0001770907-19-000011.txt : 20190405 0001770907-19-000011.hdr.sgml : 20190405 20190405192528 ACCESSION NUMBER: 0001770907-19-000011 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190403 FILED AS OF DATE: 20190405 DATE AS OF CHANGE: 20190405 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Hencken Frederick S. III CENTRAL INDEX KEY: 0001770907 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15957 FILM NUMBER: 19736193 MAIL ADDRESS: STREET 1: C/O CAPSTONE TURBINE CORP. STREET 2: 16640 STAGG ST. CITY: VAN NUYS STATE: CA ZIP: 91406 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: CAPSTONE TURBINE Corp CENTRAL INDEX KEY: 0001009759 STANDARD INDUSTRIAL CLASSIFICATION: ENGINES & TURBINES [3510] IRS NUMBER: 954180883 STATE OF INCORPORATION: DE FISCAL YEAR END: 0331 BUSINESS ADDRESS: STREET 1: 16640 STAGG STREET CITY: VAN NUYS STATE: CA ZIP: 91406 BUSINESS PHONE: 818-734-5300 MAIL ADDRESS: STREET 1: 16640 STAGG STREET CITY: VAN NUYS STATE: CA ZIP: 91406 FORMER COMPANY: FORMER CONFORMED NAME: CAPSTONE TURBINE CORP DATE OF NAME CHANGE: 20000314 4 1 primary_doc.xml PRIMARY DOCUMENT X0306 4 2019-04-03 0 0001009759 CAPSTONE TURBINE Corp CPST 0001770907 Hencken Frederick S. III C/O CAPSTONE TURBINE CORP. 16640 STAGG ST. VAN NUYS CA 91406 0 1 0 0 Chief Accounting Officer Common Stock 2019-04-03 4 A 0 24788 0 A 77288 D Common Stock 2019-04-03 4 A 0 0 0 A 35837 I By Trust Performance Restricted Stock Unit (PRSU) 0 2019-04-03 4 A 0 8263 0 A 2019-04-03 2022-04-03 Common Stock 8263 8263 D These shares are owned directly by the Hencken Family Trust dated March 11, 2018. The Reporting Person and his spouse are the trustees of the Hencken Family Trust dated March 11, 2018. Each PRSU represents a contingent right to receive one share of CPST common stock. Each PRSU is based on a three-year (3) performance period with the actual awards being determined as soon as practicable after the 3rd anniversary of the performance period. Frederick Hencken, Reporting Person 2019-04-05