0001493152-17-005682.txt : 20170519 0001493152-17-005682.hdr.sgml : 20170519 20170519180555 ACCESSION NUMBER: 0001493152-17-005682 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170517 FILED AS OF DATE: 20170519 DATE AS OF CHANGE: 20170519 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Sunworks, Inc. CENTRAL INDEX KEY: 0001172631 STANDARD INDUSTRIAL CLASSIFICATION: TELEPHONE & TELEGRAPH APPARATUS [3661] IRS NUMBER: 010592299 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1030 WINDING CREEK ROAD STREET 2: SUITE 100 CITY: ROSEVILLE STATE: CA ZIP: 95678 BUSINESS PHONE: (916) 409-6900 MAIL ADDRESS: STREET 1: 1030 WINDING CREEK ROAD STREET 2: SUITE 100 CITY: ROSEVILLE STATE: CA ZIP: 95678 FORMER COMPANY: FORMER CONFORMED NAME: SOLAR3D, INC. DATE OF NAME CHANGE: 20101006 FORMER COMPANY: FORMER CONFORMED NAME: MACHINETALKER INC DATE OF NAME CHANGE: 20050801 FORMER COMPANY: FORMER CONFORMED NAME: MACHINE TALKER INC DATE OF NAME CHANGE: 20020506 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: McDonnel Paul Clayton CENTRAL INDEX KEY: 0001425213 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36868 FILM NUMBER: 17859308 MAIL ADDRESS: STREET 1: ARROWHEAD RESEARCH CORPORATION STREET 2: 201 SOUTH LAKE AVENUE, SUITE 703 CITY: PASADENA STATE: CA ZIP: 91101 4 1 form4.xml X0306 4 2017-05-17 0 0001172631 Sunworks, Inc. SUNW 0001425213 McDonnel Paul Clayton C/O SUNWORKS, INC. 1030 WINDING CREEK ROAD, SUITE 100 ROSEVILLE CA 95678 0 1 0 0 Chief Financial Officer Common Stock 2017-05-18 4 P 0 15525 1.4522 A 15525 D Option to Purchase Common Stock 1.50 2017-05-17 4 A 0 30000 0 A 2022-05-17 Common Stock 30000 80000 D This sales price reflects a weighted average of multiple prices ranging from $1.42 to $1.46. Full information regarding the number of shares sold at each price will be provided to the Securities and Exchange Commission staff, the Issuer or any security holder of the Issuer upon request. The option shall vest in 1/36 increments over a three year period commencing on the date of grant. /s/ Paul McDonnel 2017-05-19