Statement of Changes in Beneficial Ownership (4)
25 Agosto 2020 - 4:02PM
Edgar (US Regulatory)
FORM 4
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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).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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Samuels H. Benjamin |
2. Issuer Name and Ticker or Trading Symbol
Workhorse Group Inc.
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WKHS
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
C/O WORKHORSE GROUP INC.,, 100 COMMERCE DRIVE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
8/24/2020 |
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(Street)
LOVELAND, OH 45140
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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| Common Stock, $0.001 par value per share | 8/24/2020 | | M | | 10000 | A | $7.21 | 593701 | D | |
| Common Stock, $0.001 par value per share | 8/24/2020 | | M | | 50000 | A | $7.01 | 583701 | D | |
| Common Stock, $0.001 par value per share | | | | | | | | 645419 | I | See Footnote (1) |
| Common Stock, $0.001 par value per share | | | | | | | | 420964 | I | See Footnote (2) |
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 |
| Stock Options | $7.21 | 8/24/2020 | | M | | | 10000 | 8/16/2016 | 8/15/2021 | Common Stock, $0.001 par value per share | 10000.0 | $7.21 | 0 | D | |
| Stock Options | $7.01 | 8/24/2020 | | M | | | 50000 | 12/17/2015 | 12/17/2020 | Common Stock, $0.001 par value per share | 50000.0 | $7.01 | 0 | D | |
| Explanation of Responses: |
| (1) | The securities are held by the Samuels 2012 Children's Trust UAD 10/28/12. H. Benjamin Samuels, a director of Workhorse Group Inc., is a trustee and beneficiary of Samuels 2012 Children's Trust UAD 10/28/12. |
| (2) | The shares of common stock are held by the Marci Rosenberg 2012 Family Trust. Marci Rosenberg is the trustee of such trust. Mrs. Rosenberg is the wife of H. Benjamin Samuels, a director of Workhorse Group Inc. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Samuels H. Benjamin
C/O WORKHORSE GROUP INC.,
100 COMMERCE DRIVE
LOVELAND, OH 45140 | X |
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Signatures
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| /s/ H. Benjamin Samuels | | 8/25/2020 |
| **Signature of Reporting Person | Date |
Workhorse (NASDAQ:WKHS)
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