0000315449-17-000022.txt : 20170718 0000315449-17-000022.hdr.sgml : 20170718 20170718183922 ACCESSION NUMBER: 0000315449-17-000022 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170712 FILED AS OF DATE: 20170718 DATE AS OF CHANGE: 20170718 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ROSENTHAL DAVID CENTRAL INDEX KEY: 0001107567 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-10869 FILM NUMBER: 17970358 MAIL ADDRESS: STREET 1: C/O SAN HOLDINGS, INC., STREET 2: 9800 PYRAMID COURT, SUITE 130 CITY: ENGLEWOOD STATE: CO ZIP: 80112 FORMER NAME: FORMER CONFORMED NAME: ROSENTHAL DAVID DATE OF NAME CHANGE: 20000223 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: UQM TECHNOLOGIES INC CENTRAL INDEX KEY: 0000315449 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRONIC COMPONENTS, NEC [3679] IRS NUMBER: 840579156 STATE OF INCORPORATION: CO FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 4120 SPECIALTY PLACE CITY: LONGMONT STATE: CO ZIP: 80504 BUSINESS PHONE: 3036824900 MAIL ADDRESS: STREET 1: 4120 SPECIALTY PLACE CITY: LONGMONT STATE: CO ZIP: 80504 4 1 primary_doc.xml PRIMARY DOCUMENT X0306 4 2017-07-12 0 0000315449 UQM TECHNOLOGIES INC UQM 0001107567 ROSENTHAL DAVID C/O SAN HOLDINGS, INC., 9800 PYRAMID COURT, SUITE 130 ENGLEWOOD CO 80112 0 1 0 0 Treasurer and Secretary Common stock 2017-07-12 4 A 0 0 0 A 60043 D call options 0.87 2017-07-12 2017-07-17 4 A 0 24933 0 A 2018-07-12 2027-07-11 common stock 24933 263137 D call options 0.87 2017-07-12 2017-07-17 4 A 0 24933 0 A 2019-07-12 2027-07-11 common stock 24933 288070 D call options 0.87 2017-07-12 2017-07-17 4 A 0 24934 0 A 2020-07-12 2027-07-11 common stock 24934 313004 D Shares granted under equity plan. David Rosenthal 2017-07-13