4/A//SEC Filing
ZBB ENERGY CORP 4/A
Accession 0001181431-14-025463
CIK 0001140310operating
Filed
Jun 30, 8:00 PM ET
Accepted
Jul 1, 4:30 PM ET
Size
14.3 KB
Accession
0001181431-14-025463
Insider Transaction Report
Form 4/AAmended
Apfelbach Eric C
DirectorCEO
Transactions
- Sale
Common Stock
2014-06-25$1.67/sh−23,989$39,942→ 182,184 total - Sale
Common Stock
2014-06-26$1.70/sh−23,990$40,721→ 158,194 total - Exercise/Conversion
Common Stock
2014-06-24+200,000→ 230,162 total - Sale
Common Stock
2014-06-24$1.70/sh−23,989$40,745→ 206,173 total - Sale
Common Stock
2014-06-27$1.75/sh−4,830$8,466→ 153,364 total - Exercise/Conversion
Restricted Stock Units
2014-06-24−200,000→ 0 total→ Common Stock (200,000 underlying)
Footnotes (7)
- [F1]Represents shares of common stock received upon vesting of a restricted stock unit award.
- [F2]Represents shares sold pursuant to a Sell-to-Cover Rule 10b5-1 Plan to pay withholding taxes due in connection with the settlement of a restricted stock unit award.
- [F3]The price reported in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $1.67 to $1.80, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- [F4]The price reported in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $1.65 to $1.7014, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- [F5]The price reported in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $1.63 to $1.7818, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- [F6]Each restricted stock unit represents a contingent right to receive one share of common stock.
- [F7]Represents a restricted stock unit award granted on April 9, 2014 that was settled on June 24, 2014.
Documents
Issuer
ZBB ENERGY CORP
CIK 0001140310
Entity typeoperating
IncorporatedWI
Related Parties
1- filerCIK 0001140310
Filing Metadata
- Form type
- 4/A
- Filed
- Jun 30, 8:00 PM ET
- Accepted
- Jul 1, 4:30 PM ET
- Size
- 14.3 KB