-----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, SykD+U2NwPBUVd9Jyw5kID8pGYOugwQQkcnOygHNOBRYIm+VL4Jgdj+cQ3Mf6UGq 6/UQd71/hD0Sd/PhA/T5pQ== 0001019343-97-000005.txt : 19970610 0001019343-97-000005.hdr.sgml : 19970610 ACCESSION NUMBER: 0001019343-97-000005 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19970531 FILED AS OF DATE: 19970606 SROS: AMEX SROS: BSE SROS: PSE 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: 1031 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-10869 FILM NUMBER: 97620156 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: FRENCH DONALD A CENTRAL INDEX KEY: 0001019343 STANDARD INDUSTRIAL CLASSIFICATION: [] OFFICER 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 French, Donald Anthony 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 May 1997 5. If Amendment, Date of Original (Month/Year) N/A 6. Relationship of Reporting Person to Issuer Officer: Treasurer 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) Line 1 - May 15, 1997 3. Transaction Code (Instr. 8) Line 1 - Code: S 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) Line 1 - Amount: 30,000 Shares; (A) or (D): Disposed; Price: $4.75 Per Share 5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4) 26,141 Shares Indirectly by a Limited Partnership of which Mr. French is the General Partner, and 8,000 Shares Indirectly by a Trust for the Benefit of Mr. French 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) All Holdings are Indirect 7. Nature of Indirect Beneficial Ownership (Instr. 4) Limited Partnership of which Mr. French is the General Partner and Trust for the Benefit of Mr. French TABLE II-Derative 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 Options 2. Conversion or Exercise Price of Derivative Security N/A 3. Transaction Date (Month/Day/Year) N/A 4. Transaction Code (Instr. 8) N/A 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) N/A 6. Date Exercisable and Expiration Date (Month/Day/Year) N/A 7. Title and Amount of Underlying Securities (Instr. 3 and 4) N/A 8. Price of Derivative Security (Instr. 5) N/A 9. Number of Derivative Securities Beneficially Owned at End of Month (Instr. 4) Call Options as to 308,058 Shares Were Beneficially Owned by Mr. French at May 31, 1997 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) The Ownership Form of All Derivative Securities is Indirect 11. Nature of Indirect Beneficial Ownership (Instr. 4) Limited Partnership of which Mr. French is the General Partner 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/Donald A. French June 6, 1997 **Signature of Reporting Person Date -----END PRIVACY-ENHANCED MESSAGE-----