IPWR

SEC source: 0001144204-17-021308 · v464543_form4.xml · nonDerivative · entry 1

Alexander Bill · CIK 0001584738 · Director · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 401,796

F1 · shares: The transaction indicated was conducted under an approved 10b5-1 Plan.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.36 to $2.50, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

SEC source: 0001144204-17-012981 · v461163_4.xml · derivative · entry 2

EISENHAURE DAVID B · CIK 0000902744 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,700

Underlying: Common Stock · 19,700 shares

Expires 2020-03-03

F1 · price: The reported securities are included within the securities purchased by the reporting person for $2.535 per share of common stock together with a warrant to purchase one share of common stock.

SEC source: 0001144204-17-012981 · v461163_4.xml · nonDerivative · entry 1

EISENHAURE DAVID B · CIK 0000902744 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,311

F1 · price: The reported securities are included within the securities purchased by the reporting person for $2.535 per share of common stock together with a warrant to purchase one share of common stock.

SEC source: 0001144204-17-012976 · v461160_4.xml · derivative · entry 3

BELL LON E · CIK 0000941593 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 78,800

Underlying: Common Stock · 78,800 shares

Expires 2020-03-03

F1 · price: The reported securities are included within the securities purchased by the reporting person for $2.535 per share of common stock together with a warrant to purchase one share of common stock.

SEC source: 0001144204-17-012976 · v461160_4.xml · nonDerivative · entry 1

BELL LON E · CIK 0000941593 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 132,661

F1 · price: The reported securities are included within the securities purchased by the reporting person for $2.535 per share of common stock together with a warrant to purchase one share of common stock.

SEC source: 0001144204-17-012974 · v461159_4.xml · derivative · entry 2

APPEL PETER A · CIK 0001227104 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 394,400

Underlying: Common Stock · 394,400 shares

Expires 2020-03-03

F1 · price: The reported securities are included within the securities purchased by the reporting person for $2.535 per share of common stock together with a warrant to purchase one share of common stock.

F2 · derivative.exercise_date: These warrants are not exercisable if as a result of such exercise the Reporting Person would beneficially own more than 9.99% of the issued and outstanding common stock of the Company (a "Blocker"). The transactions reported on this form also include the amendment of other outstanding warrants held by the Reporting Person to add a Blocker. Pursuant to Rule 16a-1(a)(1) of the Securities Exchange Act of 1934, as amended, the Reporting Person no longer beneficially owns the shares of common stock that are no longer exercisable as a result of the Blocker. Accordingly, the Reporting Person is no longer a 10% beneficial owner.

SEC source: 0001144204-17-012974 · v461159_4.xml · nonDerivative · entry 1

APPEL PETER A · CIK 0001227104 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,233,177

F1 · price: The reported securities are included within the securities purchased by the reporting person for $2.535 per share of common stock together with a warrant to purchase one share of common stock.

SEC source: 0001144204-17-012975 · v461204_form4.xml · derivative · entry 2

BRDAR DANIEL · CIK 0001260614 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,700

Underlying: Common Stock · 19,700 shares

Expires 2020-03-03

F1 · price: The reported securities are included within the securities purchased by the reporting person for $2.535 per share of common stock together with a warrant to purchase one share of common stock.

SEC source: 0001144204-17-012975 · v461204_form4.xml · nonDerivative · entry 1

BRDAR DANIEL · CIK 0001260614 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,350

F1 · price: The reported securities are included within the securities purchased by the reporting person for $2.535 per share of common stock together with a warrant to purchase one share of common stock.

SEC source: 0001144204-17-012979 · v461161_4.xml · derivative · entry 3

BAUM MARK L · CIK 0001274282 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 7,800

Underlying: Common Stock · 7,800 shares

Expires 2020-03-03

F1 · price: The reported securities are included within the securities purchased by the reporting person for $2.535 per share of common stock together with a warrant to purchase one share of common stock.

F2 · ownership.nature: The securities are owned by Beadore Trust dated March 20, 2015. The reporting person has voting and investment control over the securities.

SEC source: 0001144204-17-012979 · v461161_4.xml · nonDerivative · entry 1

BAUM MARK L · CIK 0001274282 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 33,698

F1 · price: The reported securities are included within the securities purchased by the reporting person for $2.535 per share of common stock together with a warrant to purchase one share of common stock.

F2 · ownership.nature: The securities are owned by Beadore Trust dated March 20, 2015. The reporting person has voting and investment control over the securities.

SEC source: 0001144204-17-012982 · v461207_form4.xml · derivative · entry 2

O'Keefe Ryan · CIK 0001619156 · SVP, Business Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,800

Underlying: Common Stock · 7,800 shares

Expires 2020-03-03

F1 · price: The reported securities are included within the securities purchased by the reporting person for $2.535 per share of common stock together with a warrant to purchase one share of common stock.

SEC source: 0001144204-17-012982 · v461207_form4.xml · nonDerivative · entry 1

O'Keefe Ryan · CIK 0001619156 · SVP, Business Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,300

F1 · price: The reported securities are included within the securities purchased by the reporting person for $2.535 per share of common stock together with a warrant to purchase one share of common stock.

SEC source: 0001144204-17-012980 · v461206_form4.xml · derivative · entry 2

BURNS TIMOTHY · CIK 0001520107 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,800

Underlying: Common Stock · 7,800 shares

Expires 2020-03-03

F1 · price: The reported securities are included within the securities purchased by the reporting person for $2.535 per share of common stock together with a warrant to purchase one share of common stock.

SEC source: 0001144204-17-012980 · v461206_form4.xml · nonDerivative · entry 1

BURNS TIMOTHY · CIK 0001520107 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,800

F1 · price: The reported securities are included within the securities purchased by the reporting person for $2.535 per share of common stock together with a warrant to purchase one share of common stock.

SEC source: 0001144204-17-012978 · v461205_form4.xml · derivative · entry 2

Alexander Bill · CIK 0001584738 · Director · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,800

Underlying: Common Stock · 7,800 shares

Expires 2020-03-03

F1 · price: The reported securities are included within the securities purchased by the reporting person for $2.535 per share of common stock together with a warrant to purchase one share of common stock.

SEC source: 0001144204-17-012978 · v461205_form4.xml · nonDerivative · entry 1

Alexander Bill · CIK 0001584738 · Director · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 404,796

F1 · price: The reported securities are included within the securities purchased by the reporting person for $2.535 per share of common stock together with a warrant to purchase one share of common stock.

SEC source: 0001144204-17-020939 · v464486_form4a.xml · derivative · entry 2

Alexander Bill · CIK 0001584738 · Director · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,800

Underlying: Common Stock · 7,800 shares

Expires 2020-03-03

F1 · kind: This Form 4/A is an amendment to the Form 4 filing dated March 3, 2017, to more specifically reflect the nature of the transaction as exempt under Rule 16b-3.

F2 · price: The reported securities are included within the securities purchased by the reporting person for $2.535 per share of common stock together with a warrant to purchase one share of common stock.

SEC source: 0001144204-17-020939 · v464486_form4a.xml · nonDerivative · entry 1

Alexander Bill · CIK 0001584738 · Director · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 404,796

F1 · kind: This Form 4/A is an amendment to the Form 4 filing dated March 3, 2017, to more specifically reflect the nature of the transaction as exempt under Rule 16b-3.

F2 · price: The reported securities are included within the securities purchased by the reporting person for $2.535 per share of common stock together with a warrant to purchase one share of common stock.

SEC source: 0001535264-17-000035 · primary_doc.xml · nonDerivative · entry 1

AWM Investment Company, Inc. · CIK 0001535264 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Limited Partnerships

Disclosed balance after: 871,935

F3 · kind: Pursuant to the Exchange Agreement dated February 24, 2017, the Funds exchanged 810,000 Common Shares for Series A Convertible Preferred Shares (the Preferred Shares). The Preferred Shares may only be exercised to the extent that the total number of Common Shares then beneficially owned does not exceed 9.99% of the outstanding shares.

F1 · shares: AWM Investment Company, Inc., a Delaware Corporation (AWM), is the investment adviser to Special Situations Fund III QP, L.P. (QP), Special Situations Cayman Fund, L.P. (CAYMAN), Special Situations Technology Fund, L.P. (Tech) & Special Situations Technology Fund II, L.P. (T2) & together with QP, CAYMAN, & Tech, the Funds). As the investment adviser to the Funds, AWM holds sole voting & investment power over 438,534 shares of Common Stock of the Issuer (the Shares) held by QP, 127,481 Shares held by CAYMAN, 45,594 Shares held by Tech & 260,326 Shares held by T2.

F2 · shares: Austin W. Marxe (Marxe), David M. Greenhouse (Greenhouse) & Adam C. Stettner (Stettner) are the controlling principals of AWM. The reporting person disclaims beneficial ownership of the Shares, except to the extent of its pecuniary interest therein. This report shall not be deemed an admission that the reporting person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F4 · price: Fair market value, determined using the closing price on February 23, 2017

F1 · balance_after: AWM Investment Company, Inc., a Delaware Corporation (AWM), is the investment adviser to Special Situations Fund III QP, L.P. (QP), Special Situations Cayman Fund, L.P. (CAYMAN), Special Situations Technology Fund, L.P. (Tech) & Special Situations Technology Fund II, L.P. (T2) & together with QP, CAYMAN, & Tech, the Funds). As the investment adviser to the Funds, AWM holds sole voting & investment power over 438,534 shares of Common Stock of the Issuer (the Shares) held by QP, 127,481 Shares held by CAYMAN, 45,594 Shares held by Tech & 260,326 Shares held by T2.

F1 · ownership.direct: AWM Investment Company, Inc., a Delaware Corporation (AWM), is the investment adviser to Special Situations Fund III QP, L.P. (QP), Special Situations Cayman Fund, L.P. (CAYMAN), Special Situations Technology Fund, L.P. (Tech) & Special Situations Technology Fund II, L.P. (T2) & together with QP, CAYMAN, & Tech, the Funds). As the investment adviser to the Funds, AWM holds sole voting & investment power over 438,534 shares of Common Stock of the Issuer (the Shares) held by QP, 127,481 Shares held by CAYMAN, 45,594 Shares held by Tech & 260,326 Shares held by T2.

F2 · ownership.direct: Austin W. Marxe (Marxe), David M. Greenhouse (Greenhouse) & Adam C. Stettner (Stettner) are the controlling principals of AWM. The reporting person disclaims beneficial ownership of the Shares, except to the extent of its pecuniary interest therein. This report shall not be deemed an admission that the reporting person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F1 · ownership.nature: AWM Investment Company, Inc., a Delaware Corporation (AWM), is the investment adviser to Special Situations Fund III QP, L.P. (QP), Special Situations Cayman Fund, L.P. (CAYMAN), Special Situations Technology Fund, L.P. (Tech) & Special Situations Technology Fund II, L.P. (T2) & together with QP, CAYMAN, & Tech, the Funds). As the investment adviser to the Funds, AWM holds sole voting & investment power over 438,534 shares of Common Stock of the Issuer (the Shares) held by QP, 127,481 Shares held by CAYMAN, 45,594 Shares held by Tech & 260,326 Shares held by T2.

F2 · ownership.nature: Austin W. Marxe (Marxe), David M. Greenhouse (Greenhouse) & Adam C. Stettner (Stettner) are the controlling principals of AWM. The reporting person disclaims beneficial ownership of the Shares, except to the extent of its pecuniary interest therein. This report shall not be deemed an admission that the reporting person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0001144204-17-002981 · v457133_form4.xml · derivative · entry 1

EISENHAURE DAVID B · CIK 0000902744 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,875

Underlying: Common Stock · 27,875 shares

Expires 2027-01-03

F1 · security: The option was issued from the Ideal Power Inc. (formerly known as Ideal Power Converters, Inc.) Amended & Restated 2013 Equity Incentive Plan, as in existence on the date of grant.

F2 · security: The grant represents an annual automatic grant of options to each independent member of the Issuer's Board of Directors, which was inadvertently not timely reported.

F3 · derivative.exercise_date: The right to purchase the common stock vests as follows: the right to purchase 6,968 shares of common stock vests on March 31, 2017; the right to purchase 6,969 shares of common stock vests on June 30, 2017; the right to purchase 6,969 shares of common stock vests on September 30, 2017; and the right to purchase 6,969 shares vests on December 31, 2017.

SEC source: 0001144204-17-002984 · v457135_form4.xml · derivative · entry 1

BELL LON E · CIK 0000941593 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,875

Underlying: Common Stock · 27,875 shares

Expires 2027-01-03

F1 · security: The option was issued from the Ideal Power Inc. (formerly known as Ideal Power Converters, Inc.) Amended & Restated 2013 Equity Incentive Plan, as in existence on the date of grant.

F2 · security: The grant represents an annual automatic grant of options to each independent member of the Issuer's Board of Directors, which was inadvertently not timely reported.

F3 · derivative.exercise_date: The right to purchase the common stock vests as follows: the right to purchase 6,968 shares of common stock vests on March 31, 2017; the right to purchase 6,969 shares of common stock vests on June 30, 2017; the right to purchase 6,969 shares of common stock vests on September 30, 2017; and the right to purchase 6,969 shares vests on December 31, 2017.

SEC source: 0001144204-17-002987 · v457134_form4.xml · derivative · entry 1

BAUM MARK L · CIK 0001274282 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,875

Underlying: Common Stock · 27,875 shares

Expires 2027-01-03

F1 · security: The option was issued from the Ideal Power Inc. (formerly known as Ideal Power Converters, Inc.) Amended & Restated 2013 Equity Incentive Plan, as in existence on the date of grant.

F2 · security: The grant represents an annual automatic grant of options to each independent member of the Issuer's Board of Directors, which was inadvertently not timely reported.

F3 · derivative.exercise_date: The right to purchase the common stock vests as follows: the right to purchase 6,968 shares of common stock vests on March 31, 2017; the right to purchase 6,969 shares of common stock vests on June 30, 2017; the right to purchase 6,969 shares of common stock vests on September 30, 2017; and the right to purchase 6,969 shares vests on December 31, 2017.