0000899733-01-500093.txt : 20011018
0000899733-01-500093.hdr.sgml : 20011018
ACCESSION NUMBER: 0000899733-01-500093
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20010930
FILED AS OF DATE: 20011010
COMPANY DATA:
COMPANY CONFORMED NAME: HUGEN RICHARD L
CENTRAL INDEX KEY: 0001139555
STANDARD INDUSTRIAL CLASSIFICATION: []
OFFICER
FILING VALUES:
FORM TYPE: 4
BUSINESS ADDRESS:
STREET 1: 425 CORPORATE CICLE
CITY: GOLDEN
STATE: CO
ZIP: 80401
BUSINESS PHONE: 3032782002
SUBJECT COMPANY:
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: 0331
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-10869
FILM NUMBER: 1755785
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
4
1
hugen4sept01.txt
HUGEN FORM 4, 9/01
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
Hugen, Richard L.
425 Corporate Circle
Golden, CO 80401
2. Issuer Name and Ticker or Trading Symbol
UQM Technologies, Inc. (UQM)
3. IRS or Social Security Number of Reporting Person (Voluntary)
N/A
4. Statement for Month/Year
September, 2001
5. If Amendment, Date of Original (Month/Year)
N/A
6. Relationship of Reporting Person to Issuer
Officer: Vice President Marketing and Sales
TABLE I-Non-Derivative Securities Acquired, Disposed Of, or Beneficially Owned
1. Title of Security (Instr. 3)
Line 1 - Common Stock
2. Transaction Date (Month/Day/Year)
N/A
3. Transaction Code (Instr. 8)
N/A
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
N/A
5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4)
852 Shares.
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
Direct
7. Nature of Indirect Beneficial Ownership (Instr. 4)
N/A
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
2. Conversion or Exercise Price of Derivative Security
Line 1 - $5.36
3. Transaction Date (Month/Day/Year)
Line 1 - September 30, 2001
4. Transaction Code (Instr. 8)
Line 1 - C
5. Number of Derivative Securities Acquired (A) or Disposed of(D)
(Instr. 3, 4 and 5)
Line 1 - Call Option expired on 513 shares of common stock
6. Date Exercisable and Expiration Date (Month/Day/Year)
Line 1 - Date Exercisable: September 30, 2001; Expiration Date:
September 30, 2001
7. Title and Amount of Underlying Securities (Instr. 3 and 4)
Line 1 - 513 shares of common stock
8. Price of Derivative Security (Instr. 5)
Line 1 - N/A
9. Number of Derivative Securities Beneficially Owned at End of
Month (Instr. 4)
Call Options on 35,000 Shares
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4)
Direct
11. Nature of Indirect Beneficial Ownership (Instr. 4)
N/A
Explanation of Responses: none.
**Intentional misstatements or omissions of facts constitute Federal Criminal
Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a)
/s/Richard S. Hugen October 8, 2001
**Signature of Reporting Person Date