeR8HSXwJmeQmA5j2WMKVdQ9dtFhSskqtSSbTnffXCQUoBPzYZzdjDkVJoLO SzWFn4rcZXQ0t1FMQYrOzQ== 0000315449-00-000008.txt : 20000510 0000315449-00-000008.hdr.sgml : 20000510 ACCESSION NUMBER: 0000315449-00-000008 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20000426 FILED AS OF DATE: 20000509 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: 3 SEC ACT: SEC FILE NUMBER: 001-10869 FILM NUMBER: 622309 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: ROY STEPHEN J CENTRAL INDEX KEY: 0001113755 STANDARD INDUSTRIAL CLASSIFICATION: [] DIRECTOR FILING VALUES: FORM TYPE: 3 BUSINESS ADDRESS: STREET 1: 425 CORPORATE CIRCLE CITY: GOLDEN STATE: CO ZIP: 80401 BUSINESS PHONE: 3032782002 3 1 FORM 3 U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEIFICIAL OWNERSHIP OF SECURITIES 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 1. Name and Address of Reporting Person Stephen J. Roy 425 Corporate Circle Golden, CO 80401 2. Date of Event Requiring Statement (Month/Day/Year) April 26, 2000 3. IRS or Social Security Number of Reporting Person (Voluntary) N/A 4. Issuer Name and Ticker or Trading Symbol Unique Mobility, Inc. (UQM) 5. Relationship of Reporting Person to Issuer Director 6. If Amendment, Date of Original (Month/Day/Year) N/A 7. Individual or Joint/Group Filing (Check applicable line) Form filed by One Reporting Person TABLE I-Non-Derivative Securities Beneficially Owned 1. Title of Security (Instr. 4) Line 1 - Common Stock 2. Amount of Securities Beneficially Owned (Inst. 4) Line 1 - 2,000 Shares 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) Line 1 - Direct 4. Nature of Indirect Beneficial Ownership (Instr. 5) Line 1- N/A TABLE II-Derivative Securities Beneficially Owned (e.g., Puts, Calls, Warrants, Options, Convertible Securities) 1. Title of Derivative Security (Instr. 4) Line 1 - Call Option Line 2 - Call Option Line 3 - Call Option 2. Date Exercisable and Expiration Date (Month/Day/Year) Line 1 - Date Exercisable:April 27, 2001 Expiration Date:April 26, 2010 Line 2 - Date Exercisable:April 27, 2002 Expiration Date:April 26, 2010 Line 3 - Date Exercisable:April 27, 2003 Expiration Date:April 26, 2010 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) Line 1 - Title: Common Stock Amount or Number of Shares: 326 shares Line 2 - Title: Common Stock Amount or Number of Shares: 326 shares Line 3 - Title: Common Stock Amount or Number of Shares: 325 shares 4. Conversion or Exercise Price of Derivative Security Line 1 - $7.63 per share Line 2 - $7.63 per share Line 3 - $7.63 per share 5. Ownership Form of Derivative Security Direct (D) or Indirect (I) (Instr. 5) Line 1 - Direct Line 2 - Direct Line 3 - Direct 6. Nature of Indirect Beneficial Ownership (Instr. 5) N/A Explanation of Responses: **Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a) /s/ Stephen J. Roy May 8, 2000 **Signature of Reporting Person Date -----END PRIVACY-ENHANCED MESSAGE-----