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Share Name | Share Symbol | Market | Type |
---|---|---|---|
American Power Group Corporation (PK) | USOTC:APGI | OTCMarkets | Common Stock |
Price Change | % Change | Share Price | Bid Price | Offer Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|---|---|
0.00051 | 3.29% | 0.016 | 0.0154 | 0.02 | 0.016 | 0.016 | 0.016 | 35,000 | 21:03:35 |
FORM 4
[
X
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
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OMB APPROVAL
OMB Number: 3235-0287 Estimated average burden hours per response... 0.5 |
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1. Name and Address of Reporting Person
*
Spring Mountain Capital, LLC |
2. Issuer Name
and
Ticker or Trading Symbol
AMERICAN POWER GROUP Corp [ APGI ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director __ X __ 10% Owner _____ Officer (give title below) _____ Other (specify below) |
C/O SPRING MOUNTAIN CAPITAL, 650 MADISON AVENUE, 20TH FLOOR |
3. Date of Earliest Transaction
(MM/DD/YYYY)
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NEW YORK, NY 10022 |
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
___ Form filed by One Reporting Person _ X _ Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned |
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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 | 12/19/2017 | S (1) | 1947370 | D | (2) | 0 | D | |||
Common Stock | 12/19/2017 | S (3) (4) | 4123095 | D | (2) | 0 | I | See Footnotes (3) (4) | ||
Common Stock | 12/19/2017 | S (5) | 5077704 | D | (2) | 0 | I | See Footnotes (5) | ||
Common Stock | 12/19/2017 | S (6) | 954209 | D | (2) | 0 | D | |||
Common Stock | 12/19/2017 | S (15) | 1740585 | D | (2) | 0 | D |
Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities) |
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1. Title of Derivate Security
(Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any |
4. 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 Date |
7. 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) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
10% Convertible Preferred Stock | $0.4 | 12/19/2017 | S | 133.3333 | (7) | (7) | Common Stock | 3333333 | (2) | 0 | D (8) | ||||
Common Stock Warrants (right to buy) | $0.5 | 12/19/2017 | S | 2500000 | 10/31/2012 | 5/30/2020 | Common Stock | 2500000 | (2) | 0 | D (8) | ||||
Common Stock Warrants (right to buy) | $0.5 | 12/19/2017 | S | 833333 | 3/28/2013 | 9/28/2018 | Common Stock | 833333 | (2) | 0 | D (8) | ||||
10% Convertible Preferred Stock | $0.4 | 12/19/2017 | S | 399.9999 | (7) | (7) | Common Stock | 9999999 | (2) | 0 | I | See Footnotes (9) (10) | |||
Common Stock Warrants (right to buy) | $0.5 | 12/19/2017 | S | 7500000 | 10/31/2012 | 5/30/2020 | Common Stock | 7500000 | (2) | 0 | I | See Footnotes (9) (10) | |||
Common Stock Warrants (right to buy) | $0.5 | 12/19/2017 | S | 2499999 | 3/28/2013 | 9/28/2018 | Common Stock | 2499999 | (2) | 0 | I | See Footnotes (9) (10) | |||
10% Convertible Preferred Stock | $0.4 | 12/19/2017 | S | 465.3333 | (7) | (7) | Common Stock | 11633332 | (2) | 0 | I | See Footnotes (11) (12) | |||
Series C Convertible Preferred Stock | $0.2 | 12/19/2017 | S | 51.932 | (13) | (13) | Common Stock | 2596600 | (2) | 0 | I | See Footnotes (11) (12) | |||
Common Stock Warrants (right to buy) | $0.5 | 12/19/2017 | S | 8725000 | 10/31/2012 | 5/30/2020 | Common Stock | 8725000 | (2) | 0 | I | See Footnotes (11) (12) | |||
Common Stock Warrants (right to buy) | $0.5 | 12/19/2017 | S | 2908332 | 3/28/2013 | 9/28/2018 | Common Stock | 2908332 | (2) | 0 | I | See Footnotes (11) (12) | |||
Common Stock Warrants (right to buy) | $0.2 | 12/19/2017 | S | 2596575 | 10/21/2016 | 10/21/2020 | Common Stock | 2596575 | (2) | 0 | I | See Footnotes (11) (12) | |||
10% Convertible Preferred Stock | $0.4 | 12/19/2017 | S | 65.3333 | (7) | (7) | Common Stock | 1633333 | (2) | 0 | D (14) | ||||
Series C Convertible Preferred Stock | $0.2 | 12/19/2017 | S | 51.932 | (13) | (13) | Common Stock | 2596600 | (2) | 0 | D (14) | ||||
Common Stock Warrants (right to buy) | $0.5 | 12/19/2017 | S | 1225000 | 10/31/2012 | 5/30/2020 | Common Stock | 1225000 | (2) | 0 | D (14) | ||||
Common Stock Warrants (right to buy) | $0.5 | 12/19/2017 | S | 408333 | 3/28/2013 | 9/28/2018 | Common Stock | 408333 | (2) | 0 | D (14) | ||||
Common Stock Warrants (right to buy) | $0.2 | 12/19/2017 | S | 2596575 | 10/21/2016 | 10/21/2020 | Common Stock | 2596575 | (2) | 0 | D (14) | ||||
10% Convertible Preferred Stock | $0.4 | 12/19/2017 | S | 213.3333 | (7) | (7) | Common Stock | 5333333 | (2) | 0 | D (16) | ||||
Common Stock Warrants (right to buy) | $0.5 | 12/19/2017 | S | 4000000 | 10/31/2012 | 5/30/2020 | Common Stock | 4000000 | (2) | 0 | D (16) | ||||
Common Stock Warrants (right to buy) | $0.5 | 12/19/2017 | S | 1333333 | 3/28/2013 | 9/28/2018 | Common Stock | 1333333 | (2) | 0 | D (16) |
Reporting Owners
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Reporting Owner Name / Address |
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Director | 10% Owner | Officer | Other | ||
Spring Mountain Capital, LLC
C/O SPRING MOUNTAIN CAPITAL 650 MADISON AVENUE, 20TH FLOOR NEW YORK, NY 10022 |
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X |
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SMC Select Co-Investment Fund I LP
C/O SPRING MOUNTAIN CAPITAL 650 MADISON AVENUE, 20TH FLOOR NEW YORK, NY 10022 |
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X |
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SMC Select Co-Investment I GP, LLC
C/O SPRING MOUNTAIN CAPITAL 650 MADISON AVENUE, 20TH FLOOR NEW YORK, NY 10022 |
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X |
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Spring Mountain Capital G.P., LLC
C/O SPRING MOUNTAIN CAPITAL 650 MADISON AVENUE, 20TH FLOOR NEW YORK, NY 10022 |
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X |
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Spring Mountain Capital, LP
C/O SPRING MOUNTAIN CAPITAL 650 MADISON AVENUE, 20TH FLOOR NEW YORK, NY 10022 |
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X |
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SMC Employees Partnership
C/O SPRING MOUNTAIN CAPITAL 650 MADISON AVENUE, 20TH FLOOR NEW YORK, NY 10022 |
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X |
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Steffens John
C/O SPRING MOUNTAIN CAPITAL 650 MADISON AVENUE, 20TH FLOOR NEW YORK, NY 10022 |
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X |
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Ho Gregory P.
C/O SPRING MOUNTAIN CAPITAL 650 MADISON AVENUE, 20TH FLOOR NEW YORK, NY 10022 |
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X |
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SMC Reserve Fund II, LP
C/O SPRING MOUNTAIN CAPITAL 650 MADISON AVENUE, 20TH FLOOR NEW YORK, NY 10022 |
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X |
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Signatures
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SPRING MOUNTAIN CAPITAL, LLC, By: /s/ Gregory P. Ho, Managing Member | 12/21/2017 | |
** Signature of Reporting Person |
Date
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SMC SELECT CO-INVESTMENT FUND I, LP, By: SMC Select Co-Investment I GP, LLC, General Partner, By: Spring Mountain Capital G.P., LLC, Member, /s/ Gregory P. Ho, Managing Member | 12/21/2017 | |
** Signature of Reporting Person |
Date
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SMC SELECT CO-INVESTMENT I GP, LLC, By: Spring Mountain Capital G.P., LLC, Member, /s/ Gregory P. Ho, Managing Member | 12/21/2017 | |
** Signature of Reporting Person |
Date
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SPRING MOUNTAIN CAPITAL G.P., LLC, By: /s/ Gregory P. Ho, Managing Member | 12/21/2017 | |
** Signature of Reporting Person |
Date
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SPRING MOUNTAIN CAPITAL, LP, By: Spring Mountain Capital, LLC, General Partner, /s/ Gregory P. Ho, Managing Member | 12/21/2017 | |
** Signature of Reporting Person |
Date
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SMC EMPLOYEES PARTNERSHIP, By: /s/ Gregory P. Ho, Authorized Signatory | 12/21/2017 | |
** Signature of Reporting Person |
Date
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/s/ John L. Steffens | 12/21/2017 | |
** Signature of Reporting Person |
Date
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/s/ Gregory P. Ho | 12/21/2017 | |
** Signature of Reporting Person |
Date
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SMC RESERVE FUND II, LP, By: Spring Mountain Capital G.P., LLC, General Partner, /s/ Gregory P. Ho, Managing Member | 12/21/2017 | |
** Signature of Reporting Person |
Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
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