-----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, RN5wKdWm3BBxfrFchBEXguHpeQlKProPeWNkHfk/OtzNid8r92AQcgGY7GvpknAN fMMl19ImRZNxIo1vKpiU6Q== 0001113755-00-000001.txt : 20001205 0001113755-00-000001.hdr.sgml : 20001205 ACCESSION NUMBER: 0001113755-00-000001 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20001130 FILED AS OF DATE: 20001204 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: 783096 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: 4 BUSINESS ADDRESS: STREET 1: 425 CORPORATE CIRCLE CITY: GOLDEN STATE: CO ZIP: 80401 BUSINESS PHONE: 3032782002 4 1 0001.txt 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 Roy, Stephen J. 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) N/A 4. Statement for Month/Year November, 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 2. Transaction Date (Month/Day/Year) Line 1 - November 1, 2000 Line 2 - November 3, 2000 3. Transaction Code (Instr. 8) Line 1 - Code: P Line 2 - Code: P 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) Line 1 - Amount: 1,500 Shares;(A)or(D):Acquired;Price: $8.25 Per Share Line 2 - Amount: 2,000 Shares;(A)or(D):Acquired;Price: $7.88 Per Share 5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4) 7,000 Shares 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 2,000 Shares Direct 5,000 Shares Indirect 7. Nature of Indirect Beneficial Ownership (Instr. 4) 5,000 Shares Indirectly by a retirement account for the benefit of Stephen J. Roy 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 Options 2. Conversion or Exercise Price of Derivative Security Line 1 - N/A 3. Transaction Date (Month/Day/Year) Line 1 - N/A 4. Transaction Code (Instr. 8) Line 1 - N/A 5. Number of Derivative Securities Acquired (A) or Disposed of(D) (Instr. 3, 4 and 5) Line 1 - N/A 6. Date Exercisable and Expiration Date (Month/Day/Year) Line 1 - Various 7. Title and Amount of Underlying Securities (Instr. 3 and 4) Line 1 - N/A 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 977 Shares 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) 977 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/Stephen J. Roy December 4, 2000 **Signature of Reporting Person Date -----END PRIVACY-ENHANCED MESSAGE-----