POWIN ENERGY CORP Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 17 rows, 17 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2015-08-05: Reporting owner LU DANNY Y; Form 4; Security Convertible Preferred Stock; Transaction P Open market or private purchase of non-derivative or derivative security.
- 2015-08-05: Reporting owner LU DANNY Y; Form 4; Security Convertible Preferred Stock; Transaction P Open market or private purchase of non-derivative or derivative security.
- 2015-08-05: Reporting owner LU JOSEPH; Form 4; Security Convertible Preferred Stock; Transaction P Open market or private purchase of non-derivative or derivative security.
- 2015-08-05: Reporting owner LU JOSEPH; Form 4; Security Convertible Preferred Stock; Transaction P Open market or private purchase of non-derivative or derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2015-08-05 | LU DANNY Y Director, Officer (Vice-President) | 4 | Convertible Preferred Stock Derivative · Direct · (m) | P Open market or private purchase of non-derivative or derivative security | +1,001,008 1,001,008 owned after | $0.56 | 2016-07-05 | |
| 2015-08-05 | LU DANNY Y Director, Officer (Vice-President) | 4 | Convertible Preferred Stock Derivative · Indirect · (m) | P Open market or private purchase of non-derivative or derivative security | +917,096 917,096 owned after | $0.56 | 2016-07-05 | |
| 2015-08-05 | LU JOSEPH Director, Officer (President/CEO), 10% Owner | 4 | Convertible Preferred Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +5,951,946 5,951,946 owned after | $0.56 | 2016-07-05 | |
| 2015-08-05 | LU JOSEPH Director, Officer (President/CEO), 10% Owner | 4 | Convertible Preferred Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +5,951,946 5,951,946 owned after | $0.56 | 2016-04-08 | |
| 2015-08-05 | LU DANNY Y Director, Officer (Vice-President) | 4 | Convertible Preferred Stock Derivative · Direct · (m) | P Open market or private purchase of non-derivative or derivative security | +1,001,008 1,001,008 owned after | $0.56 | 2016-04-08 | |
| 2015-08-05 | LU DANNY Y Director, Officer (Vice-President) | 4 | Convertible Preferred Stock Derivative · Indirect · (m) | P Open market or private purchase of non-derivative or derivative security | +917,096 917,096 owned after | $0.56 | 2016-04-08 | |
| 2015-08-05 | LU JOSEPH Director, Officer (President/CEO), 10% Owner | 4 | Convertible Preferred Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +5,951,946 5,951,946 owned after | $0.56 | 2016-01-07 | |
| 2015-08-05 | LU DANNY Y Director, Officer (Vice-President) | 4 | Convertible Preferred Stock Derivative · Direct · (m) | P Open market or private purchase of non-derivative or derivative security | +1,001,008 1,001,008 owned after | $0.56 | 2016-01-07 | |
| 2015-08-05 | LU DANNY Y Director, Officer (Vice-President) | 4 | Convertible Preferred Stock Derivative · Indirect · (m) | P Open market or private purchase of non-derivative or derivative security | +917,096 917,096 owned after | $0.56 | 2016-01-07 | |
| 2015-08-05 | LU JOSEPH Director, Officer (President/CEO), 10% Owner | 4 | Convertible Preferred Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +5,951,946 5,951,946 owned after | $0.56 | 2015-10-02 | |
| 2015-08-05 | LU DANNY Y Director, Officer (Vice-President) | 4 | Convertible Preferred Stock Derivative · Direct · (m) | P Open market or private purchase of non-derivative or derivative security | +1,001,008 1,001,008 owned after | $0.56 | 2015-10-02 | |
| 2015-08-05 | LU DANNY Y Director, Officer (Vice-President) | 4 | Convertible Preferred Stock Derivative · Indirect · (m) | P Open market or private purchase of non-derivative or derivative security | +917,096 917,096 owned after | $0.56 | 2015-10-02 | |
| 2015-08-05 | LU DANNY Y Director, Officer (Vice-President) | 4 | Convertible Preferred Stock Derivative · Direct · (m) | P Open market or private purchase of non-derivative or derivative security | +1,001,008 1,001,008 owned after | $0.56 | 2015-08-07 | |
| 2015-08-05 | LU DANNY Y Director, Officer (Vice-President) | 4 | Convertible Preferred Stock Derivative · Indirect · (m) | P Open market or private purchase of non-derivative or derivative security | +917,096 917,096 owned after | $0.56 | 2015-08-07 | |
| 2015-08-05 | LU JOSEPH Director, Officer (President/CEO), 10% Owner | 4 | Convertible Preferred Stock Derivative · Indirect · See Footnote | P Open market or private purchase of non-derivative or derivative security | +5,951,946 5,951,946 owned after | $0.56 | 2015-08-07 | |
| 2013-12-31 | LU JOSEPH Director, Officer (CEO/Director), 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Direct | J Other acquisition or disposition (describe transaction) | +2,098,515 4,197,030 owned after | $1.00 | 2014-01-06 | |
| 2013-06-28 | GOYAK NICHOLAS I Officer (Secretary) | 4/A | Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,000 15,000 owned after | $0.35 exercise price | 2015-08-27 |