UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Restricted Stock Unit | (2) | (2) | Common Stock | 30,000 | $ 0 | D | |
Restricted Stock Unit | (3) | (3) | Common Stock | 30,000 | $ 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Hencken Frederick S. III C/O CAPSTONE TURBINE CORP. 16640 STAGG ST. VAN NUYS, CA 91406 |
Chief Accounting Officer |
Colby Petersen, Power of Attorney for Frederick Hencken III, Reporting Person | 04/02/2019 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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). |
(1) | These shares are owned directly by the Hencken Family Trust dated March 11, 2018. The Reporting Person and his spouse are trustees of the Hencken Family Trust dated March 11, 2018. |
(2) | On November 15, 2017, the Reporting Person was granted 30,000 Restricted Stock Units ("RSUs"). Each RSU represents a contingent right to receive one share of Common Stock. The RSUs vest in equal installments on an annual basis over a four year period ending November 15, 2021, assuming continued employment through the applicable vesting date. |
(3) | On October 24, 2018, the Reporting Person was granted 30,000 RSUs. Each RSU represents a contingent right to receive one share of Common Stock. The RSUs vest in equal installments on an annual basis over a four year period ending October 24, 2022, assuming continued employment through the applicable vesting date. |
Remarks: Exhibit 24 - Power of Attorney |