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WKHS Workhorse Group Inc

0.1614
-0.0031 (-1.88%)
03 May 2024 - Closed
Delayed by 15 minutes
Share Name Share Symbol Market Type
Workhorse Group Inc NASDAQ:WKHS NASDAQ Common Stock
  Price Change % Change Share Price Bid Price Offer Price High Price Low Price Open Price Shares Traded Last Trade
  -0.0031 -1.88% 0.1614 0.161 0.1615 0.1689 0.156 0.1689 21,398,633 00:59:51

Statement of Changes in Beneficial Ownership (4)

15/07/2020 10:03pm

Edgar (US Regulatory)


FORM 4 [ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).         
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
                                                                                  
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response...
0.5                       
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

Fleming Stephen M.
2. Issuer Name and Ticker or Trading Symbol

Workhorse Group Inc. [ WKHS ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

_____ Director                    _____ 10% Owner
__X__ Officer (give title below)    _____ Other (specify below)
Vice President/General Counsel
(Last)          (First)          (Middle)

C/O WORKHORSE GROUP INC., 100, COMMERCE DRIVE
3. Date of Earliest Transaction (MM/DD/YYYY)

7/13/2020
(Street)

LOVELAND, OH 45140
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

 
6. Individual or Joint/Group Filing (Check Applicable Line)

_X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock, $0.001 par value per share 7/13/2020  S  5601 (1)D$17.19 580171 D  
Common Stock, $0.001 par value per share 7/13/2020  S  28390 (1)D$16.54 585772 D  
Common Stock, $0.001 par value per share 7/13/2020  S  6009 (1)D$15.66 614162 D  

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security3. Trans. Date3A. Deemed Execution Date, if any4. Trans. Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
6. Date Exercisable and Expiration Date7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)11. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Stock Options $1.19           8/23/2018 8/8/2023 Common Stock, $0.001 par value per share 150000 (2) 150000 D  

Explanation of Responses:
(1) The sales reported on this Form 4 were effected pursuant to a Rule 10b-5 trading plan.
(2) Stock Options vest quarterly in an amount of 9,375 commencing August 23, 2018.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director10% OwnerOfficerOther
Fleming Stephen M.
C/O WORKHORSE GROUP INC., 100
COMMERCE DRIVE
LOVELAND, OH 45140


Vice President/General Counsel

Signatures
/s/ Stephen M. Fleming7/15/2020
**Signature of Reporting PersonDate

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