0001213900-20-017160.txt : 20200710 0001213900-20-017160.hdr.sgml : 20200710 20200710105626 ACCESSION NUMBER: 0001213900-20-017160 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180430 FILED AS OF DATE: 20200710 DATE AS OF CHANGE: 20200710 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LUKENS JOSEPH THEODORE JR CENTRAL INDEX KEY: 0001607972 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37673 FILM NUMBER: 201022317 MAIL ADDRESS: STREET 1: 2558 WESTERN ROW RD CITY: MAINEVILLE STATE: OH ZIP: 45039 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 OWNERSHIP DOCUMENT X0306 4 2018-04-30 1 0001425287 Workhorse Group Inc. WKHS 0001607972 LUKENS JOSEPH THEODORE JR C/O WORKHORSE GROUP INC., 100 COMMERCE DRIVE LOVELAND OH 45140 0 0 1 0 Common Stock 2018-04-30 4 P 0 36765 2.82 A 7007048 I See Footnotes Common Stock 2018-06-14 4 M 0 410155 0.00 A 7417203 I See Footnotes Common Stock 2019-07-16 4 S 0 267356 3.60 D 7149847 I See Footnotes Common Stock 2019-07-22 4 S 0 109000 3.48 D 7040847 I See Footnotes Common Stock 2020-02-18 4 S 0 83644 3.36 D 6957203 I See Footnotes Common Stock 2020-02-21 4 S 0 4946 3.90 D 6952257 I See Footnotes Common Stock 2020-02-25 4 S 0 200 3.70 D 6952057 I See Footnotes Common Stock 2020-02-26 4 S 0 61700 3.62 D 6890357 I See Footnotes Common Stock 2020-03-03 4 S 0 100000 2.99 D 6790357 I See Footnotes Common Stock 2020-03-11 4 S 0 15000 2.36 D 6775357 I See Footnotes Common Stock 2020-04-05 4 S 0 18154 3.24 D 6757203 I See Footnotes Common Stock 2020-05-20 4 J 0 654781 0.00 D 6102422 I See Footnotes Common Stock 2020-06-30 4 S 0 500000 18.40 D 5602422 I See Footnotes Common Stock 2020-07-01 4 S 0 100000 20.00 D 5502422 I See Footnotes Common Stock 2020-07-07 4 J 0 1500000 0.00 D 4002422 I See Footnotes Common Stock 2020-07-07 4 J 0 1500000 0.00 A 1500000 D Common Stock 2019-09-03 4 G 0 77436 0.00 D 77435 I The Joe & Kim Lukens Foundation Common Stock 2019-12-23 4 G 0 77435 0.00 D 0 I The Joe & Kim Lukens Foundation Common Stock Purchase Warrant 3.80 2018-06-14 4 M 0 585936 0.00 D 2017-09-18 2022-09-18 Common Stock 585936 0 I See Footnotes Held by New Era Capital Fund L.P. of which New Era Capital LLC is the General Partner, of which the reporting person is the managing member. The reporting person disclaims beneficial ownership of these securities except to the extent of her pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. New Era Capital Fund L.P. exchanged warrants to purchase 585,936 shares of common stock of the issuer for 410,155 shares of common stock of the issuer. In-kind distribution by New Era Capital Fund L.P. of the issuer's common stock to New Era Capital Fund L.P.'s partners. * The prices per share reported under Item 4 of Table I are weighted average prices at which New Era Capital Fund L.P. sold or purchased the shares of common stock. /s/ Joseph T. Lukens 2020-07-10