Enerpulse Technologies, Inc. Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 56 rows, 56 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2015-03-30: Reporting owner Habicht F. Henry II; Form 3; Security Series B Warrant (Right to Buy); Transaction Holding.
- 2015-03-30: Reporting owner Habicht F. Henry II; Form 3; Security Series C Warrant (Right to Buy); Transaction Holding.
- 2015-03-30: Reporting owner Habicht F. Henry II; Form 3; Security Series C Warrant (Right to Buy); Transaction Holding.
- 2015-03-30: Reporting owner Habicht F. Henry II; Form 3; Security Series D Warrant (Right to Buy); Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2015-03-30 holding as of filing | Habicht F. Henry II Director, 10% Owner | 3 | Series B Warrant (Right to Buy) Derivative · Indirect · By SAIL Exit Partners, LLC | Holding | $2.01 exercise price | 2015-03-30 | ||
| 2015-03-30 holding as of filing | Habicht F. Henry II Director, 10% Owner | 3 | Series C Warrant (Right to Buy) Derivative · Indirect · By SAIL Exit Partners, LLC | Holding | $2.74 exercise price | 2015-03-30 | ||
| 2015-03-30 holding as of filing | Habicht F. Henry II Director, 10% Owner | 3 | Series C Warrant (Right to Buy) Derivative · Indirect · By SAIL Co-Investment Partners Cayman, LP | Holding | $2.74 exercise price | 2015-03-30 | ||
| 2015-03-30 holding as of filing | Habicht F. Henry II Director, 10% Owner | 3 | Series D Warrant (Right to Buy) Derivative · Indirect · By SAIL Exit Partners, LLC | Holding | $2.66 exercise price | 2015-03-30 | ||
| 2015-02-20 | HAMMONS MICHAEL J Other (Former Director) | 4 | Warrant (Right to Buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | $0.20 exercise price | 2015-03-27 | ||
| 2015-02-20 | Smith Stephen Frederick Officer (VP - Manufacturing & Ops) | 4 | Warrant (Right to Buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | $0.20 exercise price | 2015-03-27 | ||
| 2015-02-20 | Templeton Bryan C Officer (CFO & Treasurer) | 4 | Warrant (Right to Buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | $0.20 exercise price | 2015-03-27 | ||
| 2015-02-20 | Gonnella Joseph E Director, Officer (Chief Executive Officer) | 4 | Warrant (Right to Buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | $0.20 exercise price | 2015-03-27 | ||
| 2015-02-20 | Ford Tim Director | 4 | Warrant (Right to Buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | $0.20 exercise price | 2015-03-27 | ||
| 2015-02-20 | Camilli Louis S Officer (Pres, CTO & Secretary) | 4 | Warrant (Right to Buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | $0.20 exercise price | 2015-03-27 | ||
| 2015-02-20 holding as of filing | HAMMONS MICHAEL J Director | 5 | Series C Warrant (Right to Buy) Derivative · Indirect · By SAIL 2010 Co-Investment Partners, LP | Holding | 0 owned after | $2.74 exercise price | 2015-02-20 | |
| 2015-02-20 holding as of filing | HAMMONS MICHAEL J Director | 5 | Series C Warrant (Right to Buy) Derivative · Indirect · By SAIL Co-Investment Partners Cayman, LP | Holding | 0 owned after | $2.74 exercise price | 2015-02-20 | |
| 2015-02-13 holding as of filing | Altira Group LLC Other (* See Remarks) | 5 | Common Stock Warrant (Right to Buy) Derivative · Indirect · See Footnote | Holding | 33,823 owned after | $5.63 exercise price | 2015-02-13 | |
| 2015-02-13 holding as of filing | Altira Group LLC Other (* See Remarks) | 5 | Common Stock Warrant (Right to Buy) Derivative · Indirect · See Footnote | Holding | 45,058 owned after | $2.66 exercise price | 2015-02-13 | |
| 2014-06-06 | SAIL Exit Partners, LLC | SAIL VENTURE PARTNERS II LP | SVP II Xtreme Power Joint Venture, LP | Sail Venture Management, LLC | Sail Venture Partners II, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 5 | Series B Warrant (Right to Buy) Derivative · Indirect · By SVP II Xtreme Power Joint Venture, LP | J Other acquisition or disposition (describe transaction) | −515,944 0 owned after | $2.01 exercise price | 2015-02-13 | |
| 2014-06-06 | SAIL Exit Partners, LLC | SAIL VENTURE PARTNERS II LP | SVP II Xtreme Power Joint Venture, LP | Sail Venture Management, LLC | Sail Venture Partners II, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 5 | Series C Warrant (Right to Buy) Derivative · Indirect · By SVP II Xtreme Power Joint Venture, LP | J Other acquisition or disposition (describe transaction) | −82,054 0 owned after | $2.74 exercise price | 2015-02-13 | |
| 2014-06-06 | SAIL Exit Partners, LLC | SAIL VENTURE PARTNERS II LP | SVP II Xtreme Power Joint Venture, LP | Sail Venture Management, LLC | Sail Venture Partners II, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 5 | Series D Warrant (Right to Buy) Derivative · Indirect · By SVP II Xtreme Power Joint Venture, LP | J Other acquisition or disposition (describe transaction) | −123,911 0 owned after | $2.66 exercise price | 2015-02-13 | |
| 2014-06-06 | SAIL Exit Partners, LLC | SAIL VENTURE PARTNERS II LP | SVP II Xtreme Power Joint Venture, LP | Sail Venture Management, LLC | Sail Venture Partners II, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 5 | Series B Warrant (Right to Buy) Derivative · Indirect · By SAIL Exit Partners, LLC | J Other acquisition or disposition (describe transaction) | +515,944 515,944 owned after | $2.01 exercise price | 2015-02-13 | |
| 2014-06-06 | SAIL Exit Partners, LLC | SAIL VENTURE PARTNERS II LP | SVP II Xtreme Power Joint Venture, LP | Sail Venture Management, LLC | Sail Venture Partners II, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 5 | Series C Warrant (Right to Buy) Derivative · Indirect · By SAIL Exit Partners, LLC | J Other acquisition or disposition (describe transaction) | +82,054 109,406 owned after | $2.74 exercise price | 2015-02-13 | |
| 2014-06-06 | SAIL Exit Partners, LLC | SAIL VENTURE PARTNERS II LP | SVP II Xtreme Power Joint Venture, LP | Sail Venture Management, LLC | Sail Venture Partners II, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 5 | Series D Warrant (Right to Buy) Derivative · Indirect · By SAIL Exit Partners, LLC | J Other acquisition or disposition (describe transaction) | +123,911 315,409 owned after | $2.66 exercise price | 2015-02-13 | |
| 2014-05-06 | SAIL Exit Partners, LLC | SAIL VENTURE PARTNERS II LP | SVP II Xtreme Power Joint Venture, LP | Sail Venture Management, LLC | Sail Venture Partners II, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 5 | Series C Warrant (Right to Buy) Derivative · Indirect · By SAIL Exit Partners, LLC | J Other acquisition or disposition (describe transaction) | +27,352 27,352 owned after | $2.74 exercise price | 2015-02-13 | |
| 2014-05-06 | SAIL Exit Partners, LLC | SAIL VENTURE PARTNERS II LP | SVP II Xtreme Power Joint Venture, LP | Sail Venture Management, LLC | Sail Venture Partners II, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 5 | Series D Warrant (Right to Buy) Derivative · Indirect · By SAIL Exit Partners, LLC | J Other acquisition or disposition (describe transaction) | +191,498 191,498 owned after | $2.66 exercise price | 2015-02-13 | |
| 2013-11-18 | HAMMONS MICHAEL J Director | 5 | Series B Warrant (Right to Buy) Derivative · Indirect · By SAIL Venture Partners II, LP | J Other acquisition or disposition (describe transaction) | −515,944 0 owned after | $2.01 exercise price | 2015-02-20 | |
| 2013-11-18 | HAMMONS MICHAEL J Director | 5 | Series C Warrant (Right to Buy) Derivative · Indirect · By SAIL Venture Partners II, LP | J Other acquisition or disposition (describe transaction) | −82,054 0 owned after | $2.74 exercise price | 2015-02-20 | |
| 2013-11-18 | HAMMONS MICHAEL J Director | 5 | Series D Warrant (Right to Buy) Derivative · Indirect · By SAIL Venture Partners II, LP | J Other acquisition or disposition (describe transaction) | −123,911 0 owned after | $2.66 exercise price | 2015-02-20 | |
| 2013-11-18 | HAMMONS MICHAEL J Director | 5 | Series B Warrant (Right to Buy) Derivative · Indirect · By SVP II Xtreme Power Joint Venture, LP | J Other acquisition or disposition (describe transaction) | +515,944 0 owned after | $2.01 exercise price | 2015-02-20 | |
| 2013-11-18 | HAMMONS MICHAEL J Director | 5 | Series C Warrant (Right to Buy) Derivative · Indirect · By SVP II Xtreme Power Joint Venture, LP | J Other acquisition or disposition (describe transaction) | +82,054 0 owned after | $2.74 exercise price | 2015-02-20 | |
| 2013-11-18 | HAMMONS MICHAEL J Director | 5 | Series D Warrant (Right to Buy) Derivative · Indirect · By SVP II Xtreme Power Joint Venture, LP | J Other acquisition or disposition (describe transaction) | +123,911 0 owned after | $2.66 exercise price | 2015-02-20 | |
| 2013-11-18 | SAIL Exit Partners, LLC | SAIL VENTURE PARTNERS II LP | SVP II Xtreme Power Joint Venture, LP | Sail Venture Management, LLC | Sail Venture Partners II, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 5 | Series B Warrant (Right to Buy) Derivative · Indirect · By SAIL Venture Partners II, LP | J Other acquisition or disposition (describe transaction) | −515,944 0 owned after | $2.01 exercise price | 2015-02-13 | |
| 2013-11-18 | SAIL Exit Partners, LLC | SAIL VENTURE PARTNERS II LP | SVP II Xtreme Power Joint Venture, LP | Sail Venture Management, LLC | Sail Venture Partners II, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 5 | Series C Warrant (Right to Buy) Derivative · Indirect · By SAIL Venture Partners II, LP | J Other acquisition or disposition (describe transaction) | −82,054 0 owned after | $2.74 exercise price | 2015-02-13 | |
| 2013-11-18 | SAIL Exit Partners, LLC | SAIL VENTURE PARTNERS II LP | SVP II Xtreme Power Joint Venture, LP | Sail Venture Management, LLC | Sail Venture Partners II, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 5 | Series D Warrant (Right to Buy) Derivative · Indirect · By SAIL Venture Partners II, LP | J Other acquisition or disposition (describe transaction) | −123,911 0 owned after | $2.66 exercise price | 2015-02-13 | |
| 2013-11-18 | SAIL Exit Partners, LLC | SAIL VENTURE PARTNERS II LP | SVP II Xtreme Power Joint Venture, LP | Sail Venture Management, LLC | Sail Venture Partners II, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 5 | Series B Warrant (Right to Buy) Derivative · Indirect · By SVP II Xtreme Power Joint Venture, LP | J Other acquisition or disposition (describe transaction) | +515,944 515,944 owned after | $2.01 exercise price | 2015-02-13 | |
| 2013-11-18 | SAIL Exit Partners, LLC | SAIL VENTURE PARTNERS II LP | SVP II Xtreme Power Joint Venture, LP | Sail Venture Management, LLC | Sail Venture Partners II, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 5 | Series C Warrant (Right to Buy) Derivative · Indirect · By SVP II Xtreme Power Joint Venture, LP | J Other acquisition or disposition (describe transaction) | +82,054 82,054 owned after | $2.74 exercise price | 2015-02-13 | |
| 2013-11-18 | SAIL Exit Partners, LLC | SAIL VENTURE PARTNERS II LP | SVP II Xtreme Power Joint Venture, LP | Sail Venture Management, LLC | Sail Venture Partners II, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 5 | Series D Warrant (Right to Buy) Derivative · Indirect · By SVP II Xtreme Power Joint Venture, LP | J Other acquisition or disposition (describe transaction) | +123,911 123,911 owned after | $2.66 exercise price | 2015-02-13 | |
| 2013-09-17 holding as of filing | Sail Venture Partners II, LLC | Sail Venture Management, LLC | SAIL VENTURE PARTNERS II LP 10% Owner | 10% Owner | 10% Owner | 3 | Series B Warrant (Right to Buy) Derivative · Indirect · See Footnote 2 | Holding | $2.01 exercise price | 2013-09-17 | ||
| 2013-09-17 holding as of filing | Sail Venture Partners II, LLC | Sail Venture Management, LLC | SAIL VENTURE PARTNERS II LP 10% Owner | 10% Owner | 10% Owner | 3 | Series C Warrant (Right to Buy) Derivative · Indirect · See Footnote 2 | Holding | $2.74 exercise price | 2013-09-17 | ||
| 2013-09-17 holding as of filing | Sail Venture Partners II, LLC | Sail Venture Management, LLC | SAIL VENTURE PARTNERS II LP 10% Owner | 10% Owner | 10% Owner | 3 | Series D Warrant (Right to Buy) Derivative · Indirect · See Footnote 2 | Holding | $2.66 exercise price | 2013-09-17 | ||
| 2013-09-16 holding as of filing | Altira Group LLC 10% Owner | 3 | Common Stock Warrant (Right to Buy) Derivative · Indirect · See footnote | Holding | $5.63 exercise price | 2013-09-16 | ||
| 2013-09-16 holding as of filing | Altira Group LLC 10% Owner | 3 | Common Stock Warrant (Right to Buy) Derivative · Indirect · See footnote | Holding | $2.66 exercise price | 2013-09-16 | ||
| 2013-09-04 | HAMMONS MICHAEL J Director, 10% Owner | 4/A | Series B Warrant (Right to Buy) Derivative · Indirect · By SAIL Venture Partners II, LP | J Other acquisition or disposition (describe transaction) | +515,944 515,944 owned after | $2.01 exercise price | 2013-09-19 | |
| 2013-09-04 | HAMMONS MICHAEL J Director, 10% Owner | 4/A | Series C Warrant (Right to Buy) Derivative · Indirect · By SAIL Venture Partners II, LP | J Other acquisition or disposition (describe transaction) | +82,054 82,054 owned after | $2.74 exercise price | 2013-09-19 | |
| 2013-09-04 | HAMMONS MICHAEL J Director, 10% Owner | 4/A | Series D Warrant (Right to Buy) Derivative · Indirect · By SAIL Venture Partners II, LP | J Other acquisition or disposition (describe transaction) | +123,911 123,911 owned after | $2.66 exercise price | 2013-09-19 | |
| 2013-09-04 | HAMMONS MICHAEL J Director, 10% Owner | 4/A | Series C Warrant (Right to Buy) Derivative · Indirect · By SAIL 2010 Co-Investment Partners, LP | J Other acquisition or disposition (describe transaction) | +27,352 27,352 owned after | $2.74 exercise price | 2013-09-19 | |
| 2013-09-04 | HAMMONS MICHAEL J Director, 10% Owner | 4/A | Series C Warrant (Right to Buy) Derivative · Indirect · By SAIL Co-Investment Partners Cayman, LP | J Other acquisition or disposition (describe transaction) | +218,812 218,812 owned after | $2.74 exercise price | 2013-09-19 | |
| 2013-09-04 | HAMMONS MICHAEL J Director, 10% Owner | 4/A | Series D Warrant (Right to Buy) Derivative · Indirect · By SAIL Pre-Exit Acceleration Fund II, LP | J Other acquisition or disposition (describe transaction) | +67,588 67,588 owned after | $2.66 exercise price | 2013-09-19 | |
| 2013-09-04 | HAMMONS MICHAEL J Director, 10% Owner | 4/A | Series D Warrant (Right to Buy) Derivative · Indirect · By SAIL Pre-Exit Acceleration Fund, LP | J Other acquisition or disposition (describe transaction) | +135,175 135,175 owned after | $2.66 exercise price | 2013-09-19 | |
| 2013-09-04 | HAMMONS MICHAEL J Director, 10% Owner | 4/A | Series D Warrant (Right to Buy) Derivative · Indirect · By SAIL Sustainable Louisiana II, LP | J Other acquisition or disposition (describe transaction) | +56,323 56,323 owned after | $2.66 exercise price | 2013-09-19 | |
| 2013-09-04 | HAMMONS MICHAEL J Director | 4 | Series B Warrant (Right to Buy) Derivative · Indirect · By SAIL Venture Partners II, LP | J Other acquisition or disposition (describe transaction) | +515,944 515,944 owned after | $5.44 exercise price | 2013-09-06 | |
| 2013-09-04 | HAMMONS MICHAEL J Director | 4 | Series C Warrant (Right to Buy) Derivative · Indirect · By SAIL Venture Partners II, LP | J Other acquisition or disposition (describe transaction) | +82,054 82,054 owned after | $7.68 exercise price | 2013-09-06 | |
| 2013-09-04 | HAMMONS MICHAEL J Director | 4 | Series D Warrant (Right to Buy) Derivative · Indirect · By SAIL Venture Partners II, LP | J Other acquisition or disposition (describe transaction) | +123,911 123,911 owned after | $7.72 exercise price | 2013-09-06 | |
| 2013-09-04 | HAMMONS MICHAEL J Director | 4 | Series C Warrant (Right to Buy) Derivative · Indirect · By SAIL 2010 Co-Investment Partners, LP | J Other acquisition or disposition (describe transaction) | +27,352 27,352 owned after | $7.68 exercise price | 2013-09-06 | |
| 2013-09-04 | HAMMONS MICHAEL J Director | 4 | Series C Warrants (Right to Buy) Derivative · Indirect · By SAIL Co-Investment Partners Cayman, LP | J Other acquisition or disposition (describe transaction) | +218,812 218,812 owned after | $7.68 exercise price | 2013-09-06 | |
| 2013-09-04 | HAMMONS MICHAEL J Director | 4 | Series D Warrants (Right to Buy) Derivative · Indirect · By SAIL Pre-Exit Acceleration Fund II, LP | J Other acquisition or disposition (describe transaction) | +67,588 67,588 owned after | $7.72 exercise price | 2013-09-06 | |
| 2013-09-04 | HAMMONS MICHAEL J Director | 4 | Series D Warrants (Right to Buy) Derivative · Indirect · By SAIL Pre-Exit Acceleration Fund, LP | J Other acquisition or disposition (describe transaction) | +135,175 135,175 owned after | $7.72 exercise price | 2013-09-06 | |
| 2013-09-04 | HAMMONS MICHAEL J Director | 4 | Series D Warrants (Right to Buy) Derivative · Indirect · By SAIL Sustainable Louisiana II, LP | J Other acquisition or disposition (describe transaction) | +56,323 56,323 owned after | $7.72 exercise price | 2013-09-06 | |
| 2013-09-04 | Camilli Louis S Officer (Pres, CTO & Secretary) | 4 | Common Stock Warrant (Right to Buy) Derivative · Direct | J Other acquisition or disposition (describe transaction) | +15,537 15,537 owned after | $6.40 exercise price | 2013-09-06 |