0001213900-19-002365.txt : 20190213 0001213900-19-002365.hdr.sgml : 20190213 20190213161748 ACCESSION NUMBER: 0001213900-19-002365 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190211 FILED AS OF DATE: 20190213 DATE AS OF CHANGE: 20190213 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Samuels H. Benjamin CENTRAL INDEX KEY: 0001661669 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37673 FILM NUMBER: 19597391 MAIL ADDRESS: STREET 1: C/O WORKHORSE GROUP INC. STREET 2: 100 COMMERCE DRIVE CITY: LOVELAND STATE: OH ZIP: 45140 FORMER NAME: FORMER CONFORMED NAME: Samuels Benjamin H. DATE OF NAME CHANGE: 20151222 FORMER NAME: FORMER CONFORMED NAME: Samules H. Benjamin DATE OF NAME CHANGE: 20151222 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Workhorse Group Inc. CENTRAL INDEX KEY: 0001425287 STANDARD INDUSTRIAL CLASSIFICATION: MOTOR VEHICLES & PASSENGER CAR BODIES [3711] IRS NUMBER: 261394771 STATE OF INCORPORATION: NV FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 100 COMMERCE DRIVE CITY: LOVELAND STATE: OH ZIP: 45140 BUSINESS PHONE: 513-360-4704 MAIL ADDRESS: STREET 1: 100 COMMERCE DRIVE CITY: LOVELAND STATE: OH ZIP: 45140 FORMER COMPANY: FORMER CONFORMED NAME: AMP Holding Inc. DATE OF NAME CHANGE: 20100525 FORMER COMPANY: FORMER CONFORMED NAME: Title Starts Online, Inc. DATE OF NAME CHANGE: 20080128 4 1 ownership.xml X0306 4 2019-02-11 0 0001425287 Workhorse Group Inc. WKHS 0001661669 Samuels H. Benjamin C/O WORKHORSE GROUP INC., 100 COMMERCE DRIVE LOVELAND OH 45140 1 0 0 0 Common Stock, $0.001 par value per share 2019-02-11 4 P 0 420967 0.9502 A 439349 D Common Stock, $0.001 par value per share 2019-02-11 4 P 0 420967 0.9502 A 420967 I See Footnote Common Stock, $0.001 par value per share 762532 I See Footnote Common Stock Purchase Warrant 5.28 2015-11-09 2020-11-09 Common Stock, Par Value 237467 237467 I See Footnote Stock Options 7.21 2016-08-16 2021-08-16 Common Stock, Par Value $0.001 10000 10000 D Stock Options 7.01 2015-12-17 2020-12-17 Common Stock, Par Value $0.001 50000 50000 D Common Stock Purchase Warrant 5.28 2015-12-04 2020-12-04 Common Stock, Par Value $0.001 142857 142857 I See Footnote 10,000 of the options vested on December 17, 2015 and 4,000 shall vest every six (6) months thereafter on June 30 and December 31. On November 9, 2015, Samuels 2012 Children's Trust UAD 10/28/12 (the "Trust") acquired a Stock Purchase Warrant to acquire 428,571 shares of common stock (the "Initial Warrant"). On December 4, 2015, the Trust acquired a Stock Purchase Warrant to acquire 142,857 shares of common stock. On January 5, 2016, convertible notes held by the Trust were automatically converted into 571,429 shares of common stock. Further, on September 14, 2016, the Trust exercised the Initial Warrant and received 143,500 shares of common stock for a purchase price of $757,680 or $5.28 per share and on November 18, 2016 the Trust exercised the Initial Warrant and received 47,604 shares of common stock for a purchase price of $251,349 or $5.28 per share. H. Benjamin Samuels is a trustee and beneficiary of the Trust 2,500 of the options vested on August 16, 2016 and an additional 2,500 will vest every six months thereafter. On February 11, 2019, the Marci Rosenberg 2012 Family Trust acquired 420,967 shares of common stock. Marci Rosenberg is the trustee of such trust. Mr. Rosenberg is the wife of H. Benjamin Samuels, a director of the Company. /s/ H. Benjamin Samuels 2019-02-13