organization · Reporting owner
SMC Reserve Fund II, LP
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.
AMERICAN POWER GROUP Corp
Report date December 19, 2017 · Filed December 21, 2017
Jointly reported with Spring Mountain Capital, LLC, SMC Select Co-Investment Fund I LP, SMC Select Co-Investment I GP, LLC, Spring Mountain Capital G.P., LLC, Spring Mountain Capital, LP, SMC Employees Partnership, Steffens John, Ho Gregory P.
Section 16 reporting ended · disclosed 2017-12-21. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2017-12-19 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2017-12-19 · Sale · Disposed 1,947,370 · Balance 0 F1: SMC Select Co-Investment Fund I, LP ("SMC Co-Investment") sold 1,947,370 shares of the Issuer's common stock, par $0.01 par value per share ("Common Stock"). SMC Select Co-Investment I GP, LLC is the general partner of SMC Co-Investment ("SMC Co-Investment GP") and pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, it may be deemed to have been the beneficial owner of any securities reported herein that were beneficially owned by SMC Co-Investment. SMC Co-Investment GP disclaims beneficial ownership with respect to any shares of Common Stock except to the extent of its pecuniary interest therein. F2: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. |
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2017-12-19 transaction · row 4
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 4 · 2017-12-19 · Sale · Disposed 954,209 · Balance 0 F6: SMC EP sold 954,209 shares of Common Stock. F2: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. |
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2017-12-19 transaction · row 5
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 5 · 2017-12-19 · Sale · Disposed 1,740,585 · Balance 0 F15: SMC Reserve II sold 1,740,585 shares of Common Stock. F2: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 0 |
Reported balance
After 2017-12-19 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2017-12-19 · Sale · Disposed 4,123,095 · Balance 0 F3: Spring Mountain Capital G.P., LLC ("Spring Mountain GP") is the general partner to SMC Reserve Fund II, LP ("SMC Reserve II") and SMC Reserve Fund II Offshore, LP ("SMC Reserve II Offshore"), which is not a reporting person, and is the sole member of SMC Co-Investment GP. Entities over which Spring Mountain GP is deemed to have voting and investment sold 4,123,095 shares of Common Stock. Spring Mountain Capital, LP ("SMC LP") acts as investment manager to SMC Reserve II, SMC Reserve II Offshore and SMC Co-Investment. Spring Mountain Capital, LLC ("SMC LLC") is the general partner of SMC LP. F4: Pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, each of Spring Mountain GP, SMC LP and SMC LLC may be deemed to have been the beneficial owner of any securities reported herein that were beneficially owned by SMC Reserve II, SMC Reserve II Offshore and SMC Co-Investment. Each of Spring Mountain GP, SMC LP and SMC LLC disclaims beneficial ownership with respect to any shares of common stock except to the extent of its pecuniary interest therein. F2: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 0 |
Reported balance
After 2017-12-19 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2017-12-19 · Sale · Disposed 5,077,704 · Balance 0 F5: Mr. John L. Steffens and Mr. Gregory P. Ho are managing members of Spring Mountain GP and SMC LLC, and are also partners in SMC Employees Partnership ("SMC EP"). Entities over which Mr. Steffens and Mr. Ho are deemed to have voting and investment control sold an aggregate of 5,077,704 shares of Common Stock. Pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, each of Mr. Steffens and Mr. Ho may be deemed to have been the beneficial owner of any securities reported herein that may be deemed to have been beneficially owned by SMC Reserve II, SMC Reserve II Offshore, SMC Co-Investment and SMC EP. Each of Mr. Steffens and Mr. Ho disclaims beneficial ownership with respect to any shares of common stock except to the extent of his pecuniary interest therein. F2: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. |
| 10% Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.40 | Direct | 0 |
Reported balance
After 2017-12-19 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2017-12-19 · Sale · Disposed 133.3333 · Balance 0 F2: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. F7: The 10% Convertible Preferred Stock ("10% Preferred Stock") is convertible at any time, at the respective holder's election and has no expiration date. F8: SMC Co-Investment sold (i) 133.3333 shares of 10% Preferred Stock, which are convertible into 3,333,333 shares of Common Stock, and (ii) warrants to purchase Common Stock at an initial exercise price of $0.50 per share ("$0.50 Warrants") exercisable for up to 3,333,333 shares of Common Stock. SMC Co-Investment GP is the general partner of SMC Co-Investment SMC Co-Investment GP and pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, it may be deemed to have been the beneficial owner of any securities reported herein that were beneficially owned by SMC Co-Investment. SMC Co-Investment GP disclaims beneficial ownership with respect to any shares of common stock except to the extent of its pecuniary interest therein. |
| 10% Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.40 | Direct | 0 |
Reported balance
After 2017-12-19 transaction · row 17
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 17 · 2017-12-19 · Sale · Disposed 65.3333 · Balance 0 F2: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. F7: The 10% Convertible Preferred Stock ("10% Preferred Stock") is convertible at any time, at the respective holder's election and has no expiration date. F14: SMC EP sold (i) 65.3333 shares of 10% Preferred Stock, which are convertible into 1,633,333 shares of Common Stock, (ii) 51.9320 shares of Series C Preferred Stock, which are convertible into 2,596,600 shares of Common Stock, (iii) $0.50 Warrants exercisable for up to 1,633,333 shares of Common Stock, and (iv) $0.20 Warrants exercisable for up to 2,596,575 shares of Common Stock. |
| 10% Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.40 | Direct | 0 |
Reported balance
After 2017-12-19 transaction · row 22
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 22 · 2017-12-19 · Sale · Disposed 213.3333 · Balance 0 F2: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. F7: The 10% Convertible Preferred Stock ("10% Preferred Stock") is convertible at any time, at the respective holder's election and has no expiration date. F16: SMC Reserve II sold (i) 213.3333 shares of 10% Preferred Stock, which are convertible into 5,333,333 shares of Common Stock, and (ii) $0.50 Warrants exercisable for up to 5,333,333 shares of Common Stock. |
| Common Stock Warrants (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.50 · Expires 2020-05-30 | Direct | 0 |
Reported balance
After 2017-12-19 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2017-12-19 · Sale · Disposed 2,500,000 · Balance 0 F2: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. F8: SMC Co-Investment sold (i) 133.3333 shares of 10% Preferred Stock, which are convertible into 3,333,333 shares of Common Stock, and (ii) warrants to purchase Common Stock at an initial exercise price of $0.50 per share ("$0.50 Warrants") exercisable for up to 3,333,333 shares of Common Stock. SMC Co-Investment GP is the general partner of SMC Co-Investment SMC Co-Investment GP and pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, it may be deemed to have been the beneficial owner of any securities reported herein that were beneficially owned by SMC Co-Investment. SMC Co-Investment GP disclaims beneficial ownership with respect to any shares of common stock except to the extent of its pecuniary interest therein. |
| Common Stock Warrants (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.50 · Expires 2018-09-28 | Direct | 0 |
Reported balance
After 2017-12-19 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2017-12-19 · Sale · Disposed 833,333 · Balance 0 F2: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. F8: SMC Co-Investment sold (i) 133.3333 shares of 10% Preferred Stock, which are convertible into 3,333,333 shares of Common Stock, and (ii) warrants to purchase Common Stock at an initial exercise price of $0.50 per share ("$0.50 Warrants") exercisable for up to 3,333,333 shares of Common Stock. SMC Co-Investment GP is the general partner of SMC Co-Investment SMC Co-Investment GP and pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, it may be deemed to have been the beneficial owner of any securities reported herein that were beneficially owned by SMC Co-Investment. SMC Co-Investment GP disclaims beneficial ownership with respect to any shares of common stock except to the extent of its pecuniary interest therein. |
| Common Stock Warrants (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.50 · Expires 2020-05-30 | Direct | 0 |
Reported balance
After 2017-12-19 transaction · row 19
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 19 · 2017-12-19 · Sale · Disposed 1,225,000 · Balance 0 F2: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. F14: SMC EP sold (i) 65.3333 shares of 10% Preferred Stock, which are convertible into 1,633,333 shares of Common Stock, (ii) 51.9320 shares of Series C Preferred Stock, which are convertible into 2,596,600 shares of Common Stock, (iii) $0.50 Warrants exercisable for up to 1,633,333 shares of Common Stock, and (iv) $0.20 Warrants exercisable for up to 2,596,575 shares of Common Stock. |
| Common Stock Warrants (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.50 · Expires 2018-09-28 | Direct | 0 |
Reported balance
After 2017-12-19 transaction · row 20
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 20 · 2017-12-19 · Sale · Disposed 408,333 · Balance 0 F2: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. F14: SMC EP sold (i) 65.3333 shares of 10% Preferred Stock, which are convertible into 1,633,333 shares of Common Stock, (ii) 51.9320 shares of Series C Preferred Stock, which are convertible into 2,596,600 shares of Common Stock, (iii) $0.50 Warrants exercisable for up to 1,633,333 shares of Common Stock, and (iv) $0.20 Warrants exercisable for up to 2,596,575 shares of Common Stock. |
| Common Stock Warrants (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.20 · Expires 2020-10-21 | Direct | 0 |
Reported balance
After 2017-12-19 transaction · row 21
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 21 · 2017-12-19 · Sale · Disposed 2,596,575 · Balance 0 F2: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. F14: SMC EP sold (i) 65.3333 shares of 10% Preferred Stock, which are convertible into 1,633,333 shares of Common Stock, (ii) 51.9320 shares of Series C Preferred Stock, which are convertible into 2,596,600 shares of Common Stock, (iii) $0.50 Warrants exercisable for up to 1,633,333 shares of Common Stock, and (iv) $0.20 Warrants exercisable for up to 2,596,575 shares of Common Stock. |
| Common Stock Warrants (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.50 · Expires 2020-05-30 | Direct | 0 |
Reported balance
After 2017-12-19 transaction · row 23
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 23 · 2017-12-19 · Sale · Disposed 4,000,000 · Balance 0 F2: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. F16: SMC Reserve II sold (i) 213.3333 shares of 10% Preferred Stock, which are convertible into 5,333,333 shares of Common Stock, and (ii) $0.50 Warrants exercisable for up to 5,333,333 shares of Common Stock. |
| Common Stock Warrants (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.50 · Expires 2018-09-28 | Direct | 0 |
Reported balance
After 2017-12-19 transaction · row 24
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 24 · 2017-12-19 · Sale · Disposed 1,333,333 · Balance 0 F2: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. F16: SMC Reserve II sold (i) 213.3333 shares of 10% Preferred Stock, which are convertible into 5,333,333 shares of Common Stock, and (ii) $0.50 Warrants exercisable for up to 5,333,333 shares of Common Stock. |
| 10% Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.40 | IndirectSee Footnotes | 0 |
Reported balance
After 2017-12-19 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2017-12-19 · Sale · Disposed 399.9999 · Balance 0 F2: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. F7: The 10% Convertible Preferred Stock ("10% Preferred Stock") is convertible at any time, at the respective holder's election and has no expiration date. F9: Spring Mountain GP is the general partner to SMC Reserve II and SMC Reserve II Offshore, which is not a reporting person, and is the sole member of SMC Co-Investment GP. Entities over which Spring Mountain GP is deemed to have voting and investment sold (i) 399.9999 shares of 10% Preferred Stock, which are convertible into 9,999,999 shares of Common Stock, and (ii) $0.50 Warrants exercisable for up to 9,999,999 shares of Common Stock. SMC LP acts as investment manager to SMC Reserve II, SMC Reserve II Offshore and SMC Co-Investment. SMC LLC is the general partner of SMC LP. F10: Pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, each of Spring Mountain GP, SMC LP and SMC LLC may be deemed to have been the beneficial owner of any securities reported herein that were beneficially owned by SMC Reserve II, SMC Reserve II Offshore and SMC Co-Investment. Each of Spring Mountain GP, SMC LP and SMC LLC disclaims beneficial ownership with respect to any shares of common stock except to the extent of its pecuniary interest therein. |
| 10% Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.40 | IndirectSee Footnotes | 0 |
Reported balance
After 2017-12-19 transaction · row 12
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 12 · 2017-12-19 · Sale · Disposed 465.3333 · Balance 0 F2: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. F7: The 10% Convertible Preferred Stock ("10% Preferred Stock") is convertible at any time, at the respective holder's election and has no expiration date. F11: Mr. John L. Steffens and Mr. Gregory P. Ho are managing members of Spring Mountain GP and SMC LLC, and are also partners in SMC Employees Partnership ("SMC EP"). Entities over which Mr. Steffens and Mr. Ho are deemed to have voting and investment control sold (i) 465.3333 shares of 10% Preferred Stock, which are convertible into 11,633,332 shares of Common Stock, (ii) 51.9320 shares of Series C Preferred Stock, which are convertible into 2,596,600 shares of Common Stock, (iii) $0.50 Warrants exercisable for up to 11,633,332 shares of Common Stock, and (iv) warrants to purchase Common Stock at an initial exercise price of $0.20 per share ("$0.20 Warrants") exercisable for up to 2,596,575 shares of Common Stock. F12: Pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, each of Mr. Steffens and Mr. Ho may be deemed to have been the beneficial owner of any securities reported herein that may be deemed to have been beneficially owned by SMC Reserve II, SMC Reserve II Offshore, SMC Co-Investment and SMC EP. Each of Mr. Steffens and Mr. Ho disclaims beneficial ownership with respect to any shares of common stock except to the extent of his pecuniary interest therein. |
| Common Stock Warrants (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.50 · Expires 2020-05-30 | IndirectSee Footnotes | 0 |
Reported balance
After 2017-12-19 transaction · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · 2017-12-19 · Sale · Disposed 7,500,000 · Balance 0 F2: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. F9: Spring Mountain GP is the general partner to SMC Reserve II and SMC Reserve II Offshore, which is not a reporting person, and is the sole member of SMC Co-Investment GP. Entities over which Spring Mountain GP is deemed to have voting and investment sold (i) 399.9999 shares of 10% Preferred Stock, which are convertible into 9,999,999 shares of Common Stock, and (ii) $0.50 Warrants exercisable for up to 9,999,999 shares of Common Stock. SMC LP acts as investment manager to SMC Reserve II, SMC Reserve II Offshore and SMC Co-Investment. SMC LLC is the general partner of SMC LP. F10: Pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, each of Spring Mountain GP, SMC LP and SMC LLC may be deemed to have been the beneficial owner of any securities reported herein that were beneficially owned by SMC Reserve II, SMC Reserve II Offshore and SMC Co-Investment. Each of Spring Mountain GP, SMC LP and SMC LLC disclaims beneficial ownership with respect to any shares of common stock except to the extent of its pecuniary interest therein. |
| Common Stock Warrants (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.50 · Expires 2018-09-28 | IndirectSee Footnotes | 0 |
Reported balance
After 2017-12-19 transaction · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 11 · 2017-12-19 · Sale · Disposed 2,499,999 · Balance 0 F2: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. F9: Spring Mountain GP is the general partner to SMC Reserve II and SMC Reserve II Offshore, which is not a reporting person, and is the sole member of SMC Co-Investment GP. Entities over which Spring Mountain GP is deemed to have voting and investment sold (i) 399.9999 shares of 10% Preferred Stock, which are convertible into 9,999,999 shares of Common Stock, and (ii) $0.50 Warrants exercisable for up to 9,999,999 shares of Common Stock. SMC LP acts as investment manager to SMC Reserve II, SMC Reserve II Offshore and SMC Co-Investment. SMC LLC is the general partner of SMC LP. F10: Pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, each of Spring Mountain GP, SMC LP and SMC LLC may be deemed to have been the beneficial owner of any securities reported herein that were beneficially owned by SMC Reserve II, SMC Reserve II Offshore and SMC Co-Investment. Each of Spring Mountain GP, SMC LP and SMC LLC disclaims beneficial ownership with respect to any shares of common stock except to the extent of its pecuniary interest therein. |
| Common Stock Warrants (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.50 · Expires 2020-05-30 | IndirectSee Footnotes | 0 |
Reported balance
After 2017-12-19 transaction · row 14
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 14 · 2017-12-19 · Sale · Disposed 8,725,000 · Balance 0 F2: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. F11: Mr. John L. Steffens and Mr. Gregory P. Ho are managing members of Spring Mountain GP and SMC LLC, and are also partners in SMC Employees Partnership ("SMC EP"). Entities over which Mr. Steffens and Mr. Ho are deemed to have voting and investment control sold (i) 465.3333 shares of 10% Preferred Stock, which are convertible into 11,633,332 shares of Common Stock, (ii) 51.9320 shares of Series C Preferred Stock, which are convertible into 2,596,600 shares of Common Stock, (iii) $0.50 Warrants exercisable for up to 11,633,332 shares of Common Stock, and (iv) warrants to purchase Common Stock at an initial exercise price of $0.20 per share ("$0.20 Warrants") exercisable for up to 2,596,575 shares of Common Stock. F12: Pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, each of Mr. Steffens and Mr. Ho may be deemed to have been the beneficial owner of any securities reported herein that may be deemed to have been beneficially owned by SMC Reserve II, SMC Reserve II Offshore, SMC Co-Investment and SMC EP. Each of Mr. Steffens and Mr. Ho disclaims beneficial ownership with respect to any shares of common stock except to the extent of his pecuniary interest therein. |
| Common Stock Warrants (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.50 · Expires 2018-09-28 | IndirectSee Footnotes | 0 |
Reported balance
After 2017-12-19 transaction · row 15
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 15 · 2017-12-19 · Sale · Disposed 2,908,332 · Balance 0 F2: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. F11: Mr. John L. Steffens and Mr. Gregory P. Ho are managing members of Spring Mountain GP and SMC LLC, and are also partners in SMC Employees Partnership ("SMC EP"). Entities over which Mr. Steffens and Mr. Ho are deemed to have voting and investment control sold (i) 465.3333 shares of 10% Preferred Stock, which are convertible into 11,633,332 shares of Common Stock, (ii) 51.9320 shares of Series C Preferred Stock, which are convertible into 2,596,600 shares of Common Stock, (iii) $0.50 Warrants exercisable for up to 11,633,332 shares of Common Stock, and (iv) warrants to purchase Common Stock at an initial exercise price of $0.20 per share ("$0.20 Warrants") exercisable for up to 2,596,575 shares of Common Stock. F12: Pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, each of Mr. Steffens and Mr. Ho may be deemed to have been the beneficial owner of any securities reported herein that may be deemed to have been beneficially owned by SMC Reserve II, SMC Reserve II Offshore, SMC Co-Investment and SMC EP. Each of Mr. Steffens and Mr. Ho disclaims beneficial ownership with respect to any shares of common stock except to the extent of his pecuniary interest therein. |
| Common Stock Warrants (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.20 · Expires 2020-10-21 | IndirectSee Footnotes | 0 |
Reported balance
After 2017-12-19 transaction · row 16
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 16 · 2017-12-19 · Sale · Disposed 2,596,575 · Balance 0 F2: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. F11: Mr. John L. Steffens and Mr. Gregory P. Ho are managing members of Spring Mountain GP and SMC LLC, and are also partners in SMC Employees Partnership ("SMC EP"). Entities over which Mr. Steffens and Mr. Ho are deemed to have voting and investment control sold (i) 465.3333 shares of 10% Preferred Stock, which are convertible into 11,633,332 shares of Common Stock, (ii) 51.9320 shares of Series C Preferred Stock, which are convertible into 2,596,600 shares of Common Stock, (iii) $0.50 Warrants exercisable for up to 11,633,332 shares of Common Stock, and (iv) warrants to purchase Common Stock at an initial exercise price of $0.20 per share ("$0.20 Warrants") exercisable for up to 2,596,575 shares of Common Stock. F12: Pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, each of Mr. Steffens and Mr. Ho may be deemed to have been the beneficial owner of any securities reported herein that may be deemed to have been beneficially owned by SMC Reserve II, SMC Reserve II Offshore, SMC Co-Investment and SMC EP. Each of Mr. Steffens and Mr. Ho disclaims beneficial ownership with respect to any shares of common stock except to the extent of his pecuniary interest therein. |
| Series C Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.20 | IndirectSee Footnotes | 0 |
Reported balance
After 2017-12-19 transaction · row 13
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 13 · 2017-12-19 · Sale · Disposed 51.932 · Balance 0 F2: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. F13: The Series C Convertible Preferred Stock ("Series C Preferred Stock") is convertible at any time, at the respective holder's election and has no expiration date. F11: Mr. John L. Steffens and Mr. Gregory P. Ho are managing members of Spring Mountain GP and SMC LLC, and are also partners in SMC Employees Partnership ("SMC EP"). Entities over which Mr. Steffens and Mr. Ho are deemed to have voting and investment control sold (i) 465.3333 shares of 10% Preferred Stock, which are convertible into 11,633,332 shares of Common Stock, (ii) 51.9320 shares of Series C Preferred Stock, which are convertible into 2,596,600 shares of Common Stock, (iii) $0.50 Warrants exercisable for up to 11,633,332 shares of Common Stock, and (iv) warrants to purchase Common Stock at an initial exercise price of $0.20 per share ("$0.20 Warrants") exercisable for up to 2,596,575 shares of Common Stock. F12: Pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, each of Mr. Steffens and Mr. Ho may be deemed to have been the beneficial owner of any securities reported herein that may be deemed to have been beneficially owned by SMC Reserve II, SMC Reserve II Offshore, SMC Co-Investment and SMC EP. Each of Mr. Steffens and Mr. Ho disclaims beneficial ownership with respect to any shares of common stock except to the extent of his pecuniary interest therein. |
| Series C Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.20 | Direct | 0 |
Reported balance
After 2017-12-19 transaction · row 18
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 18 · 2017-12-19 · Sale · Disposed 51.932 · Balance 0 F2: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. F13: The Series C Convertible Preferred Stock ("Series C Preferred Stock") is convertible at any time, at the respective holder's election and has no expiration date. F14: SMC EP sold (i) 65.3333 shares of 10% Preferred Stock, which are convertible into 1,633,333 shares of Common Stock, (ii) 51.9320 shares of Series C Preferred Stock, which are convertible into 2,596,600 shares of Common Stock, (iii) $0.50 Warrants exercisable for up to 1,633,333 shares of Common Stock, and (iv) $0.20 Warrants exercisable for up to 2,596,575 shares of Common Stock. |
Filing footnotes · ownership attribution and instrument terms
F1: SMC Select Co-Investment Fund I, LP ("SMC Co-Investment") sold 1,947,370 shares of the Issuer's common stock, par $0.01 par value per share ("Common Stock"). SMC Select Co-Investment I GP, LLC is the general partner of SMC Co-Investment ("SMC Co-Investment GP") and pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, it may be deemed to have been the beneficial owner of any securities reported herein that were beneficially owned by SMC Co-Investment. SMC Co-Investment GP disclaims beneficial ownership with respect to any shares of Common Stock except to the extent of its pecuniary interest therein.
F2: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00.
F3: Spring Mountain Capital G.P., LLC ("Spring Mountain GP") is the general partner to SMC Reserve Fund II, LP ("SMC Reserve II") and SMC Reserve Fund II Offshore, LP ("SMC Reserve II Offshore"), which is not a reporting person, and is the sole member of SMC Co-Investment GP. Entities over which Spring Mountain GP is deemed to have voting and investment sold 4,123,095 shares of Common Stock. Spring Mountain Capital, LP ("SMC LP") acts as investment manager to SMC Reserve II, SMC Reserve II Offshore and SMC Co-Investment. Spring Mountain Capital, LLC ("SMC LLC") is the general partner of SMC LP.
F4: Pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, each of Spring Mountain GP, SMC LP and SMC LLC may be deemed to have been the beneficial owner of any securities reported herein that were beneficially owned by SMC Reserve II, SMC Reserve II Offshore and SMC Co-Investment. Each of Spring Mountain GP, SMC LP and SMC LLC disclaims beneficial ownership with respect to any shares of common stock except to the extent of its pecuniary interest therein.
F5: Mr. John L. Steffens and Mr. Gregory P. Ho are managing members of Spring Mountain GP and SMC LLC, and are also partners in SMC Employees Partnership ("SMC EP"). Entities over which Mr. Steffens and Mr. Ho are deemed to have voting and investment control sold an aggregate of 5,077,704 shares of Common Stock. Pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, each of Mr. Steffens and Mr. Ho may be deemed to have been the beneficial owner of any securities reported herein that may be deemed to have been beneficially owned by SMC Reserve II, SMC Reserve II Offshore, SMC Co-Investment and SMC EP. Each of Mr. Steffens and Mr. Ho disclaims beneficial ownership with respect to any shares of common stock except to the extent of his pecuniary interest therein.
F6: SMC EP sold 954,209 shares of Common Stock.
F7: The 10% Convertible Preferred Stock ("10% Preferred Stock") is convertible at any time, at the respective holder's election and has no expiration date.
F8: SMC Co-Investment sold (i) 133.3333 shares of 10% Preferred Stock, which are convertible into 3,333,333 shares of Common Stock, and (ii) warrants to purchase Common Stock at an initial exercise price of $0.50 per share ("$0.50 Warrants") exercisable for up to 3,333,333 shares of Common Stock. SMC Co-Investment GP is the general partner of SMC Co-Investment SMC Co-Investment GP and pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, it may be deemed to have been the beneficial owner of any securities reported herein that were beneficially owned by SMC Co-Investment. SMC Co-Investment GP disclaims beneficial ownership with respect to any shares of common stock except to the extent of its pecuniary interest therein.
F9: Spring Mountain GP is the general partner to SMC Reserve II and SMC Reserve II Offshore, which is not a reporting person, and is the sole member of SMC Co-Investment GP. Entities over which Spring Mountain GP is deemed to have voting and investment sold (i) 399.9999 shares of 10% Preferred Stock, which are convertible into 9,999,999 shares of Common Stock, and (ii) $0.50 Warrants exercisable for up to 9,999,999 shares of Common Stock. SMC LP acts as investment manager to SMC Reserve II, SMC Reserve II Offshore and SMC Co-Investment. SMC LLC is the general partner of SMC LP.
F10: Pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, each of Spring Mountain GP, SMC LP and SMC LLC may be deemed to have been the beneficial owner of any securities reported herein that were beneficially owned by SMC Reserve II, SMC Reserve II Offshore and SMC Co-Investment. Each of Spring Mountain GP, SMC LP and SMC LLC disclaims beneficial ownership with respect to any shares of common stock except to the extent of its pecuniary interest therein.
F11: Mr. John L. Steffens and Mr. Gregory P. Ho are managing members of Spring Mountain GP and SMC LLC, and are also partners in SMC Employees Partnership ("SMC EP"). Entities over which Mr. Steffens and Mr. Ho are deemed to have voting and investment control sold (i) 465.3333 shares of 10% Preferred Stock, which are convertible into 11,633,332 shares of Common Stock, (ii) 51.9320 shares of Series C Preferred Stock, which are convertible into 2,596,600 shares of Common Stock, (iii) $0.50 Warrants exercisable for up to 11,633,332 shares of Common Stock, and (iv) warrants to purchase Common Stock at an initial exercise price of $0.20 per share ("$0.20 Warrants") exercisable for up to 2,596,575 shares of Common Stock.
F12: Pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, each of Mr. Steffens and Mr. Ho may be deemed to have been the beneficial owner of any securities reported herein that may be deemed to have been beneficially owned by SMC Reserve II, SMC Reserve II Offshore, SMC Co-Investment and SMC EP. Each of Mr. Steffens and Mr. Ho disclaims beneficial ownership with respect to any shares of common stock except to the extent of his pecuniary interest therein.
F13: The Series C Convertible Preferred Stock ("Series C Preferred Stock") is convertible at any time, at the respective holder's election and has no expiration date.
F14: SMC EP sold (i) 65.3333 shares of 10% Preferred Stock, which are convertible into 1,633,333 shares of Common Stock, (ii) 51.9320 shares of Series C Preferred Stock, which are convertible into 2,596,600 shares of Common Stock, (iii) $0.50 Warrants exercisable for up to 1,633,333 shares of Common Stock, and (iv) $0.20 Warrants exercisable for up to 2,596,575 shares of Common Stock.
F15: SMC Reserve II sold 1,740,585 shares of Common Stock.
F16: SMC Reserve II sold (i) 213.3333 shares of 10% Preferred Stock, which are convertible into 5,333,333 shares of Common Stock, and (ii) $0.50 Warrants exercisable for up to 5,333,333 shares of Common Stock.
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 |
|---|---|---|---|---|---|---|
| December 19, 2017 Filed Dec 21, 2017 16:17 UTC | AMERICAN POWER GROUP Corp APGI · Entity 170990 | SaleCommon Stock Warrants (right to buy) · Derivative | 1,333,333 | Not disclosed Strike: $0.50 | Not disclosed |
DisclosureSEC source: 0001515971-17-000163 · primary_doc.xml · derivative · entry 24 Spring Mountain Capital, LLC · CIK 0001549455 · 10% owner SMC Select Co-Investment Fund I LP · CIK 0001414754 · 10% owner SMC Select Co-Investment I GP, LLC · CIK 0001549445 · 10% owner Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner Spring Mountain Capital, LP · CIK 0001549456 · 10% owner SMC Employees Partnership · CIK 0001657291 · 10% owner Steffens John · CIK 0001373619 · 10% owner Ho Gregory P. · CIK 0001549584 · 10% owner SMC Reserve Fund II, LP · CIK 0001408571 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,333,333 shares Expires 2018-09-28 F2 · price: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. F16 · ownership.direct: SMC Reserve II sold (i) 213.3333 shares of 10% Preferred Stock, which are convertible into 5,333,333 shares of Common Stock, and (ii) $0.50 Warrants exercisable for up to 5,333,333 shares of Common Stock. Read SEC document |
| December 19, 2017 Filed Dec 21, 2017 16:17 UTC | AMERICAN POWER GROUP Corp APGI · Entity 170990 | SaleCommon Stock Warrants (right to buy) · Derivative | 4,000,000 | Not disclosed Strike: $0.50 | Not disclosed |
DisclosureSEC source: 0001515971-17-000163 · primary_doc.xml · derivative · entry 23 Spring Mountain Capital, LLC · CIK 0001549455 · 10% owner SMC Select Co-Investment Fund I LP · CIK 0001414754 · 10% owner SMC Select Co-Investment I GP, LLC · CIK 0001549445 · 10% owner Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner Spring Mountain Capital, LP · CIK 0001549456 · 10% owner SMC Employees Partnership · CIK 0001657291 · 10% owner Steffens John · CIK 0001373619 · 10% owner Ho Gregory P. · CIK 0001549584 · 10% owner SMC Reserve Fund II, LP · CIK 0001408571 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 4,000,000 shares Expires 2020-05-30 F2 · price: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. F16 · ownership.direct: SMC Reserve II sold (i) 213.3333 shares of 10% Preferred Stock, which are convertible into 5,333,333 shares of Common Stock, and (ii) $0.50 Warrants exercisable for up to 5,333,333 shares of Common Stock. Read SEC document |
| December 19, 2017 Filed Dec 21, 2017 16:17 UTC | AMERICAN POWER GROUP Corp APGI · Entity 170990 | Sale10% Convertible Preferred Stock · Derivative | 213.3333 | Not disclosed Strike: $0.40 | Not disclosed |
DisclosureSEC source: 0001515971-17-000163 · primary_doc.xml · derivative · entry 22 Spring Mountain Capital, LLC · CIK 0001549455 · 10% owner SMC Select Co-Investment Fund I LP · CIK 0001414754 · 10% owner SMC Select Co-Investment I GP, LLC · CIK 0001549445 · 10% owner Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner Spring Mountain Capital, LP · CIK 0001549456 · 10% owner SMC Employees Partnership · CIK 0001657291 · 10% owner Steffens John · CIK 0001373619 · 10% owner Ho Gregory P. · CIK 0001549584 · 10% owner SMC Reserve Fund II, LP · CIK 0001408571 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,333,333 shares Expires not disclosed F2 · price: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. F7 · derivative.exercise_date: The 10% Convertible Preferred Stock ("10% Preferred Stock") is convertible at any time, at the respective holder's election and has no expiration date. F7 · derivative.expiration_date: The 10% Convertible Preferred Stock ("10% Preferred Stock") is convertible at any time, at the respective holder's election and has no expiration date. F16 · ownership.direct: SMC Reserve II sold (i) 213.3333 shares of 10% Preferred Stock, which are convertible into 5,333,333 shares of Common Stock, and (ii) $0.50 Warrants exercisable for up to 5,333,333 shares of Common Stock. Read SEC document |
| December 19, 2017 Filed Dec 21, 2017 16:17 UTC | AMERICAN POWER GROUP Corp APGI · Entity 170990 | SaleCommon Stock Warrants (right to buy) · Derivative | 2,596,575 | Not disclosed Strike: $0.20 | Not disclosed |
DisclosureSEC source: 0001515971-17-000163 · primary_doc.xml · derivative · entry 21 Spring Mountain Capital, LLC · CIK 0001549455 · 10% owner SMC Select Co-Investment Fund I LP · CIK 0001414754 · 10% owner SMC Select Co-Investment I GP, LLC · CIK 0001549445 · 10% owner Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner Spring Mountain Capital, LP · CIK 0001549456 · 10% owner SMC Employees Partnership · CIK 0001657291 · 10% owner Steffens John · CIK 0001373619 · 10% owner Ho Gregory P. · CIK 0001549584 · 10% owner SMC Reserve Fund II, LP · CIK 0001408571 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,596,575 shares Expires 2020-10-21 F2 · price: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. F14 · ownership.direct: SMC EP sold (i) 65.3333 shares of 10% Preferred Stock, which are convertible into 1,633,333 shares of Common Stock, (ii) 51.9320 shares of Series C Preferred Stock, which are convertible into 2,596,600 shares of Common Stock, (iii) $0.50 Warrants exercisable for up to 1,633,333 shares of Common Stock, and (iv) $0.20 Warrants exercisable for up to 2,596,575 shares of Common Stock. Read SEC document |
| December 19, 2017 Filed Dec 21, 2017 16:17 UTC | AMERICAN POWER GROUP Corp APGI · Entity 170990 | SaleCommon Stock Warrants (right to buy) · Derivative | 408,333 | Not disclosed Strike: $0.50 | Not disclosed |
DisclosureSEC source: 0001515971-17-000163 · primary_doc.xml · derivative · entry 20 Spring Mountain Capital, LLC · CIK 0001549455 · 10% owner SMC Select Co-Investment Fund I LP · CIK 0001414754 · 10% owner SMC Select Co-Investment I GP, LLC · CIK 0001549445 · 10% owner Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner Spring Mountain Capital, LP · CIK 0001549456 · 10% owner SMC Employees Partnership · CIK 0001657291 · 10% owner Steffens John · CIK 0001373619 · 10% owner Ho Gregory P. · CIK 0001549584 · 10% owner SMC Reserve Fund II, LP · CIK 0001408571 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 408,333 shares Expires 2018-09-28 F2 · price: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. F14 · ownership.direct: SMC EP sold (i) 65.3333 shares of 10% Preferred Stock, which are convertible into 1,633,333 shares of Common Stock, (ii) 51.9320 shares of Series C Preferred Stock, which are convertible into 2,596,600 shares of Common Stock, (iii) $0.50 Warrants exercisable for up to 1,633,333 shares of Common Stock, and (iv) $0.20 Warrants exercisable for up to 2,596,575 shares of Common Stock. Read SEC document |
| December 19, 2017 Filed Dec 21, 2017 16:17 UTC | AMERICAN POWER GROUP Corp APGI · Entity 170990 | SaleCommon Stock Warrants (right to buy) · Derivative | 1,225,000 | Not disclosed Strike: $0.50 | Not disclosed |
DisclosureSEC source: 0001515971-17-000163 · primary_doc.xml · derivative · entry 19 Spring Mountain Capital, LLC · CIK 0001549455 · 10% owner SMC Select Co-Investment Fund I LP · CIK 0001414754 · 10% owner SMC Select Co-Investment I GP, LLC · CIK 0001549445 · 10% owner Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner Spring Mountain Capital, LP · CIK 0001549456 · 10% owner SMC Employees Partnership · CIK 0001657291 · 10% owner Steffens John · CIK 0001373619 · 10% owner Ho Gregory P. · CIK 0001549584 · 10% owner SMC Reserve Fund II, LP · CIK 0001408571 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,225,000 shares Expires 2020-05-30 F2 · price: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. F14 · ownership.direct: SMC EP sold (i) 65.3333 shares of 10% Preferred Stock, which are convertible into 1,633,333 shares of Common Stock, (ii) 51.9320 shares of Series C Preferred Stock, which are convertible into 2,596,600 shares of Common Stock, (iii) $0.50 Warrants exercisable for up to 1,633,333 shares of Common Stock, and (iv) $0.20 Warrants exercisable for up to 2,596,575 shares of Common Stock. Read SEC document |
| December 19, 2017 Filed Dec 21, 2017 16:17 UTC | AMERICAN POWER GROUP Corp APGI · Entity 170990 | SaleSeries C Convertible Preferred Stock · Derivative | 51.932 | Not disclosed Strike: $0.20 | Not disclosed |
DisclosureSEC source: 0001515971-17-000163 · primary_doc.xml · derivative · entry 18 Spring Mountain Capital, LLC · CIK 0001549455 · 10% owner SMC Select Co-Investment Fund I LP · CIK 0001414754 · 10% owner SMC Select Co-Investment I GP, LLC · CIK 0001549445 · 10% owner Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner Spring Mountain Capital, LP · CIK 0001549456 · 10% owner SMC Employees Partnership · CIK 0001657291 · 10% owner Steffens John · CIK 0001373619 · 10% owner Ho Gregory P. · CIK 0001549584 · 10% owner SMC Reserve Fund II, LP · CIK 0001408571 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,596,600 shares Expires not disclosed F2 · price: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. F13 · derivative.exercise_date: The Series C Convertible Preferred Stock ("Series C Preferred Stock") is convertible at any time, at the respective holder's election and has no expiration date. F13 · derivative.expiration_date: The Series C Convertible Preferred Stock ("Series C Preferred Stock") is convertible at any time, at the respective holder's election and has no expiration date. F14 · ownership.direct: SMC EP sold (i) 65.3333 shares of 10% Preferred Stock, which are convertible into 1,633,333 shares of Common Stock, (ii) 51.9320 shares of Series C Preferred Stock, which are convertible into 2,596,600 shares of Common Stock, (iii) $0.50 Warrants exercisable for up to 1,633,333 shares of Common Stock, and (iv) $0.20 Warrants exercisable for up to 2,596,575 shares of Common Stock. Read SEC document |
| December 19, 2017 Filed Dec 21, 2017 16:17 UTC | AMERICAN POWER GROUP Corp APGI · Entity 170990 | Sale10% Convertible Preferred Stock · Derivative | 65.3333 | Not disclosed Strike: $0.40 | Not disclosed |
DisclosureSEC source: 0001515971-17-000163 · primary_doc.xml · derivative · entry 17 Spring Mountain Capital, LLC · CIK 0001549455 · 10% owner SMC Select Co-Investment Fund I LP · CIK 0001414754 · 10% owner SMC Select Co-Investment I GP, LLC · CIK 0001549445 · 10% owner Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner Spring Mountain Capital, LP · CIK 0001549456 · 10% owner SMC Employees Partnership · CIK 0001657291 · 10% owner Steffens John · CIK 0001373619 · 10% owner Ho Gregory P. · CIK 0001549584 · 10% owner SMC Reserve Fund II, LP · CIK 0001408571 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,633,333 shares Expires not disclosed F2 · price: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. F7 · derivative.exercise_date: The 10% Convertible Preferred Stock ("10% Preferred Stock") is convertible at any time, at the respective holder's election and has no expiration date. F7 · derivative.expiration_date: The 10% Convertible Preferred Stock ("10% Preferred Stock") is convertible at any time, at the respective holder's election and has no expiration date. F14 · ownership.direct: SMC EP sold (i) 65.3333 shares of 10% Preferred Stock, which are convertible into 1,633,333 shares of Common Stock, (ii) 51.9320 shares of Series C Preferred Stock, which are convertible into 2,596,600 shares of Common Stock, (iii) $0.50 Warrants exercisable for up to 1,633,333 shares of Common Stock, and (iv) $0.20 Warrants exercisable for up to 2,596,575 shares of Common Stock. Read SEC document |
| December 19, 2017 Filed Dec 21, 2017 16:17 UTC | AMERICAN POWER GROUP Corp APGI · Entity 170990 | SaleCommon Stock Warrants (right to buy) · Derivative | 2,596,575 | Not disclosed Strike: $0.20 | Not disclosed |
DisclosureSEC source: 0001515971-17-000163 · primary_doc.xml · derivative · entry 16 Spring Mountain Capital, LLC · CIK 0001549455 · 10% owner SMC Select Co-Investment Fund I LP · CIK 0001414754 · 10% owner SMC Select Co-Investment I GP, LLC · CIK 0001549445 · 10% owner Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner Spring Mountain Capital, LP · CIK 0001549456 · 10% owner SMC Employees Partnership · CIK 0001657291 · 10% owner Steffens John · CIK 0001373619 · 10% owner Ho Gregory P. · CIK 0001549584 · 10% owner SMC Reserve Fund II, LP · CIK 0001408571 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 0 Underlying: Common Stock · 2,596,575 shares Expires 2020-10-21 F2 · price: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. F11 · ownership.nature: Mr. John L. Steffens and Mr. Gregory P. Ho are managing members of Spring Mountain GP and SMC LLC, and are also partners in SMC Employees Partnership ("SMC EP"). Entities over which Mr. Steffens and Mr. Ho are deemed to have voting and investment control sold (i) 465.3333 shares of 10% Preferred Stock, which are convertible into 11,633,332 shares of Common Stock, (ii) 51.9320 shares of Series C Preferred Stock, which are convertible into 2,596,600 shares of Common Stock, (iii) $0.50 Warrants exercisable for up to 11,633,332 shares of Common Stock, and (iv) warrants to purchase Common Stock at an initial exercise price of $0.20 per share ("$0.20 Warrants") exercisable for up to 2,596,575 shares of Common Stock. F12 · ownership.nature: Pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, each of Mr. Steffens and Mr. Ho may be deemed to have been the beneficial owner of any securities reported herein that may be deemed to have been beneficially owned by SMC Reserve II, SMC Reserve II Offshore, SMC Co-Investment and SMC EP. Each of Mr. Steffens and Mr. Ho disclaims beneficial ownership with respect to any shares of common stock except to the extent of his pecuniary interest therein. Read SEC document |
| December 19, 2017 Filed Dec 21, 2017 16:17 UTC | AMERICAN POWER GROUP Corp APGI · Entity 170990 | SaleCommon Stock Warrants (right to buy) · Derivative | 2,908,332 | Not disclosed Strike: $0.50 | Not disclosed |
DisclosureSEC source: 0001515971-17-000163 · primary_doc.xml · derivative · entry 15 Spring Mountain Capital, LLC · CIK 0001549455 · 10% owner SMC Select Co-Investment Fund I LP · CIK 0001414754 · 10% owner SMC Select Co-Investment I GP, LLC · CIK 0001549445 · 10% owner Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner Spring Mountain Capital, LP · CIK 0001549456 · 10% owner SMC Employees Partnership · CIK 0001657291 · 10% owner Steffens John · CIK 0001373619 · 10% owner Ho Gregory P. · CIK 0001549584 · 10% owner SMC Reserve Fund II, LP · CIK 0001408571 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 0 Underlying: Common Stock · 2,908,332 shares Expires 2018-09-28 F2 · price: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. F11 · ownership.nature: Mr. John L. Steffens and Mr. Gregory P. Ho are managing members of Spring Mountain GP and SMC LLC, and are also partners in SMC Employees Partnership ("SMC EP"). Entities over which Mr. Steffens and Mr. Ho are deemed to have voting and investment control sold (i) 465.3333 shares of 10% Preferred Stock, which are convertible into 11,633,332 shares of Common Stock, (ii) 51.9320 shares of Series C Preferred Stock, which are convertible into 2,596,600 shares of Common Stock, (iii) $0.50 Warrants exercisable for up to 11,633,332 shares of Common Stock, and (iv) warrants to purchase Common Stock at an initial exercise price of $0.20 per share ("$0.20 Warrants") exercisable for up to 2,596,575 shares of Common Stock. F12 · ownership.nature: Pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, each of Mr. Steffens and Mr. Ho may be deemed to have been the beneficial owner of any securities reported herein that may be deemed to have been beneficially owned by SMC Reserve II, SMC Reserve II Offshore, SMC Co-Investment and SMC EP. Each of Mr. Steffens and Mr. Ho disclaims beneficial ownership with respect to any shares of common stock except to the extent of his pecuniary interest therein. Read SEC document |
| December 19, 2017 Filed Dec 21, 2017 16:17 UTC | AMERICAN POWER GROUP Corp APGI · Entity 170990 | SaleCommon Stock Warrants (right to buy) · Derivative | 8,725,000 | Not disclosed Strike: $0.50 | Not disclosed |
DisclosureSEC source: 0001515971-17-000163 · primary_doc.xml · derivative · entry 14 Spring Mountain Capital, LLC · CIK 0001549455 · 10% owner SMC Select Co-Investment Fund I LP · CIK 0001414754 · 10% owner SMC Select Co-Investment I GP, LLC · CIK 0001549445 · 10% owner Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner Spring Mountain Capital, LP · CIK 0001549456 · 10% owner SMC Employees Partnership · CIK 0001657291 · 10% owner Steffens John · CIK 0001373619 · 10% owner Ho Gregory P. · CIK 0001549584 · 10% owner SMC Reserve Fund II, LP · CIK 0001408571 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 0 Underlying: Common Stock · 8,725,000 shares Expires 2020-05-30 F2 · price: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. F11 · ownership.nature: Mr. John L. Steffens and Mr. Gregory P. Ho are managing members of Spring Mountain GP and SMC LLC, and are also partners in SMC Employees Partnership ("SMC EP"). Entities over which Mr. Steffens and Mr. Ho are deemed to have voting and investment control sold (i) 465.3333 shares of 10% Preferred Stock, which are convertible into 11,633,332 shares of Common Stock, (ii) 51.9320 shares of Series C Preferred Stock, which are convertible into 2,596,600 shares of Common Stock, (iii) $0.50 Warrants exercisable for up to 11,633,332 shares of Common Stock, and (iv) warrants to purchase Common Stock at an initial exercise price of $0.20 per share ("$0.20 Warrants") exercisable for up to 2,596,575 shares of Common Stock. F12 · ownership.nature: Pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, each of Mr. Steffens and Mr. Ho may be deemed to have been the beneficial owner of any securities reported herein that may be deemed to have been beneficially owned by SMC Reserve II, SMC Reserve II Offshore, SMC Co-Investment and SMC EP. Each of Mr. Steffens and Mr. Ho disclaims beneficial ownership with respect to any shares of common stock except to the extent of his pecuniary interest therein. Read SEC document |
| December 19, 2017 Filed Dec 21, 2017 16:17 UTC | AMERICAN POWER GROUP Corp APGI · Entity 170990 | SaleSeries C Convertible Preferred Stock · Derivative | 51.932 | Not disclosed Strike: $0.20 | Not disclosed |
DisclosureSEC source: 0001515971-17-000163 · primary_doc.xml · derivative · entry 13 Spring Mountain Capital, LLC · CIK 0001549455 · 10% owner SMC Select Co-Investment Fund I LP · CIK 0001414754 · 10% owner SMC Select Co-Investment I GP, LLC · CIK 0001549445 · 10% owner Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner Spring Mountain Capital, LP · CIK 0001549456 · 10% owner SMC Employees Partnership · CIK 0001657291 · 10% owner Steffens John · CIK 0001373619 · 10% owner Ho Gregory P. · CIK 0001549584 · 10% owner SMC Reserve Fund II, LP · CIK 0001408571 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 0 Underlying: Common Stock · 2,596,600 shares Expires not disclosed F2 · price: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. F13 · derivative.exercise_date: The Series C Convertible Preferred Stock ("Series C Preferred Stock") is convertible at any time, at the respective holder's election and has no expiration date. F13 · derivative.expiration_date: The Series C Convertible Preferred Stock ("Series C Preferred Stock") is convertible at any time, at the respective holder's election and has no expiration date. F11 · ownership.nature: Mr. John L. Steffens and Mr. Gregory P. Ho are managing members of Spring Mountain GP and SMC LLC, and are also partners in SMC Employees Partnership ("SMC EP"). Entities over which Mr. Steffens and Mr. Ho are deemed to have voting and investment control sold (i) 465.3333 shares of 10% Preferred Stock, which are convertible into 11,633,332 shares of Common Stock, (ii) 51.9320 shares of Series C Preferred Stock, which are convertible into 2,596,600 shares of Common Stock, (iii) $0.50 Warrants exercisable for up to 11,633,332 shares of Common Stock, and (iv) warrants to purchase Common Stock at an initial exercise price of $0.20 per share ("$0.20 Warrants") exercisable for up to 2,596,575 shares of Common Stock. F12 · ownership.nature: Pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, each of Mr. Steffens and Mr. Ho may be deemed to have been the beneficial owner of any securities reported herein that may be deemed to have been beneficially owned by SMC Reserve II, SMC Reserve II Offshore, SMC Co-Investment and SMC EP. Each of Mr. Steffens and Mr. Ho disclaims beneficial ownership with respect to any shares of common stock except to the extent of his pecuniary interest therein. Read SEC document |
| December 19, 2017 Filed Dec 21, 2017 16:17 UTC | AMERICAN POWER GROUP Corp APGI · Entity 170990 | Sale10% Convertible Preferred Stock · Derivative | 465.3333 | Not disclosed Strike: $0.40 | Not disclosed |
DisclosureSEC source: 0001515971-17-000163 · primary_doc.xml · derivative · entry 12 Spring Mountain Capital, LLC · CIK 0001549455 · 10% owner SMC Select Co-Investment Fund I LP · CIK 0001414754 · 10% owner SMC Select Co-Investment I GP, LLC · CIK 0001549445 · 10% owner Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner Spring Mountain Capital, LP · CIK 0001549456 · 10% owner SMC Employees Partnership · CIK 0001657291 · 10% owner Steffens John · CIK 0001373619 · 10% owner Ho Gregory P. · CIK 0001549584 · 10% owner SMC Reserve Fund II, LP · CIK 0001408571 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 0 Underlying: Common Stock · 11,633,332 shares Expires not disclosed F2 · price: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. F7 · derivative.exercise_date: The 10% Convertible Preferred Stock ("10% Preferred Stock") is convertible at any time, at the respective holder's election and has no expiration date. F7 · derivative.expiration_date: The 10% Convertible Preferred Stock ("10% Preferred Stock") is convertible at any time, at the respective holder's election and has no expiration date. F11 · ownership.nature: Mr. John L. Steffens and Mr. Gregory P. Ho are managing members of Spring Mountain GP and SMC LLC, and are also partners in SMC Employees Partnership ("SMC EP"). Entities over which Mr. Steffens and Mr. Ho are deemed to have voting and investment control sold (i) 465.3333 shares of 10% Preferred Stock, which are convertible into 11,633,332 shares of Common Stock, (ii) 51.9320 shares of Series C Preferred Stock, which are convertible into 2,596,600 shares of Common Stock, (iii) $0.50 Warrants exercisable for up to 11,633,332 shares of Common Stock, and (iv) warrants to purchase Common Stock at an initial exercise price of $0.20 per share ("$0.20 Warrants") exercisable for up to 2,596,575 shares of Common Stock. F12 · ownership.nature: Pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, each of Mr. Steffens and Mr. Ho may be deemed to have been the beneficial owner of any securities reported herein that may be deemed to have been beneficially owned by SMC Reserve II, SMC Reserve II Offshore, SMC Co-Investment and SMC EP. Each of Mr. Steffens and Mr. Ho disclaims beneficial ownership with respect to any shares of common stock except to the extent of his pecuniary interest therein. Read SEC document |
| December 19, 2017 Filed Dec 21, 2017 16:17 UTC | AMERICAN POWER GROUP Corp APGI · Entity 170990 | SaleCommon Stock Warrants (right to buy) · Derivative | 2,499,999 | Not disclosed Strike: $0.50 | Not disclosed |
DisclosureSEC source: 0001515971-17-000163 · primary_doc.xml · derivative · entry 11 Spring Mountain Capital, LLC · CIK 0001549455 · 10% owner SMC Select Co-Investment Fund I LP · CIK 0001414754 · 10% owner SMC Select Co-Investment I GP, LLC · CIK 0001549445 · 10% owner Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner Spring Mountain Capital, LP · CIK 0001549456 · 10% owner SMC Employees Partnership · CIK 0001657291 · 10% owner Steffens John · CIK 0001373619 · 10% owner Ho Gregory P. · CIK 0001549584 · 10% owner SMC Reserve Fund II, LP · CIK 0001408571 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 0 Underlying: Common Stock · 2,499,999 shares Expires 2018-09-28 F2 · price: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. F9 · ownership.nature: Spring Mountain GP is the general partner to SMC Reserve II and SMC Reserve II Offshore, which is not a reporting person, and is the sole member of SMC Co-Investment GP. Entities over which Spring Mountain GP is deemed to have voting and investment sold (i) 399.9999 shares of 10% Preferred Stock, which are convertible into 9,999,999 shares of Common Stock, and (ii) $0.50 Warrants exercisable for up to 9,999,999 shares of Common Stock. SMC LP acts as investment manager to SMC Reserve II, SMC Reserve II Offshore and SMC Co-Investment. SMC LLC is the general partner of SMC LP. F10 · ownership.nature: Pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, each of Spring Mountain GP, SMC LP and SMC LLC may be deemed to have been the beneficial owner of any securities reported herein that were beneficially owned by SMC Reserve II, SMC Reserve II Offshore and SMC Co-Investment. Each of Spring Mountain GP, SMC LP and SMC LLC disclaims beneficial ownership with respect to any shares of common stock except to the extent of its pecuniary interest therein. Read SEC document |
| December 19, 2017 Filed Dec 21, 2017 16:17 UTC | AMERICAN POWER GROUP Corp APGI · Entity 170990 | SaleCommon Stock Warrants (right to buy) · Derivative | 7,500,000 | Not disclosed Strike: $0.50 | Not disclosed |
DisclosureSEC source: 0001515971-17-000163 · primary_doc.xml · derivative · entry 10 Spring Mountain Capital, LLC · CIK 0001549455 · 10% owner SMC Select Co-Investment Fund I LP · CIK 0001414754 · 10% owner SMC Select Co-Investment I GP, LLC · CIK 0001549445 · 10% owner Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner Spring Mountain Capital, LP · CIK 0001549456 · 10% owner SMC Employees Partnership · CIK 0001657291 · 10% owner Steffens John · CIK 0001373619 · 10% owner Ho Gregory P. · CIK 0001549584 · 10% owner SMC Reserve Fund II, LP · CIK 0001408571 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 0 Underlying: Common Stock · 7,500,000 shares Expires 2020-05-30 F2 · price: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. F9 · ownership.nature: Spring Mountain GP is the general partner to SMC Reserve II and SMC Reserve II Offshore, which is not a reporting person, and is the sole member of SMC Co-Investment GP. Entities over which Spring Mountain GP is deemed to have voting and investment sold (i) 399.9999 shares of 10% Preferred Stock, which are convertible into 9,999,999 shares of Common Stock, and (ii) $0.50 Warrants exercisable for up to 9,999,999 shares of Common Stock. SMC LP acts as investment manager to SMC Reserve II, SMC Reserve II Offshore and SMC Co-Investment. SMC LLC is the general partner of SMC LP. F10 · ownership.nature: Pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, each of Spring Mountain GP, SMC LP and SMC LLC may be deemed to have been the beneficial owner of any securities reported herein that were beneficially owned by SMC Reserve II, SMC Reserve II Offshore and SMC Co-Investment. Each of Spring Mountain GP, SMC LP and SMC LLC disclaims beneficial ownership with respect to any shares of common stock except to the extent of its pecuniary interest therein. Read SEC document |
| December 19, 2017 Filed Dec 21, 2017 16:17 UTC | AMERICAN POWER GROUP Corp APGI · Entity 170990 | Sale10% Convertible Preferred Stock · Derivative | 399.9999 | Not disclosed Strike: $0.40 | Not disclosed |
DisclosureSEC source: 0001515971-17-000163 · primary_doc.xml · derivative · entry 9 Spring Mountain Capital, LLC · CIK 0001549455 · 10% owner SMC Select Co-Investment Fund I LP · CIK 0001414754 · 10% owner SMC Select Co-Investment I GP, LLC · CIK 0001549445 · 10% owner Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner Spring Mountain Capital, LP · CIK 0001549456 · 10% owner SMC Employees Partnership · CIK 0001657291 · 10% owner Steffens John · CIK 0001373619 · 10% owner Ho Gregory P. · CIK 0001549584 · 10% owner SMC Reserve Fund II, LP · CIK 0001408571 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 0 Underlying: Common Stock · 9,999,999 shares Expires not disclosed F2 · price: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. F7 · derivative.exercise_date: The 10% Convertible Preferred Stock ("10% Preferred Stock") is convertible at any time, at the respective holder's election and has no expiration date. F7 · derivative.expiration_date: The 10% Convertible Preferred Stock ("10% Preferred Stock") is convertible at any time, at the respective holder's election and has no expiration date. F9 · ownership.nature: Spring Mountain GP is the general partner to SMC Reserve II and SMC Reserve II Offshore, which is not a reporting person, and is the sole member of SMC Co-Investment GP. Entities over which Spring Mountain GP is deemed to have voting and investment sold (i) 399.9999 shares of 10% Preferred Stock, which are convertible into 9,999,999 shares of Common Stock, and (ii) $0.50 Warrants exercisable for up to 9,999,999 shares of Common Stock. SMC LP acts as investment manager to SMC Reserve II, SMC Reserve II Offshore and SMC Co-Investment. SMC LLC is the general partner of SMC LP. F10 · ownership.nature: Pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, each of Spring Mountain GP, SMC LP and SMC LLC may be deemed to have been the beneficial owner of any securities reported herein that were beneficially owned by SMC Reserve II, SMC Reserve II Offshore and SMC Co-Investment. Each of Spring Mountain GP, SMC LP and SMC LLC disclaims beneficial ownership with respect to any shares of common stock except to the extent of its pecuniary interest therein. Read SEC document |
| December 19, 2017 Filed Dec 21, 2017 16:17 UTC | AMERICAN POWER GROUP Corp APGI · Entity 170990 | SaleCommon Stock Warrants (right to buy) · Derivative | 833,333 | Not disclosed Strike: $0.50 | Not disclosed |
DisclosureSEC source: 0001515971-17-000163 · primary_doc.xml · derivative · entry 8 Spring Mountain Capital, LLC · CIK 0001549455 · 10% owner SMC Select Co-Investment Fund I LP · CIK 0001414754 · 10% owner SMC Select Co-Investment I GP, LLC · CIK 0001549445 · 10% owner Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner Spring Mountain Capital, LP · CIK 0001549456 · 10% owner SMC Employees Partnership · CIK 0001657291 · 10% owner Steffens John · CIK 0001373619 · 10% owner Ho Gregory P. · CIK 0001549584 · 10% owner SMC Reserve Fund II, LP · CIK 0001408571 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 833,333 shares Expires 2018-09-28 F2 · price: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. F8 · ownership.direct: SMC Co-Investment sold (i) 133.3333 shares of 10% Preferred Stock, which are convertible into 3,333,333 shares of Common Stock, and (ii) warrants to purchase Common Stock at an initial exercise price of $0.50 per share ("$0.50 Warrants") exercisable for up to 3,333,333 shares of Common Stock. SMC Co-Investment GP is the general partner of SMC Co-Investment SMC Co-Investment GP and pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, it may be deemed to have been the beneficial owner of any securities reported herein that were beneficially owned by SMC Co-Investment. SMC Co-Investment GP disclaims beneficial ownership with respect to any shares of common stock except to the extent of its pecuniary interest therein. Read SEC document |
| December 19, 2017 Filed Dec 21, 2017 16:17 UTC | AMERICAN POWER GROUP Corp APGI · Entity 170990 | SaleCommon Stock Warrants (right to buy) · Derivative | 2,500,000 | Not disclosed Strike: $0.50 | Not disclosed |
DisclosureSEC source: 0001515971-17-000163 · primary_doc.xml · derivative · entry 7 Spring Mountain Capital, LLC · CIK 0001549455 · 10% owner SMC Select Co-Investment Fund I LP · CIK 0001414754 · 10% owner SMC Select Co-Investment I GP, LLC · CIK 0001549445 · 10% owner Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner Spring Mountain Capital, LP · CIK 0001549456 · 10% owner SMC Employees Partnership · CIK 0001657291 · 10% owner Steffens John · CIK 0001373619 · 10% owner Ho Gregory P. · CIK 0001549584 · 10% owner SMC Reserve Fund II, LP · CIK 0001408571 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,500,000 shares Expires 2020-05-30 F2 · price: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. F8 · ownership.direct: SMC Co-Investment sold (i) 133.3333 shares of 10% Preferred Stock, which are convertible into 3,333,333 shares of Common Stock, and (ii) warrants to purchase Common Stock at an initial exercise price of $0.50 per share ("$0.50 Warrants") exercisable for up to 3,333,333 shares of Common Stock. SMC Co-Investment GP is the general partner of SMC Co-Investment SMC Co-Investment GP and pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, it may be deemed to have been the beneficial owner of any securities reported herein that were beneficially owned by SMC Co-Investment. SMC Co-Investment GP disclaims beneficial ownership with respect to any shares of common stock except to the extent of its pecuniary interest therein. Read SEC document |
| December 19, 2017 Filed Dec 21, 2017 16:17 UTC | AMERICAN POWER GROUP Corp APGI · Entity 170990 | Sale10% Convertible Preferred Stock · Derivative | 133.3333 | Not disclosed Strike: $0.40 | Not disclosed |
DisclosureSEC source: 0001515971-17-000163 · primary_doc.xml · derivative · entry 6 Spring Mountain Capital, LLC · CIK 0001549455 · 10% owner SMC Select Co-Investment Fund I LP · CIK 0001414754 · 10% owner SMC Select Co-Investment I GP, LLC · CIK 0001549445 · 10% owner Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner Spring Mountain Capital, LP · CIK 0001549456 · 10% owner SMC Employees Partnership · CIK 0001657291 · 10% owner Steffens John · CIK 0001373619 · 10% owner Ho Gregory P. · CIK 0001549584 · 10% owner SMC Reserve Fund II, LP · CIK 0001408571 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,333,333 shares Expires not disclosed F2 · price: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. F7 · derivative.exercise_date: The 10% Convertible Preferred Stock ("10% Preferred Stock") is convertible at any time, at the respective holder's election and has no expiration date. F7 · derivative.expiration_date: The 10% Convertible Preferred Stock ("10% Preferred Stock") is convertible at any time, at the respective holder's election and has no expiration date. F8 · ownership.direct: SMC Co-Investment sold (i) 133.3333 shares of 10% Preferred Stock, which are convertible into 3,333,333 shares of Common Stock, and (ii) warrants to purchase Common Stock at an initial exercise price of $0.50 per share ("$0.50 Warrants") exercisable for up to 3,333,333 shares of Common Stock. SMC Co-Investment GP is the general partner of SMC Co-Investment SMC Co-Investment GP and pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, it may be deemed to have been the beneficial owner of any securities reported herein that were beneficially owned by SMC Co-Investment. SMC Co-Investment GP disclaims beneficial ownership with respect to any shares of common stock except to the extent of its pecuniary interest therein. Read SEC document |
| December 19, 2017 Filed Dec 21, 2017 16:17 UTC | AMERICAN POWER GROUP Corp APGI · Entity 170990 | SaleCommon Stock | 1,740,585 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001515971-17-000163 · primary_doc.xml · nonDerivative · entry 5 Spring Mountain Capital, LLC · CIK 0001549455 · 10% owner SMC Select Co-Investment Fund I LP · CIK 0001414754 · 10% owner SMC Select Co-Investment I GP, LLC · CIK 0001549445 · 10% owner Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner Spring Mountain Capital, LP · CIK 0001549456 · 10% owner SMC Employees Partnership · CIK 0001657291 · 10% owner Steffens John · CIK 0001373619 · 10% owner Ho Gregory P. · CIK 0001549584 · 10% owner SMC Reserve Fund II, LP · CIK 0001408571 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F15 · kind: SMC Reserve II sold 1,740,585 shares of Common Stock. F2 · price: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. Read SEC document |
| December 19, 2017 Filed Dec 21, 2017 16:17 UTC | AMERICAN POWER GROUP Corp APGI · Entity 170990 | SaleCommon Stock | 954,209 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001515971-17-000163 · primary_doc.xml · nonDerivative · entry 4 Spring Mountain Capital, LLC · CIK 0001549455 · 10% owner SMC Select Co-Investment Fund I LP · CIK 0001414754 · 10% owner SMC Select Co-Investment I GP, LLC · CIK 0001549445 · 10% owner Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner Spring Mountain Capital, LP · CIK 0001549456 · 10% owner SMC Employees Partnership · CIK 0001657291 · 10% owner Steffens John · CIK 0001373619 · 10% owner Ho Gregory P. · CIK 0001549584 · 10% owner SMC Reserve Fund II, LP · CIK 0001408571 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F6 · kind: SMC EP sold 954,209 shares of Common Stock. F2 · price: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. Read SEC document |
| December 19, 2017 Filed Dec 21, 2017 16:17 UTC | AMERICAN POWER GROUP Corp APGI · Entity 170990 | SaleCommon Stock | 5,077,704 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001515971-17-000163 · primary_doc.xml · nonDerivative · entry 3 Spring Mountain Capital, LLC · CIK 0001549455 · 10% owner SMC Select Co-Investment Fund I LP · CIK 0001414754 · 10% owner SMC Select Co-Investment I GP, LLC · CIK 0001549445 · 10% owner Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner Spring Mountain Capital, LP · CIK 0001549456 · 10% owner SMC Employees Partnership · CIK 0001657291 · 10% owner Steffens John · CIK 0001373619 · 10% owner Ho Gregory P. · CIK 0001549584 · 10% owner SMC Reserve Fund II, LP · CIK 0001408571 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 0 F5 · kind: Mr. John L. Steffens and Mr. Gregory P. Ho are managing members of Spring Mountain GP and SMC LLC, and are also partners in SMC Employees Partnership ("SMC EP"). Entities over which Mr. Steffens and Mr. Ho are deemed to have voting and investment control sold an aggregate of 5,077,704 shares of Common Stock. Pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, each of Mr. Steffens and Mr. Ho may be deemed to have been the beneficial owner of any securities reported herein that may be deemed to have been beneficially owned by SMC Reserve II, SMC Reserve II Offshore, SMC Co-Investment and SMC EP. Each of Mr. Steffens and Mr. Ho disclaims beneficial ownership with respect to any shares of common stock except to the extent of his pecuniary interest therein. F2 · price: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. F5 · ownership.nature: Mr. John L. Steffens and Mr. Gregory P. Ho are managing members of Spring Mountain GP and SMC LLC, and are also partners in SMC Employees Partnership ("SMC EP"). Entities over which Mr. Steffens and Mr. Ho are deemed to have voting and investment control sold an aggregate of 5,077,704 shares of Common Stock. Pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, each of Mr. Steffens and Mr. Ho may be deemed to have been the beneficial owner of any securities reported herein that may be deemed to have been beneficially owned by SMC Reserve II, SMC Reserve II Offshore, SMC Co-Investment and SMC EP. Each of Mr. Steffens and Mr. Ho disclaims beneficial ownership with respect to any shares of common stock except to the extent of his pecuniary interest therein. Read SEC document |
| December 19, 2017 Filed Dec 21, 2017 16:17 UTC | AMERICAN POWER GROUP Corp APGI · Entity 170990 | SaleCommon Stock | 4,123,095 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001515971-17-000163 · primary_doc.xml · nonDerivative · entry 2 Spring Mountain Capital, LLC · CIK 0001549455 · 10% owner SMC Select Co-Investment Fund I LP · CIK 0001414754 · 10% owner SMC Select Co-Investment I GP, LLC · CIK 0001549445 · 10% owner Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner Spring Mountain Capital, LP · CIK 0001549456 · 10% owner SMC Employees Partnership · CIK 0001657291 · 10% owner Steffens John · CIK 0001373619 · 10% owner Ho Gregory P. · CIK 0001549584 · 10% owner SMC Reserve Fund II, LP · CIK 0001408571 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 0 F3 · kind: Spring Mountain Capital G.P., LLC ("Spring Mountain GP") is the general partner to SMC Reserve Fund II, LP ("SMC Reserve II") and SMC Reserve Fund II Offshore, LP ("SMC Reserve II Offshore"), which is not a reporting person, and is the sole member of SMC Co-Investment GP. Entities over which Spring Mountain GP is deemed to have voting and investment sold 4,123,095 shares of Common Stock. Spring Mountain Capital, LP ("SMC LP") acts as investment manager to SMC Reserve II, SMC Reserve II Offshore and SMC Co-Investment. Spring Mountain Capital, LLC ("SMC LLC") is the general partner of SMC LP. F4 · kind: Pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, each of Spring Mountain GP, SMC LP and SMC LLC may be deemed to have been the beneficial owner of any securities reported herein that were beneficially owned by SMC Reserve II, SMC Reserve II Offshore and SMC Co-Investment. Each of Spring Mountain GP, SMC LP and SMC LLC disclaims beneficial ownership with respect to any shares of common stock except to the extent of its pecuniary interest therein. F2 · price: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. F3 · ownership.nature: Spring Mountain Capital G.P., LLC ("Spring Mountain GP") is the general partner to SMC Reserve Fund II, LP ("SMC Reserve II") and SMC Reserve Fund II Offshore, LP ("SMC Reserve II Offshore"), which is not a reporting person, and is the sole member of SMC Co-Investment GP. Entities over which Spring Mountain GP is deemed to have voting and investment sold 4,123,095 shares of Common Stock. Spring Mountain Capital, LP ("SMC LP") acts as investment manager to SMC Reserve II, SMC Reserve II Offshore and SMC Co-Investment. Spring Mountain Capital, LLC ("SMC LLC") is the general partner of SMC LP. F4 · ownership.nature: Pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, each of Spring Mountain GP, SMC LP and SMC LLC may be deemed to have been the beneficial owner of any securities reported herein that were beneficially owned by SMC Reserve II, SMC Reserve II Offshore and SMC Co-Investment. Each of Spring Mountain GP, SMC LP and SMC LLC disclaims beneficial ownership with respect to any shares of common stock except to the extent of its pecuniary interest therein. Read SEC document |
| December 19, 2017 Filed Dec 21, 2017 16:17 UTC | AMERICAN POWER GROUP Corp APGI · Entity 170990 | SaleCommon Stock | 1,947,370 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001515971-17-000163 · primary_doc.xml · nonDerivative · entry 1 Spring Mountain Capital, LLC · CIK 0001549455 · 10% owner SMC Select Co-Investment Fund I LP · CIK 0001414754 · 10% owner SMC Select Co-Investment I GP, LLC · CIK 0001549445 · 10% owner Spring Mountain Capital G.P., LLC · CIK 0001549593 · 10% owner Spring Mountain Capital, LP · CIK 0001549456 · 10% owner SMC Employees Partnership · CIK 0001657291 · 10% owner Steffens John · CIK 0001373619 · 10% owner Ho Gregory P. · CIK 0001549584 · 10% owner SMC Reserve Fund II, LP · CIK 0001408571 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · kind: SMC Select Co-Investment Fund I, LP ("SMC Co-Investment") sold 1,947,370 shares of the Issuer's common stock, par $0.01 par value per share ("Common Stock"). SMC Select Co-Investment I GP, LLC is the general partner of SMC Co-Investment ("SMC Co-Investment GP") and pursuant to Rule 16a-1 of the Securities Exchange Act of 1934, as amended, it may be deemed to have been the beneficial owner of any securities reported herein that were beneficially owned by SMC Co-Investment. SMC Co-Investment GP disclaims beneficial ownership with respect to any shares of Common Stock except to the extent of its pecuniary interest therein. F2 · price: All securities reported on this Form 4 were sold for an aggregate purchase price of $4.00. 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.