person · Reporting owner
LUKENS JOSEPH THEODORE JR
Disclosed activity across 1 company
Sign in to followReported relationships
Latest disclosed role at each company.
No relationships currently tracked through insider filings.
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
No balances currently tracked through insider filings.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Workhorse Group Inc.
Report date April 30, 2018 · Filed July 10, 2020
Section 16 reporting ended · disclosed 2020-07-10. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 4,002,422 |
Last balance in matching sequence
After 2020-07-07 transaction · row 15
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
15 source rowsRow 1 · 2018-04-30 · Purchase · Acquired 36,765 · Balance 7,007,048 F1: Held by New Era Capital Fund L.P. of which New Era Capital LLC is the General Partner, of which the reporting person is the managing member. The reporting person disclaims beneficial ownership of these securities except to the extent of her pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. Row 2 · 2018-06-14 · Exercise / conversion · Acquired 410,155 · Balance 7,417,203 F2: New Era Capital Fund L.P. exchanged warrants to purchase 585,936 shares of common stock of the issuer for 410,155 shares of common stock of the issuer. F1: Held by New Era Capital Fund L.P. of which New Era Capital LLC is the General Partner, of which the reporting person is the managing member. The reporting person disclaims beneficial ownership of these securities except to the extent of her pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. Row 3 · 2019-07-16 · Sale · Disposed 267,356 · Balance 7,149,847 F1: Held by New Era Capital Fund L.P. of which New Era Capital LLC is the General Partner, of which the reporting person is the managing member. The reporting person disclaims beneficial ownership of these securities except to the extent of her pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. Row 4 · 2019-07-22 · Sale · Disposed 109,000 · Balance 7,040,847 F1: Held by New Era Capital Fund L.P. of which New Era Capital LLC is the General Partner, of which the reporting person is the managing member. The reporting person disclaims beneficial ownership of these securities except to the extent of her pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. Row 5 · 2020-02-18 · Sale · Disposed 83,644 · Balance 6,957,203 F1: Held by New Era Capital Fund L.P. of which New Era Capital LLC is the General Partner, of which the reporting person is the managing member. The reporting person disclaims beneficial ownership of these securities except to the extent of her pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. Row 6 · 2020-02-21 · Sale · Disposed 4,946 · Balance 6,952,257 F1: Held by New Era Capital Fund L.P. of which New Era Capital LLC is the General Partner, of which the reporting person is the managing member. The reporting person disclaims beneficial ownership of these securities except to the extent of her pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. Row 7 · 2020-02-25 · Sale · Disposed 200 · Balance 6,952,057 F1: Held by New Era Capital Fund L.P. of which New Era Capital LLC is the General Partner, of which the reporting person is the managing member. The reporting person disclaims beneficial ownership of these securities except to the extent of her pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. Row 8 · 2020-02-26 · Sale · Disposed 61,700 · Balance 6,890,357 F1: Held by New Era Capital Fund L.P. of which New Era Capital LLC is the General Partner, of which the reporting person is the managing member. The reporting person disclaims beneficial ownership of these securities except to the extent of her pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. Row 9 · 2020-03-03 · Sale · Disposed 100,000 · Balance 6,790,357 F1: Held by New Era Capital Fund L.P. of which New Era Capital LLC is the General Partner, of which the reporting person is the managing member. The reporting person disclaims beneficial ownership of these securities except to the extent of her pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. Row 10 · 2020-03-11 · Sale · Disposed 15,000 · Balance 6,775,357 F1: Held by New Era Capital Fund L.P. of which New Era Capital LLC is the General Partner, of which the reporting person is the managing member. The reporting person disclaims beneficial ownership of these securities except to the extent of her pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. Row 11 · 2020-04-05 · Sale · Disposed 18,154 · Balance 6,757,203 F1: Held by New Era Capital Fund L.P. of which New Era Capital LLC is the General Partner, of which the reporting person is the managing member. The reporting person disclaims beneficial ownership of these securities except to the extent of her pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. Row 12 · 2020-05-20 · Other · Disposed 654,781 · Balance 6,102,422 F3: In-kind distribution by New Era Capital Fund L.P. of the issuer's common stock to New Era Capital Fund L.P.'s partners. F1: Held by New Era Capital Fund L.P. of which New Era Capital LLC is the General Partner, of which the reporting person is the managing member. The reporting person disclaims beneficial ownership of these securities except to the extent of her pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. Row 13 · 2020-06-30 · Sale · Disposed 500,000 · Balance 5,602,422 F1: Held by New Era Capital Fund L.P. of which New Era Capital LLC is the General Partner, of which the reporting person is the managing member. The reporting person disclaims beneficial ownership of these securities except to the extent of her pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. Row 14 · 2020-07-01 · Sale · Disposed 100,000 · Balance 5,502,422 F1: Held by New Era Capital Fund L.P. of which New Era Capital LLC is the General Partner, of which the reporting person is the managing member. The reporting person disclaims beneficial ownership of these securities except to the extent of her pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. Row 15 · 2020-07-07 · Other · Disposed 1,500,000 · Balance 4,002,422 F3: In-kind distribution by New Era Capital Fund L.P. of the issuer's common stock to New Era Capital Fund L.P.'s partners. F1: Held by New Era Capital Fund L.P. of which New Era Capital LLC is the General Partner, of which the reporting person is the managing member. The reporting person disclaims beneficial ownership of these securities except to the extent of her pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. |
| Common StockSEC Table I · non-derivative | Direct | 1,500,000 |
Reported balance
After 2020-07-07 transaction · row 16
1 source rowRow 16 · 2020-07-07 · Other · Acquired 1,500,000 · Balance 1,500,000 F3: In-kind distribution by New Era Capital Fund L.P. of the issuer's common stock to New Era Capital Fund L.P.'s partners. |
| Common StockSEC Table I · non-derivative | IndirectThe Joe & Kim Lukens Foundation | 77,435 |
Reported balance
After 2019-09-03 transaction · row 17
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 17 · 2019-09-03 · Gift · Disposed 77,436 · Balance 77,435 |
| Common StockSEC Table I · non-derivative | IndirectThe Joe & Kim Lukens Foundation | 0 |
Reported balance
After 2019-12-23 transaction · row 18
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 18 · 2019-12-23 · Gift · Disposed 77,435 · Balance 0 |
| Common Stock Purchase WarrantSEC Table II · derivative / convertible security · Conversion / exercise price $3.80 · Expires 2022-09-18 | IndirectSee Footnotes | 0 |
Reported balance
After 2018-06-14 transaction · row 19
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 19 · 2018-06-14 · Exercise / conversion · Disposed 585,936 · Balance 0 F1: Held by New Era Capital Fund L.P. of which New Era Capital LLC is the General Partner, of which the reporting person is the managing member. The reporting person disclaims beneficial ownership of these securities except to the extent of her pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: Held by New Era Capital Fund L.P. of which New Era Capital LLC is the General Partner, of which the reporting person is the managing member. The reporting person disclaims beneficial ownership of these securities except to the extent of her pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.
F2: New Era Capital Fund L.P. exchanged warrants to purchase 585,936 shares of common stock of the issuer for 410,155 shares of common stock of the issuer.
F3: In-kind distribution by New Era Capital Fund L.P. of the issuer's common stock to New Era Capital Fund L.P.'s partners.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| July 07, 2020 Filed Jul 10, 2020 14:56 UTC | Workhorse Group Inc. WKHS · Entity 7322 | OtherCommon Stock | 1,500,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-20-017160 · ownership.xml · nonDerivative · entry 16 LUKENS JOSEPH THEODORE JR · CIK 0001607972 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,500,000 F3 · kind: In-kind distribution by New Era Capital Fund L.P. of the issuer's common stock to New Era Capital Fund L.P.'s partners. Read SEC document |
| July 07, 2020 Filed Jul 10, 2020 14:56 UTC | Workhorse Group Inc. WKHS · Entity 7322 | OtherCommon Stock | 1,500,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-20-017160 · ownership.xml · nonDerivative · entry 15 LUKENS JOSEPH THEODORE JR · CIK 0001607972 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 4,002,422 F3 · kind: In-kind distribution by New Era Capital Fund L.P. of the issuer's common stock to New Era Capital Fund L.P.'s partners. F1 · ownership.nature: Held by New Era Capital Fund L.P. of which New Era Capital LLC is the General Partner, of which the reporting person is the managing member. The reporting person disclaims beneficial ownership of these securities except to the extent of her pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. Read SEC document |
| July 01, 2020 Filed Jul 10, 2020 14:56 UTC | Workhorse Group Inc. WKHS · Entity 7322 | SaleCommon Stock | 100,000 | $20.00 | $2,000,000.00 |
DisclosureSEC source: 0001213900-20-017160 · ownership.xml · nonDerivative · entry 14 LUKENS JOSEPH THEODORE JR · CIK 0001607972 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 5,502,422 F1 · ownership.nature: Held by New Era Capital Fund L.P. of which New Era Capital LLC is the General Partner, of which the reporting person is the managing member. The reporting person disclaims beneficial ownership of these securities except to the extent of her pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. Read SEC document |
| June 30, 2020 Filed Jul 10, 2020 14:56 UTC | Workhorse Group Inc. WKHS · Entity 7322 | SaleCommon Stock | 500,000 | $18.40 | $9,200,000.00 |
DisclosureSEC source: 0001213900-20-017160 · ownership.xml · nonDerivative · entry 13 LUKENS JOSEPH THEODORE JR · CIK 0001607972 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 5,602,422 F1 · ownership.nature: Held by New Era Capital Fund L.P. of which New Era Capital LLC is the General Partner, of which the reporting person is the managing member. The reporting person disclaims beneficial ownership of these securities except to the extent of her pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. Read SEC document |
| May 20, 2020 Filed Jul 10, 2020 14:56 UTC | Workhorse Group Inc. WKHS · Entity 7322 | OtherCommon Stock | 654,781 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-20-017160 · ownership.xml · nonDerivative · entry 12 LUKENS JOSEPH THEODORE JR · CIK 0001607972 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 6,102,422 F3 · kind: In-kind distribution by New Era Capital Fund L.P. of the issuer's common stock to New Era Capital Fund L.P.'s partners. F1 · ownership.nature: Held by New Era Capital Fund L.P. of which New Era Capital LLC is the General Partner, of which the reporting person is the managing member. The reporting person disclaims beneficial ownership of these securities except to the extent of her pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. Read SEC document |
| April 05, 2020 Filed Jul 10, 2020 14:56 UTC | Workhorse Group Inc. WKHS · Entity 7322 | SaleCommon Stock | 18,154 | $3.24 | $58,818.96 |
DisclosureSEC source: 0001213900-20-017160 · ownership.xml · nonDerivative · entry 11 LUKENS JOSEPH THEODORE JR · CIK 0001607972 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 6,757,203 F1 · ownership.nature: Held by New Era Capital Fund L.P. of which New Era Capital LLC is the General Partner, of which the reporting person is the managing member. The reporting person disclaims beneficial ownership of these securities except to the extent of her pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. Read SEC document |
| March 11, 2020 Filed Jul 10, 2020 14:56 UTC | Workhorse Group Inc. WKHS · Entity 7322 | SaleCommon Stock | 15,000 | $2.36 | $35,400.00 |
DisclosureSEC source: 0001213900-20-017160 · ownership.xml · nonDerivative · entry 10 LUKENS JOSEPH THEODORE JR · CIK 0001607972 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 6,775,357 F1 · ownership.nature: Held by New Era Capital Fund L.P. of which New Era Capital LLC is the General Partner, of which the reporting person is the managing member. The reporting person disclaims beneficial ownership of these securities except to the extent of her pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. Read SEC document |
| March 03, 2020 Filed Jul 10, 2020 14:56 UTC | Workhorse Group Inc. WKHS · Entity 7322 | SaleCommon Stock | 100,000 | $2.99 | $299,000.00 |
DisclosureSEC source: 0001213900-20-017160 · ownership.xml · nonDerivative · entry 9 LUKENS JOSEPH THEODORE JR · CIK 0001607972 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 6,790,357 F1 · ownership.nature: Held by New Era Capital Fund L.P. of which New Era Capital LLC is the General Partner, of which the reporting person is the managing member. The reporting person disclaims beneficial ownership of these securities except to the extent of her pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. Read SEC document |
| February 26, 2020 Filed Jul 10, 2020 14:56 UTC | Workhorse Group Inc. WKHS · Entity 7322 | SaleCommon Stock | 61,700 | $3.62 | $223,354.00 |
DisclosureSEC source: 0001213900-20-017160 · ownership.xml · nonDerivative · entry 8 LUKENS JOSEPH THEODORE JR · CIK 0001607972 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 6,890,357 F1 · ownership.nature: Held by New Era Capital Fund L.P. of which New Era Capital LLC is the General Partner, of which the reporting person is the managing member. The reporting person disclaims beneficial ownership of these securities except to the extent of her pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. Read SEC document |
| February 25, 2020 Filed Jul 10, 2020 14:56 UTC | Workhorse Group Inc. WKHS · Entity 7322 | SaleCommon Stock | 200 | $3.70 | $740.00 |
DisclosureSEC source: 0001213900-20-017160 · ownership.xml · nonDerivative · entry 7 LUKENS JOSEPH THEODORE JR · CIK 0001607972 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 6,952,057 F1 · ownership.nature: Held by New Era Capital Fund L.P. of which New Era Capital LLC is the General Partner, of which the reporting person is the managing member. The reporting person disclaims beneficial ownership of these securities except to the extent of her pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. Read SEC document |
| February 21, 2020 Filed Jul 10, 2020 14:56 UTC | Workhorse Group Inc. WKHS · Entity 7322 | SaleCommon Stock | 4,946 | $3.90 | $19,289.40 |
DisclosureSEC source: 0001213900-20-017160 · ownership.xml · nonDerivative · entry 6 LUKENS JOSEPH THEODORE JR · CIK 0001607972 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 6,952,257 F1 · ownership.nature: Held by New Era Capital Fund L.P. of which New Era Capital LLC is the General Partner, of which the reporting person is the managing member. The reporting person disclaims beneficial ownership of these securities except to the extent of her pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. Read SEC document |
| February 18, 2020 Filed Jul 10, 2020 14:56 UTC | Workhorse Group Inc. WKHS · Entity 7322 | SaleCommon Stock | 83,644 | $3.36 | $281,043.84 |
DisclosureSEC source: 0001213900-20-017160 · ownership.xml · nonDerivative · entry 5 LUKENS JOSEPH THEODORE JR · CIK 0001607972 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 6,957,203 F1 · ownership.nature: Held by New Era Capital Fund L.P. of which New Era Capital LLC is the General Partner, of which the reporting person is the managing member. The reporting person disclaims beneficial ownership of these securities except to the extent of her pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. Read SEC document |
| December 23, 2019 Filed Jul 10, 2020 14:56 UTC | Workhorse Group Inc. WKHS · Entity 7322 | GiftCommon Stock | 77,435 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-20-017160 · ownership.xml · nonDerivative · entry 18 LUKENS JOSEPH THEODORE JR · CIK 0001607972 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · The Joe & Kim Lukens Foundation Disclosed balance after: 0 Read SEC document |
| September 03, 2019 Filed Jul 10, 2020 14:56 UTC | Workhorse Group Inc. WKHS · Entity 7322 | GiftCommon Stock | 77,436 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-20-017160 · ownership.xml · nonDerivative · entry 17 LUKENS JOSEPH THEODORE JR · CIK 0001607972 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · The Joe & Kim Lukens Foundation Disclosed balance after: 77,435 Read SEC document |
| July 22, 2019 Filed Jul 10, 2020 14:56 UTC | Workhorse Group Inc. WKHS · Entity 7322 | SaleCommon Stock | 109,000 | $3.48 | $379,320.00 |
DisclosureSEC source: 0001213900-20-017160 · ownership.xml · nonDerivative · entry 4 LUKENS JOSEPH THEODORE JR · CIK 0001607972 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 7,040,847 F1 · ownership.nature: Held by New Era Capital Fund L.P. of which New Era Capital LLC is the General Partner, of which the reporting person is the managing member. The reporting person disclaims beneficial ownership of these securities except to the extent of her pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. Read SEC document |
| July 16, 2019 Filed Jul 10, 2020 14:56 UTC | Workhorse Group Inc. WKHS · Entity 7322 | SaleCommon Stock | 267,356 | $3.60 | $962,481.60 |
DisclosureSEC source: 0001213900-20-017160 · ownership.xml · nonDerivative · entry 3 LUKENS JOSEPH THEODORE JR · CIK 0001607972 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 7,149,847 F1 · ownership.nature: Held by New Era Capital Fund L.P. of which New Era Capital LLC is the General Partner, of which the reporting person is the managing member. The reporting person disclaims beneficial ownership of these securities except to the extent of her pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. Read SEC document |
| June 14, 2018 Filed Jul 10, 2020 14:56 UTC | Workhorse Group Inc. WKHS · Entity 7322 | Exercise / conversionCommon Stock Purchase Warrant · Derivative | 585,936 | $0.00 Strike: $3.80 | $0.00 |
DisclosureSEC source: 0001213900-20-017160 · ownership.xml · derivative · entry 19 LUKENS JOSEPH THEODORE JR · CIK 0001607972 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 0 Underlying: Common Stock · 585,936 shares Expires 2022-09-18 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · ownership.nature: Held by New Era Capital Fund L.P. of which New Era Capital LLC is the General Partner, of which the reporting person is the managing member. The reporting person disclaims beneficial ownership of these securities except to the extent of her pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. Read SEC document |
| June 14, 2018 Filed Jul 10, 2020 14:56 UTC | Workhorse Group Inc. WKHS · Entity 7322 | Exercise / conversionCommon Stock | 410,155 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-20-017160 · ownership.xml · nonDerivative · entry 2 LUKENS JOSEPH THEODORE JR · CIK 0001607972 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 7,417,203 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · kind: New Era Capital Fund L.P. exchanged warrants to purchase 585,936 shares of common stock of the issuer for 410,155 shares of common stock of the issuer. F1 · ownership.nature: Held by New Era Capital Fund L.P. of which New Era Capital LLC is the General Partner, of which the reporting person is the managing member. The reporting person disclaims beneficial ownership of these securities except to the extent of her pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. Read SEC document |
| April 30, 2018 Filed Jul 10, 2020 14:56 UTC | Workhorse Group Inc. WKHS · Entity 7322 | PurchaseCommon Stock | 36,765 | $2.82 | $103,677.30 |
DisclosureSEC source: 0001213900-20-017160 · ownership.xml · nonDerivative · entry 1 LUKENS JOSEPH THEODORE JR · CIK 0001607972 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 7,007,048 F1 · ownership.nature: Held by New Era Capital Fund L.P. of which New Era Capital LLC is the General Partner, of which the reporting person is the managing member. The reporting person disclaims beneficial ownership of these securities except to the extent of her pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. Read SEC document |
| September 18, 2017 Filed Oct 5, 2017 21:05 UTC | Workhorse Group Inc. WKHS · Entity 7322 | GrantWarrants · Derivative | 585,936 | Not disclosed Strike: $3.80 | Not disclosed |
DisclosureSEC source: 0001213900-17-010325 · f4091817lukens_workhorse.xml · derivative · entry 9 LUKENS JOSEPH THEODORE JR · CIK 0001607972 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 585,936 Underlying: Common Stock, Par Value $0.001 · 585,936 shares Expires 2022-09-18 F2 · price: New Era acquired 781,248 shares of common stock and warrants to purchase 585,936 shares of common stock for a period of five years at an exercise price of $3.80 per share from the Company on September 18, 2017 for an aggregate purchase price of $2,499,993.60. F2 · ownership.nature: New Era acquired 781,248 shares of common stock and warrants to purchase 585,936 shares of common stock for a period of five years at an exercise price of $3.80 per share from the Company on September 18, 2017 for an aggregate purchase price of $2,499,993.60. Read SEC document |
| September 18, 2017 Filed Oct 5, 2017 21:05 UTC | Workhorse Group Inc. WKHS · Entity 7322 | SaleCommon Stock, $0.001 par value per share | 3,491,888 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001213900-17-010325 · f4091817lukens_workhorse.xml · nonDerivative · entry 4 LUKENS JOSEPH THEODORE JR · CIK 0001607972 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F2 · price: New Era acquired 781,248 shares of common stock and warrants to purchase 585,936 shares of common stock for a period of five years at an exercise price of $3.80 per share from the Company on September 18, 2017 for an aggregate purchase price of $2,499,993.60. F1 · ownership.direct: US Trust Company of Delaware Administrative Trustee of the Joe & Kim Lukens Dynasty Trust assigned 2,697,147 shares of common stock to New Era Capital Fund L.P. ("New Era") in exchange for 34.504% of New Era. New Era Capital LLC ("NEC") is the General Partner of New Era. Mr. Lukens is the managing member of NEC. Jospeh T. Lukens, Jr. assigned 3,491,888 shares of common stock to New Era in exchange for 44.672% of New Era. Read SEC document |
| September 18, 2017 Filed Oct 5, 2017 21:05 UTC | Workhorse Group Inc. WKHS · Entity 7322 | SaleCommon Stock, $0.001 par value per share | 2,697,147 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001213900-17-010325 · f4091817lukens_workhorse.xml · nonDerivative · entry 3 LUKENS JOSEPH THEODORE JR · CIK 0001607972 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 F1 · price: US Trust Company of Delaware Administrative Trustee of the Joe & Kim Lukens Dynasty Trust assigned 2,697,147 shares of common stock to New Era Capital Fund L.P. ("New Era") in exchange for 34.504% of New Era. New Era Capital LLC ("NEC") is the General Partner of New Era. Mr. Lukens is the managing member of NEC. Jospeh T. Lukens, Jr. assigned 3,491,888 shares of common stock to New Era in exchange for 44.672% of New Era. F2 · price: New Era acquired 781,248 shares of common stock and warrants to purchase 585,936 shares of common stock for a period of five years at an exercise price of $3.80 per share from the Company on September 18, 2017 for an aggregate purchase price of $2,499,993.60. F1 · ownership.nature: US Trust Company of Delaware Administrative Trustee of the Joe & Kim Lukens Dynasty Trust assigned 2,697,147 shares of common stock to New Era Capital Fund L.P. ("New Era") in exchange for 34.504% of New Era. New Era Capital LLC ("NEC") is the General Partner of New Era. Mr. Lukens is the managing member of NEC. Jospeh T. Lukens, Jr. assigned 3,491,888 shares of common stock to New Era in exchange for 44.672% of New Era. F2 · ownership.nature: New Era acquired 781,248 shares of common stock and warrants to purchase 585,936 shares of common stock for a period of five years at an exercise price of $3.80 per share from the Company on September 18, 2017 for an aggregate purchase price of $2,499,993.60. Read SEC document |
| September 18, 2017 Filed Oct 5, 2017 21:05 UTC | Workhorse Group Inc. WKHS · Entity 7322 | PurchaseCommon Stock, $0.001 par value per share | 6,189,035 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001213900-17-010325 · f4091817lukens_workhorse.xml · nonDerivative · entry 2 LUKENS JOSEPH THEODORE JR · CIK 0001607972 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 6,189,035 F1 · price: US Trust Company of Delaware Administrative Trustee of the Joe & Kim Lukens Dynasty Trust assigned 2,697,147 shares of common stock to New Era Capital Fund L.P. ("New Era") in exchange for 34.504% of New Era. New Era Capital LLC ("NEC") is the General Partner of New Era. Mr. Lukens is the managing member of NEC. Jospeh T. Lukens, Jr. assigned 3,491,888 shares of common stock to New Era in exchange for 44.672% of New Era. F2 · price: New Era acquired 781,248 shares of common stock and warrants to purchase 585,936 shares of common stock for a period of five years at an exercise price of $3.80 per share from the Company on September 18, 2017 for an aggregate purchase price of $2,499,993.60. F1 · ownership.nature: US Trust Company of Delaware Administrative Trustee of the Joe & Kim Lukens Dynasty Trust assigned 2,697,147 shares of common stock to New Era Capital Fund L.P. ("New Era") in exchange for 34.504% of New Era. New Era Capital LLC ("NEC") is the General Partner of New Era. Mr. Lukens is the managing member of NEC. Jospeh T. Lukens, Jr. assigned 3,491,888 shares of common stock to New Era in exchange for 44.672% of New Era. F2 · ownership.nature: New Era acquired 781,248 shares of common stock and warrants to purchase 585,936 shares of common stock for a period of five years at an exercise price of $3.80 per share from the Company on September 18, 2017 for an aggregate purchase price of $2,499,993.60. Read SEC document |
| September 18, 2017 Filed Oct 5, 2017 21:05 UTC | Workhorse Group Inc. WKHS · Entity 7322 | PurchaseCommon Stock, $0.001 par value per share | 781,248 | $3.20 | $2,499,993.60 |
DisclosureSEC source: 0001213900-17-010325 · f4091817lukens_workhorse.xml · nonDerivative · entry 1 LUKENS JOSEPH THEODORE JR · CIK 0001607972 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 6,970,283 F1 · ownership.nature: US Trust Company of Delaware Administrative Trustee of the Joe & Kim Lukens Dynasty Trust assigned 2,697,147 shares of common stock to New Era Capital Fund L.P. ("New Era") in exchange for 34.504% of New Era. New Era Capital LLC ("NEC") is the General Partner of New Era. Mr. Lukens is the managing member of NEC. Jospeh T. Lukens, Jr. assigned 3,491,888 shares of common stock to New Era in exchange for 44.672% of New Era. F2 · ownership.nature: New Era acquired 781,248 shares of common stock and warrants to purchase 585,936 shares of common stock for a period of five years at an exercise price of $3.80 per share from the Company on September 18, 2017 for an aggregate purchase price of $2,499,993.60. Read SEC document |
| February 01, 2017 Filed Feb 13, 2017 22:02 UTC | Workhorse Group Inc. WKHS · Entity 7322 | Conversion6% Convertible Debenture · Derivative | 668,333 | $3.00 Strike: $3.00 | $2,004,999.00 |
DisclosureSEC source: 0001213900-17-001267 · f4020117lukens_workhorse.xml · derivative · entry 7 LUKENS JOSEPH THEODORE JR · CIK 0001607972 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 668,333 Underlying: Common Stock, Par Value $0.001 · 311,526 shares Expires 2019-01-10 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: On January 10, 2017, Workhorse Group Inc. (the "Company"), entered into a Securities Purchase Agreement with Joseph T. Lukens ("Lukens") providing for the sale by the Company to Lukens of a 6% Convertible Debenture in the aggregate amount of $2,000,000 (the "Lukens Debenture") in consideration of $2,000,000. The financing closed on January 10, 2017. The Lukens Debenture matured two years from the date of issuance and carried interest of 6% per annum payable upon maturity. At the option of Lukens, all or a portion of the Lukens Debenture may have been converted into shares of common stock of the Company at $6.42 per share. Upon the closing of any future equity, convertible equity or convertible debt financing of the Company of at least $5,000,000, all unpaid principal and accrued but unpaid interest hereunder shall automatically convert into the same securities offered in such financing. (cont'd in Footnote 2) Read SEC document |
| February 01, 2017 Filed Feb 13, 2017 22:02 UTC | Workhorse Group Inc. WKHS · Entity 7322 | ConversionCommon Stock, $0.001 par value per share | 668,333 | $3.00 | $2,004,999.00 |
DisclosureSEC source: 0001213900-17-001267 · f4020117lukens_workhorse.xml · nonDerivative · entry 1 LUKENS JOSEPH THEODORE JR · CIK 0001607972 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,491,888 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · ownership.direct: On January 10, 2017, Workhorse Group Inc. (the "Company"), entered into a Securities Purchase Agreement with Joseph T. Lukens ("Lukens") providing for the sale by the Company to Lukens of a 6% Convertible Debenture in the aggregate amount of $2,000,000 (the "Lukens Debenture") in consideration of $2,000,000. The financing closed on January 10, 2017. The Lukens Debenture matured two years from the date of issuance and carried interest of 6% per annum payable upon maturity. At the option of Lukens, all or a portion of the Lukens Debenture may have been converted into shares of common stock of the Company at $6.42 per share. Upon the closing of any future equity, convertible equity or convertible debt financing of the Company of at least $5,000,000, all unpaid principal and accrued but unpaid interest hereunder shall automatically convert into the same securities offered in such financing. (cont'd in Footnote 2) F2 · ownership.direct: (cont'd from Footnote 1) On January 27, 2017, the Company and Lukens entered into a Conversion Agreement further clarifying that the Lukens Debenture will be converted at the offering price of the Company's underwritten public offering. On February 2, 2017, the Company closed the underwritten public offering and the Lukens Debenture was converted into 668,333 shares of common stock at $3.00 per share, which was the offering price. Read SEC document |
| January 10, 2017 Filed Jan 12, 2017 22:13 UTC | Workhorse Group Inc. WKHS · Entity 7322 | Purchase6% Convertible Debenture · Derivative | 311,526 | $6.42 Strike: $6.42 | $1,999,996.92 |
DisclosureSEC source: 0001213900-17-000298 · f4091316lukens_workhorse.xml · derivative · entry 9 LUKENS JOSEPH THEODORE JR · CIK 0001607972 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 311,526 Underlying: Common Stock, Par Value $0.001 · 311,526 shares Expires 2019-01-10 Read SEC document |
| January 06, 2017 Filed Jan 12, 2017 22:13 UTC | Workhorse Group Inc. WKHS · Entity 7322 | OtherCommon Stock Purchase Warrant · Derivative | 166,000 | $0.00 Strike: $1.50 | $0.00 |
DisclosureSEC source: 0001213900-17-000298 · f4091316lukens_workhorse.xml · derivative · entry 10 LUKENS JOSEPH THEODORE JR · CIK 0001607972 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock, Par Value $0.001 · 0 shares Expires 2017-05-22 F6 · shares: On January 6, 2017, Mr. Lukens exercised a common stock purchase warrant to acquire 166,000 shares of common stock at an exercise price of $1.50 per share. F6 · ownership.direct: On January 6, 2017, Mr. Lukens exercised a common stock purchase warrant to acquire 166,000 shares of common stock at an exercise price of $1.50 per share. Read SEC document |
| January 06, 2017 Filed Jan 12, 2017 22:13 UTC | Workhorse Group Inc. WKHS · Entity 7322 | OtherCommon Stock, $0.001 par value per share | 166,000 | $150.00 | $24,900,000.00 |
DisclosureSEC source: 0001213900-17-000298 · f4091316lukens_workhorse.xml · nonDerivative · entry 1 LUKENS JOSEPH THEODORE JR · CIK 0001607972 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,823,555 F5 · ownership.direct: Mr. Lukens acquired 166,000 shares of common stock in connection with the exercise of a common stock purchase warrant on January 6, 2017 Read SEC document |
| September 13, 2016 Filed Jan 12, 2017 22:13 UTC | Workhorse Group Inc. WKHS · Entity 7322 | OtherCommon Stock, $0.001 par value per share | 25,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-17-000298 · f4091316lukens_workhorse.xml · nonDerivative · entry 3 LUKENS JOSEPH THEODORE JR · CIK 0001607972 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 25,000 F8 · kind: On September 13, 2016, the Joseph T Lukens, Jr. and Gerald Budde, Co-Trustee of the Joseph T. Lukens, Jr. Irrevocable Trust for Chelsey L. Lukens U/T/A Dated 2/23/2016 transferred 25,000 shares of common stock to Chelsey L. Lukens, Mr. Lukens' daughter. Chelsey Lukens is not dependent on Mr. Lukens. F8 · ownership.nature: On September 13, 2016, the Joseph T Lukens, Jr. and Gerald Budde, Co-Trustee of the Joseph T. Lukens, Jr. Irrevocable Trust for Chelsey L. Lukens U/T/A Dated 2/23/2016 transferred 25,000 shares of common stock to Chelsey L. Lukens, Mr. Lukens' daughter. Chelsey Lukens is not dependent on Mr. Lukens. Read SEC document |
| September 13, 2016 Filed Jan 12, 2017 22:13 UTC | Workhorse Group Inc. WKHS · Entity 7322 | OtherCommon Stock, $0.001 par value per share | 25,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001213900-17-000298 · f4091316lukens_workhorse.xml · nonDerivative · entry 2 LUKENS JOSEPH THEODORE JR · CIK 0001607972 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 25,000 F7 · kind: On September 13, 2016, the Joseph T Lukens, Jr. and Gerald Budde, Co-Trustee of the Joseph T. Lukens, Jr. Irrevocable Trust for Heidi H. Lukens U/T/A Dated 2/23/2016 transferred 25,000 shares of common stock to Heidi H. Lukens, Mr. Lukens' daughter. Heidi Lukens is not dependent on Mr. Lukens. F7 · ownership.nature: On September 13, 2016, the Joseph T Lukens, Jr. and Gerald Budde, Co-Trustee of the Joseph T. Lukens, Jr. Irrevocable Trust for Heidi H. Lukens U/T/A Dated 2/23/2016 transferred 25,000 shares of common stock to Heidi H. Lukens, Mr. Lukens' daughter. Heidi Lukens is not dependent on Mr. Lukens. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.